DS5.5:
DS 5.5 Security Testing, Surveillance and Monitoring
Control Objective:
Ensure that IT security implementation is tested and monitored proactively. IT security should be reaccredited periodically to ensure the approved security level is maintained. A logging and monitoring function enables the early detection of unusual or abnormal activities that may need to be addressed. Access to the logging information is in line with business requirements in terms of access rights and retention requirements.
Applicability:
- Sarbanes-Oxley
- HIPAA
- GLBA
- PCI
- FISMA
- NIST SP 800-66
- Ditscap
- Control Exception
- User Defined
Risk Association Control Activities:
- 1. Risk: Development and maintenance of system with potential impact to financial reporting bypass processes for identifying business requirements, risks, and for designing needed controls.
- a. SOX.1.14: Controls provide reasonable assurance that systems with potential impact to financial reporting are developed and maintained in a controlled manner through the use of a development methodology.
- a. SOX.1.14: Controls provide reasonable assurance that systems with potential impact to financial reporting are developed and maintained in a controlled manner through the use of a development methodology.
- 1. Risk: Development and maintenance of system with potential impact to financial reporting bypass processes for identifying business requirements, risks, and for designing needed controls.
- 2. Risk: Increased vulnerabilities may be exploited adversely impacting system availability, confidentiality and integrity of programs, processing and data.
- a. SOX.3.1.2: The configuration of operating systems for application systems (servers) should support an acceptable (appropriate) level of security.
- a. SOX.3.1.2: The configuration of operating systems for application systems (servers) should support an acceptable (appropriate) level of security.
- 2. Risk: Increased vulnerabilities may be exploited adversely impacting system availability, confidentiality and integrity of programs, processing and data.
- b. SOX.4.0.1: User accounts are set up individually for each employee and passwords are changed every XXX days. Default account passwords are changed.
- b. SOX.4.0.1: User accounts are set up individually for each employee and passwords are changed every XXX days. Default account passwords are changed.
- 3. Risk: Data may be lost, altered, or corrupted.
- a. SOX.4.1.2: Database activity is monitored sufficiently to ensure that the database integrity is maintained.
- a. SOX.4.1.2: Database activity is monitored sufficiently to ensure that the database integrity is maintained.
- 3. Risk: Data may be lost, altered, or corrupted.
- 4. Risk: Users may have inappropriate access to the application system.
- a. SOX.5.1.1: Access to the application system is appropriately restricted to prevent unauthorized activity.
- a. SOX.5.1.1: Access to the application system is appropriately restricted to prevent unauthorized activity.
- 4. Risk: Users may have inappropriate access to the application system.
- PCI-2.1.1 For wireless environments, change wireless vendor defaults, including but not limited to, WEP keys, defaults SSID, passwords, and SNMP community strings, and disabling of SSID broadcasts. Enable Wi-Fi Protected Access (WPA) technology for encryption and authentication when WPA-capable.
- PCI-2.2.1 Implement only one primary function per server (e.g., web servers, database servers, and DNS should be implemented on separate servers).
- PCI-2.2.2 Disable all unnecessary and insecure services and protocols (services and protocols not directly needed to perform the devices’ specified function).
- PCI-2.2.3 Configure system security parameters to prevent misuse.
- PCI-2.2.4 Remove all unnecessary functionality, such as scripts, drivers, features, subsystems, file systems (e.g., unnecessary web servers).
- PCI.2.3: Encrypt all non-console administrative access. Use technologies such as SSH, VPN, or SSL/TLS for web-based management and other non-console administrative access.
- PCI.6.2: Establish a process to identify newly discovered security vulnerabilities (e.g., subscribe to alert services freely available on the Internet). Update your standards to address new vulnerability issues.
- PCI.10.1: Establish a process for linking all access to system components (especially those done with administrative privileges such as root) to an individual user.
- PCI-10.2.1 All individual user accesses to cardholder data.
- PCI-10.2.2 All actions taken by any individual with root or administrative privileges.
- PCI-10.2.3 Access to all audit trails.
- PCI-10.2.4 Invalid logical access attempts.
- PCI-10.2.5 Use of identification and authentication mechanisms.
- PCI-10.2.6 Initialization of the audit logs.
- PCI-10.2.7 Creation and deletion of system-level objects.
- PCI.10.4 Synchronize all critical system clocks and times.
- PCI.11.1: Test security controls, limitations, network connections, and restrictions routinely to make sure they can adequately identify or stop any unauthorized access attempts. Where wireless technology is deployed, use a wireless analyzer periodically to identify all wireless devices in use.
- PCI.11.2: Run internal and external network vulnerability scans at least quarterly and after any significant change in the network (e.g., new system component installations, changes in network topology, firewall rule modifications, product upgrades).
- PCI.11.3: Perform penetration testing on network infrastructure and applications at least once a year and after any significant infrastructure or application upgrade or modification (e.g., operating system upgrade, sub-network added to environment, web server added to environment).
- PCI.11.4: Use network intrusion detection systems, host-based intrusion detection systems, and/or intrusion prevention systems to monitor all network traffic and alert personnel to suspected compromises. Keep all intrusion detection and prevention engines up to date.
- PCI.11.5: Deploy file integrity monitoring to alert personnel to unauthorized modification of critical system or content files, and perform critical file comparisons at least daily (or more frequently if the process can be automated).
Implementation Guide:
Process Narrative
Insert a description of the process narration that is applicable to the existing control statement this narrative refers to.
Process Illustration
Insert a process diagram, flowchart or other visual representation here to illustrate the process narrative.
File:Someimage.jpg
Control Commentary
Insert a description of the control that is applicable to the existing control statement this commentary refers to.
Control Exception Commentary
Insert a description of the control exception that is applicable to the existing control statement this commentary refers to.
Evidence Archive Location
Insert Evidence Description Here.
Control Status and Auditors Commentary
Describe the condition of the applicable control and its effectiveness. Set the color icon to a redlock.jpg, yellowlock.jpg or greenlock.jpg.
File:Redlock.jpg
Remediation Plan
Insert remediation plan, applicability, or any information that indicates what needs to be done.
Supplemental Information:
ITIL Security Management.
ITIL Security Management Measures.
ITIL 4.2 Implement.
ISO 3.1 Information security policy.
ISO 9.5 Operating system access control.
ISO 9.7 Monitoring system access and use.
ISO 10.4 Security of system files.
ISO 12.1 Compliance with legal.
Implementation guidance
Insert guidance in this section if it helps to elaborate upon the subject matter. Examples of evidence that would help guide the end user is desirable.