AI3.2:

AI 3.2 Infrastructure Resource Protection and Availability

Control Objective:

Implement internal control, security and audit ability measures during configuration, integration and maintenance of hardware and infrastructural software to protect resources and ensure availability and integrity. Responsibilities for using sensitive infrastructure components should be clearly defined and understood by those who develop and integrate infrastructure components. Their use should be monitored and evaluated.

Applicability:

Sarbanes-Oxley

HIPAA

GLBA

PCI

FISMA

NIST SP 800-66

Ditscap

Control Exception

User Defined

Risk Association Control Activities:

3.2.1: Infrastructure

3.2.1.1: Routers

3.2.1.2: Firewalls

3.2.1.3: VPN

3.2.1.4: Managed Switches

3.2.1.5: Intrusion Detection or Prevention System

3.2.2: Operating Systems

3.2.2.1: UNIX

7. Risk: Unidentifiable users may compromise critical business processes and data.

a. SOX.4.2.1.7: The UNIX system will not allow identical administrator IDs.

Testing Procedures

Obtain a copy of the user control file from the system and verify that there are no duplicate system accounts.

An example of this might be one of the following:

• Solaris Unix: etc/passwd
• AIX Unix: etc/passwd
• Linux Unix: etc/passwd

Testing Frequency

Quarterly validation of all systems within scope.

Evidence Archive Location

Insert hyperlink or location of evidence archive.

Control Stewards Process Narrative

The AIX operating system prevents the addition of duplicate Ids. Furthermore, the regular review of administrator IDs listed above serves as a backstop for this control.

Control Steward – Steve Somebody

Process Illustration

Replace this test by inserting a process diagram, flowchart or other visual representation to illustrate the process narrative as necessary. Include a brief description of the process illustration.

Control Status and Auditors Commentary

The control is effective. It is technically impossible to establish identical user accounts on a UNIX operating system.

File:Greenlock.jpg

Control Exception Commentary

Status is acceptable.

Remediation Plan

Remediation is not required at this time.

8. Risk: Insufficient security standards may allow unauthorized access to production systems and business data stores.

a. SOX.4.2.1.8: UNIX passwords are required for each system ID. Password configuration is based on Corporate IT standards.

Testing Procedures

Obtain a copy of the configuration file enforcing the password parameters as defined by the corporate policy document: Technical Standard – Access Controls.

An example of this might be one of the following:

• Solaris Unix: etc/passwd
• AIX Unix: etc/security/user
• Linux Unix: etc/login.defs

Testing Frequency

Quarterly validation of all systems within scope.

Evidence Archive Location

Insert hyperlink or location of evidence archive.

Control Stewards Process Narrative

Passwords on all platforms adhere to companies corporate policy document: Technical Standard – Access Controls.

The password complexity standards include the following:

• Password Length: 8 characters

• Password Complexity: At least one each of alpha (a - z), numeric (0 - 9) and special characters (#, $ and @)

• Passwords may not be reused again for nine months.

• Password must be changed every thirteen weeks.

Control Steward – Pat Manager

Process Illustration

Replace this test by inserting a process diagram, flowchart or other visual representation to illustrate the process narrative as necessary. Include a brief description of the process illustration.

Control Status and Auditors Commentary

The control is effective at this time because the appropriate password parameters are automatically enforced and they meet or exceed corporate information technology password standards.

File:Greenlock.jpg

Continued ongoing random sample testing of all UNIX systems on a quarterly basis is advised.

Control Exception Commentary

Status acceptable. Control exceptions do not exist at this time.

Remediation Plan

Status acceptable. Remediation not required at this time.

3.2.2.2: WINDOWS

3.2.2.3: MAINFRAME

3.2.2.4: AS/400