1. Information Technology Audit Process Business Practices Seminar Paul Toffenetti, CISA Internal Audit 29 February 2008

2. Overview What is Internal Audit IT Audit Process Common IT Audit Observations So What Should We Do Questions

3. Authority and Policies What is Internal Audit? Internal auditing is an independent, objective assurance and advisory activity designed to add value and improve an organization’s operations. Internal Audit helps organizations accomplish their objectives by evaluating business risk and controls and where appropriate, offer recommendations to improve risk management and governance processes.

4. Audit Process Planning Testing Reporting Follow-up

5. Planning Annual Risk Assessment Annual Risk Assessment Preliminary Audit Plan Preliminary Audit Plan Board of Visitors Approval Board of Visitors Approval Notification and Request for Information Notification and Request for Information Understand Your Risks and Controls Understand Your Risks and Controls Opening Conference Opening Conference

6. Testing Security Security Backup & Recovery Backup & Recovery Resource Management Resource Management Web Site Web Site

7. Security Testing Remote Vulnerability Scans Servers Printers Routers Workstations Laptops If it’s on the network we scan it! Nmap & Nessus

8. Security Testing On-Site, Follow-up Vulnerability Tests Workstations LaptopsServers We Test Computers That May Have Security Vulnerabilities! WinAudit MSBA CIS Tools & Benchmarks

9. Backup & Recovery Testing You Must Have Effective Controls to Backup & Recover “Critical Data”

10. Resource Management Testing Computer Hardware & Software Procurement through Surplus

11. Web Site Testing University Relations Web Guidelines & Procedures Web Development Best Practices Content Recommendations Templates Privacy Statement (Policy 7030) Web Server & Application Security

12. Reporting Observations When Unexpected Results are Noted We Solicit Your Comments

13. Reporting Recommendations We May Recommend Opportunities To Improve Your Controls

14. Reporting Management Action Plans You Develop Plans, Schedules, and Priorities To Implement Solutions

15. Reporting A Final Report is Sent to The Board of Visitors

16. Follow-Up Follow-Up Actions are Based on Your “Management Action Plan” Follow-Up Actions are Based on Your “Management Action Plan” Progress is Monitored Progress is Monitored Some Re-Testing May be Necessary Some Re-Testing May be Necessary Board of Visitors is Updated Board of Visitors is Updated Audit is closed Audit is closed

17. Common Audit Observations Weak Security Settings Windows Operating System

18. Common Audit Observations Missing Security Patches Operating Systems ApplicationsDatabases

19. Common Audit Observations Misconfigured Anti-Malware Tools Out-of-Date Threat Signatures Scans Not Scheduled

20. Common Audit Observations Inadequate Access Controls Weak Passwords & File Permissions

21. Common Audit Observations Open Communication Ports The Hacker’s Point of Entry

22. Common Audit Observations “The System Administrator’s Dilemma” How Much Risk is Senior Management Willing to Accept? SecurityConvenience

23. So What Should We Do? Harden Security Settings Keep Everything Patched Install and Use Anti-Malware Tools Enforce Strong Passwords Close or Filter Communication Ports Test Your Systems Support Your System Administrator!

24. Questions “Success Redefined”