Teaming with your IT auditor for better

security Patrick Dunnigan, IT audit principal, Auditor General of

Alberta Moderator: Illena Armstrong, editor-in-chief, SC Magazine

About the presenter: Patrick Dunnigan

The materials and ideas presented verbally and in the following slides are my own.

I am not here to represent the views of my employer.

This presentation is based on my experience helping auditees use audits to introduce reasonable and effective IT controls and increase security.

Auditors prevent and cure security ills.

Some auditees see an audit as the illness, not the cure.

Audi

tee

Avoiding an audit is like skipping checkups to avoid getting sick.

Audit outcomes = business outcomes

The goals of an audit are similar to business goals; creating an effective and efficient organization and driving business through:

more effective and efficient security for your organization

more effective and efficient controls to ensure your security is operating effectively

better risk management effective change management

Work together to achieve desired results. Working against each other is counter

productive.

Audits harness the power of teamwork

The IT auditor’s role on the team

Help strengthen commitment to IT that meets an organization's business objectives in a secure environment.

Identify threats to the IT environment. Recommend ways to use IT resources efficiently

and effectively. Know and follow professional practices. Offer an independent and objective perspective.

Types of audits – Regulatory: confirm compliance– Value for money: measure results– Fraud or criminal: prevent theft, secure data

IT auditors focus on:– criteria suited to the type of audit – security of people, processes and technology

Audit purpose and focus

An independent IT auditor offers your organization:

Why independence matters

an opportunity to look objectively at IT security controls and practices

a fresh perspective from a different point of view

a chance to make sure the fox is not guarding the hen house

Objectivity: third-party point of view

Perspective: focus and expertise

Credibility: focus on business risk

Why independence matters

Auditors can help: improve processes change culture deflect resistance make future audits easier by improving

practices today

Using the audit to strategic advantage

We recommend that management assess their risks and use an IT control framework to develop and implement well-designed and effective controls to mitigate identified risks. - Agreed!– Got resources ($$) to conduct a risk assessment.– Ranked risks in conjunction with business and data owners.– Identified the costs to mitigate risks.– Used COBIT to identify good security controls. – Business and data owners decided which risks to mitigate and

fund. – Moved responsibility from IT to business owners.– Got needed resources to implement and manage new

technology e.g. SEIM when other budgets were being cut.

Case study: findings lead to better security

Be prepared

Be prepared

An audit finds and makes recommendations about people, processes and technology.

New technology ≠ better security!– Need all three pillars to keep secure

Getting the security outcomes you need

People are the most important part of the three legged stool of security.

Audits often identify the need for more or better qualified resources, e.g., recommend certifications CISSP, CISM or Security+.

Can identify the need for “security” people and not just someone who can spell Nessus.

Better security – People

The IT auditor can assess security processes.

This could include assessing:– security incident response management– internal / security control documentation– security procedures / process

documentation– security processes for design adequacy and

effectiveness

Better security – Processes

If it ain’t documented it ain’t done (well) Audit recommendations usually identify a

need for more documentation.

Better security – Documented processes

Documentation lets you:• demonstrate implementation

and effectiveness• benchmark yourself against

others• demonstrate you are getting

better / maturing

What if your “security guy” wins 649?– Documented and well-designed processes

can provide for smooth succession. Documented and effective processes help

an organization to:– repeat key controls or performance indicators– be more efficient– mature the processes and controls– ensure that controls are not bypassed

Better security – Documented processes

The IT auditor can independently assess your security devices / technology.

More security – Technology

Do you have enough of the right technology?

Too much or the wrong security?

Recommend that you get more or different technology.

Audit recommendations often form the basis for a business case.

Technology can support your audit.– help desk with automated ticketing / workflow– SIM / SEM– vulnerability assessment

Better security – Technology

10. Get to know your auditor. Talk to him / her / them. Take them out for coffee or lunch!

Top 10 ways to add an auditor to your team

9. Ask what they think are the high risk or important areas for typical audits. What are their audit plans?

8. Tell them what your security pain points are! Don’t make them guess.

7. Bring them in early: when you start a project, are considering new technology, are outsourcing work or services.

6. Make them a part of your team. Ask for input and advice – but don’t impair independence!

5. Ensure that you get to review findings and recommendations. Provide feedback and comments.

Top 10 ways to add an auditor to your team

4. Make them accountable. Ensure they are capable and follow ground rules, scope and reporting. Challenge them!

3. Prepare your response. Agree, then put a plan in place with required resources, timelines and responsibilities. Put onus on senior management to make it happen!

2. Thank your auditors for helping you make the organization more secure.

1. Follow up. Ask them to audit your remediation efforts to ensure they mitigate findings.

IT auditors want the same thing you should – an effective, efficient and secure IT environment.

Bring the IT auditor in early and tell them what areas you want to focus on.

Use the auditor to get what you want. Listen and provide feedback. Follow up on recommendations. Make sure the auditor is on your team.

Questions?

Add an auditor to your IT team