Surviving an IT Audit. Michael Hammond, CISA, CRISC, CISSP, C EH Director, IT Audit Services O Connor & Drew P.C. mhammond@ocd.com
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1 Surviving an IT Audit Michael Hammond, CISA, CRISC, CISSP, C EH Director, IT Audit Services O Connor & Drew P.C. mhammond@ocd.com 1
2 Who am I? Michael Hammond USAF veteran (IT and paralegal) 15 years global financial services company System admin (Win/Linux/VMware,AIX,Solaris) IT manager IT service delivery manager Internal IT Audit October 2012, moved to Public Accounting ~ Started IT Audit practice 2
3 Agenda What is an IT Audit? What can trigger an Audit? Inside the IT Audit process Resources 3
4 What is an IT Audit? An independent examination of IT controls A check and balance in the system of controls An objective party evaluates control design and efficacy using test samples against the control objectives Not the enemy; a control function, like Risk or Legal 4
5 Types of Audits IT General Controls (ITGC) Network, Server, Storage, Datacenter control settings System level administrator or privileged access Backups Password controls Application Control Review Business rules applied via technical controls; SAP, PeopleSoft, Line of Business App Separation of Duty (SoD) Integrated Audits Business Auditor & IT Auditor work as one team to assess an end to end business process inclusive of management and technical controls 5
6 What Can Trigger an IT Audit 6
7 Internal and External Triggers Internal Board of Directors (Audit and Examining Committee) Continuous Monitoring control testing Enterprise Risk review External Privacy Laws (201 CMR 17) Credit Card Payments (PCI-DSS) HIPPA Software Audits (BSA) GTAG 1 7
8 Massachusetts 201 CMR 17 Standards for the protection of personal information for residents of the commonwealth. This regulation establishes minimum standards to be met in connection with the safeguarding of personal information contained in both paper and electronic records. Management Identification Protection Written Information Security Policy (WISP) Employee training Risk assessment and classification Systems and processes that collect & store PII Detecting and preventing system failures; patches, virus, etc Access Controls; restrict access to records and files containing PII to those who need such information to perform their job duties Encryption; in storage and transmission across public networks 8
9 Inside the IT Audit Process 9
10 IT Audit process Understand the Control Environment Identify Key Controls Evaluate Design Test Effectiveness Report Findings 10
11 Guiding Principles Never, ever lie or misrepresent the facts Don t cover up the truth Identify risk Rate risk Identify controls which mitigate the risk Perform self testing using standard frameworks Self identify control weakness Identify best practices, map internal controls 11
12 IT Audit Preparation Tips Ask yourself these questions: Who are the stakeholders? What does the InfoSec policy require (password complexity)? What do the lawyers require (retention/compliance)? What happens if the control breaks and what could go wrong? What happens if the risk materializes? What are Best Practices for your industry? Is this a compliance review (check the box) or risk based? Document these questions and answers Repeat! Repeat! Repeat! 12
13 IT Audit Preparation Tips Align yourselves with other technical verticals. Auditors like to see you are thinking of the big picture, and not just silos of execution. The process can fall down between groups. Use common frameworks (NIST, ISO, COBIT) as guidelines for leading practices. Collaborate with the Auditors outside of the actual audit. 13
14 IT Audit Execution Tips Auditors, especially new auditors, often do not know your process and controls as well as you do. They may not be subject matter experts in the technology. The auditors role is to ask questions, document control points, and observe evidence which satisfies the control objective. Questions such as: Where is documentation to manage the platform/application kept? How is a new employee added/removed to/from an application? How is a new administrator added/removed to/from a platform? How is the application or operating system kept up to date? 14
15 IT Audit Support Providing evidence to support controls Screenshots are great to show existence (but they may not show evidence of yesterday or last month) 15
16 IT Audit Support Providing evidence to support controls Dump of a log file to evidence effectiveness of a control Records (pdf/csv/word) retained in a secured read only location are ideal for evidencing effectiveness over time. Create checksums. 16
17 IT Audit Support Creating MD5sums
18 IT Audit Support Providing evidence to support controls Capture date/time and host name in screenshots 18
19 IT Audit Support Providing evidence to support controls Make the auditor do the heavy lifting Let the auditor watch you dump the log file or configuration and then provide it to them for analysis Let the auditor watch you export the running configuration to a development appliance. Give the auditor credentials for review Grant the auditor access to the synchronized disaster recovery node to review These not only share the workload, but foster a trusting relationship between IT and IT Audit. 19
20 Software Audits You negotiated (hopefully) for software licenses, negotiate the software audit as well Perform your own software audit to identify discrepancies in licensing 20
21 SANS 20 Critical Controls (1-4) 21
22 Resources ISACA CoBIT- ISO ISA 27001/ STIG (Security Technical Implementation Guides) - GTAG Global Technology Audit Guides - COSO SANS 20 Critical Controls - Michael Hammond mhammond@ocd.com 22
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