Internal Controls

Internal Controls explain the activities we perform at our organisation to deal with Risks and Compliance Requirements. We document what they do, how we test them and what Policies, Standards and Procedures govern them.

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Current Internal Controls

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New Internal Controls

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Updated Internal Controls
Actions
Title
Objective
Audit Methodology
Audit Success Criteria
Maintenance Task
Policies
AD Group Reviews
Ensure AD groups have been managed according to our policies.
Input:
- List of critical AD groups; group name in column A
- Members for each group; column A group name; column B group member login name
- Tickets for AD management queue
- Logs from the central collector with all AD changes

Analysis:
- Review that all AD changes have a ticket assigned; if they do not have a ticket check mark the item
- Review all tickets and ensure they have followed the standard procedure; if not check mark the item.

Output:
- Spreadsheet Analysis
All AD changes have a ticket and all tickets have followed our standard procedures.
NA
Account Management Procedures Hardening Standards Logging & Monitoring Standards Change Management Procedure
Change Mgt Reviews
Review changes on linux systems have a corresponding ticket.
Input:
- List of systems in scope; column A the hostname of the system
- Logs for all systems from the central log collector
- List of tickets for the linux queue; column A ticket number; column B date

Analysis:
- For each log ensure there is a ticket; if there is no ticket check mark the log line
- For each log with a ticket; review the ticket and ensure it follows our change procedures

Output:
- Two spreadsheets; one with logs and the other with tickets
All system changes have a ticket and all tickets have followed our procedures
NA
Change Management Procedure System inventory Hardening Standards Logging & Monitoring Standards
CRM Application - Account Reviews
Ensure that each user account in CRM belongs to the correct area and that each role has been granted for a ticket
Input:
- System logs that indicate account creations at the CRM system
- List of all tickets for CRM account management since the last audit

Analysis:
- For each log identify a ticket
- Review the ticket has followed our account management process

Output:
- Spreadsheet with analysis
All account creations have followed our procedures.
NA
Account Management Procedures Hardening Standards Logging & Monitoring Standards
Database Administrator Account Reviews
Ensure the database user logins on the following systems: CRM; ERM; Acme Drupal have not received login attempts from other sources than the application that they serve.
Input:
- Connection log for these three systems obtained from the central log collector
- DB account names used by the applications that use these databases

Analysis:
- For each log line; ensure no other account than the ones used by the application has successfully logged on the DB.

Output:
- Spreadsheet validating each database connection; a check mark if a fault is identified.
Only system applications service accounts have connected to the database.
NA
Account Management Procedures Hardening Standards Logging & Monitoring Standards
DMZ Firewall Reviews
Ensure that every rule in the DMZ has followed change management procedures correctly.
Input:
- Firewall change logs from central log collector
- List of network tickets from the ticketing system; column A includes the ticket number and column B the date.
- Policy change procedure

Analysis:
- For each firewall change on the logs identify a ticket
- Each ticket must have followed our procedures in detail

Output:
- Spreadsheet with tickets includes a checkbox if they have not followed the procedure
- Spreadsheet with firewall logs include a check mark if they have not a directi ticket asociated
All logs include a ticket and all tickets have followed the process correctly
NA
Hardening Standards Change Management Procedure Logging & Monitoring Standards
High Privilege Service Accounts
Ensure that passwords are kept confidential.
Input:
- Passman logs from the central log collector
- List of tickets for the Passman queue; column A ticket number; column B date

Analysis:
- For each log ensure there is a ticket; if not check mark the item
- For each ticket; ensure the process for privilege account has been followed

Output:
- Spreadsheet with analysis
All access to privileged accounts have a ticket and all tickets have followed our standard procedures.
NA
Account Management Procedures Change Management Procedure Logging & Monitoring Standards
Log Reviews
Ensure Logging Systems are capturing logs from the systems in scope.
Input:
- Spreadsheet with the list of systems in scope
- Logging Standards Policy

Analysis
- For each system in scope review logs are being received without interruptions
- Review that rules as defined in our policy are configured and enabled

Output:
- Spreadsheet with the analysis
All systems are logging as expected and all rules are configured and enabled.
NA
Hardening Standards Logging & Monitoring Standards System inventory
Log Reviews
Ensure Logging Systems are capturing logs from the systems in scope and the logging server has enabled protection against log tampering.
Evidence:
- List of documented risks
- Logging Standards Policy
- SIEM settings

Analysis
- For each documented risk identify the logs required to trigger an alert when the risk scenario is met
- Ensure an alarm is triggered to GRC
- Ensure logs that triggered the alarm are sufficient
- Ensure SIEM settings for log tampering are enabled, this ensures logs can not be deleted even by an administrator using the user interface

Output:
- Spreadsheet with the analysis
All documented risks are monitored and alarms trigger when their conditions are met
NA
Logging & Monitoring Standards Security Governance Policy System inventory
Policy Password Configuration
Ensure that passwords policies are properly enforced on key systems
Input:
- List of AD; CRM and ERM logs including system configuration changes
- List of tickets for AD; CRM and ERM; column A ticket number; column B date
- Screenshot with password policies for AD; CRM and ERM

Analysis:
- Ensure the current password policies are aligned with our standards
- Review all system logs and ensure that for each log; there is a ticket. check mark if not.
- Review all tickets and ensure our standard policies have been followed.

Output:
- Spreadsheet with analysis
All systems in scope have the right password policy and changes have followed our procedures.
NA
Change Management Procedure Hardening Standards Logging & Monitoring Standards
VPN Access
VPN access is available to all our employees
Input:
- VPN server configurations
- List of VPN connections from our central log collector since last audit
- List of employees that left the organisation since last audit

Analysis:
- Configurations on VPN servers enforce that only AD valid accounts can login
- The comparison in between VPN logs and employees that left the organisation show no ex-employee ever connected to the VPN

Output:
- Spreadsheet with the analysis
Only employees can (and have) VPN to the organisation.
NA
Hardening Standards Logging & Monitoring Standards