Audits come in all shapes and sizes. Regardless of size, audits represent a systematic and measurable assessment of the environment of an organization. Auditing for IT compliance is part of the ongoing process to ensure an organization is putting in place and maintaining adequate security policies and controls. The audit uses various tools but is primarily concerned with how the security policies are actually used. The IT environment is vast and can be broken down into manageable and auditable chunks or domains. This chapter explores what is required to achieve and sustain compliance across different scopes of the IT environment.
Examining risk and IT controls throughout the IT infrastructure can be complex given the breadth of components across organizations. There are, however, a lot of similarities between different IT departments. It is helpful to define and, if necessary, break up the scope of the audit into manageable areas or domains of security responsibility.
There are seven main Domains of IT Infrastructure
1. User Domain
The User Domain in an IT infrastructure audit refers to the portion of the IT infrastructure directly accessible and utilized by end users. This includes, but is not limited to, workstations, laptops, mobile devices, and any other hardware or software that is used by users to perform their job functions. The purpose of auditing the User Domain is to assess the security, compliance, and overall effectiveness of the technology used by users and to identify any potential risks or vulnerabilities that may impact the organization.
User Domain of an IT infrastructure audit include:
- Workstations and laptops
- Mobile devices (smartphones, tablets)
- User-installed software and applications
- User data and files
- User-defined network settings and configurations
- User access permissions and controls
- User authentication methods
- User-generated network traffic and usage patterns.
To protect the User Domain in an IT infrastructure, the following measures can be taken:
- Use strong authentication methods (e.g. multi-factor authentication) for accessing user devices and accounts.
- Implement regular software and security updates to keep devices protected against new threats.
- Monitor and restrict the installation of unauthorized software and applications on user devices.
- Implement data encryption and backup solutions to protect sensitive user data.
- Implement access controls and permissions to restrict access to sensitive data and systems.
- Educate users on security best practices and incident response procedures.
- Regularly monitor and analyze network traffic to detect and prevent malicious activities.
- Conduct periodic security audits and risk assessments of the User Domain to identify potential vulnerabilities and address them proactively.
2. Workstation Domain
The Workstation Domain in IT infrastructure audit refers to the portion of the IT infrastructure that includes desktop computers, laptops, and other end-user computing devices used for work purposes. The purpose of auditing the Workstation Domain is to assess the security, compliance, and overall effectiveness of these devices and to identify any potential risks or vulnerabilities that may impact the organization. The audit may include evaluating the hardware and software configurations, data storage and backup solutions, network connections, and security measures such as firewalls, antivirus, and access controls. The objective is to ensure that the workstations are being used in accordance with the organization’s policies and procedures and that they are secure against potential threats.
The Workstation Domain of an IT infrastructure audit includes:
- Desktop computers and laptops
- Operating systems and software applications
- User data and files
- Network connections and configurations
- Firewall and antivirus software
- Access controls and permissions
- Backup and recovery solutions
- Physical security measures (e.g. locks, cable ties).
To protect the Workstation Domain in an IT infrastructure, the following measures can be taken:
- Implement strong passwords and multi-factor authentication for user accounts.
- Regularly update operating systems, software, and security measures to stay protected against new threats.
- Use antivirus and firewall software to prevent unauthorized access and malware infections.
- Control access to sensitive data and systems by implementing access controls and permissions.
- Regularly back up and secure user data to minimize data loss in case of hardware failure or other incidents.
- Educate users on security best practices, such as avoiding suspicious emails, websites, and downloads.
- Monitor and restrict the installation of unauthorized software on workstations.
- Regularly conduct security audits and risk assessments to identify and address potential vulnerabilities.
3. LAN Domain
The LAN (Local Area Network) Domain in IT infrastructure audit refers to the portion of the IT infrastructure that encompasses the physical and logical components used to connect and manage the devices within a specific geographic area (e.g. a single building, campus, or office). The purpose of auditing the LAN Domain is to assess the security, compliance, and overall effectiveness of the network infrastructure and to identify any potential risks or vulnerabilities that may impact the organization. The audit may include evaluating the network architecture, switch and router configurations, network security measures (e.g. firewalls, intrusion detection/prevention systems), and wireless networks. The objective is to ensure that the LAN infrastructure is secure and functioning optimally to support the organization’s operations.
LAN Domain of an IT infrastructure audit includes:
- Routers, switches, and firewalls
- Wired and wireless network connections
- Network architecture and topology
- VLAN (Virtual Local Area Network) configurations
- IP addressing and subnetting
- DHCP (Dynamic Host Configuration Protocol)
- DNS (Domain Name System)
- Intrusion detection/prevention systems
- Wireless access points and security configurations.
To protect the LAN Domain in an IT infrastructure, the following measures can be taken:
- Implement strong network security measures, such as firewalls and intrusion detection/prevention systems.
- Regularly update and patch network devices to stay protected against new threats.
- Segregate sensitive data and systems using VLANs (Virtual Local Area Networks) and access controls.
- Use encryption for sensitive data transmission across the network.
- Implement strict access controls and authentication methods to restrict unauthorized access to network devices.
- Regularly monitor and analyze network traffic to detect and prevent malicious activities.
- Disable unnecessary services and protocols to reduce the attack surface.
- Conduct periodic security audits and risk assessments to identify potential vulnerabilities and address them proactively.
4. LAN-to-WAN Domain
The LAN-to-WAN (Local Area Network to Wide Area Network) Domain in IT infrastructure audit refers to the portion of the IT infrastructure that encompasses the connection and communication between a local area network and one or more remote networks (e.g. branch offices, data centers, cloud services). The purpose of auditing the LAN-to-WAN Domain is to assess the security, compliance, and overall effectiveness of the network connectivity and to identify any potential risks or vulnerabilities that may impact the organization. The audit may include evaluating the network devices (e.g. routers, switches), VPN (Virtual Private Network) configurations, network security measures (e.g. firewalls, intrusion detection/prevention systems), and remote access protocols. The objective is to ensure that the LAN-to-WAN connectivity is secure, reliable, and optimized for performance.
LAN-to-WAN Domain in an IT infrastructure audit includes:
- Routers, switches, and firewalls
- VPN (Virtual Private Network) configurations and protocols
- Remote access protocols (e.g. SSL/IPSec VPN, PPTP, L2TP)
- WAN (Wide Area Network) connectivity technologies (e.g. MPLS, LTE)
- Network address translation (NAT)
- Dynamic routing protocols (e.g. OSPF, BGP)
- Firewall and intrusion detection/prevention systems
- Remote management and monitoring tools
- Load balancing and failover configurations
- Quality of Service (QoS) policies and configurations.
To protect the LAN-to-WAN Domain in an IT infrastructure, the following measures can be taken:
- Implement strong network security measures, such as firewalls and intrusion detection/prevention systems.
- Use encrypted VPN (Virtual Private Network) connections for secure communication between remote networks.
- Implement strict access controls and authentication methods for remote access to network resources.
- Regularly update and patch network devices to stay protected against new threats.
- Monitor and analyze network traffic to detect and prevent malicious activities.
- Conduct periodic security audits and risk assessments to identify potential vulnerabilities and address them proactively.
- Implement load balancing and failover configurations to ensure high availability and reliability of network connectivity.
- Implement Quality of Service (QoS) policies to prioritize network traffic and prevent bottlenecks.
- Disable unnecessary services and protocols to reduce the attack surface.
5. WAN Domain
The WAN (Wide Area Network) Domain in IT infrastructure audit refers to the portion of the IT infrastructure that encompasses the communication and connectivity between remote networks, such as branch offices, data centers, and cloud services. The purpose of auditing the WAN Domain is to assess the security, compliance, and overall effectiveness of the network connectivity and to identify any potential risks or vulnerabilities that may impact the organization. The audit may include evaluating the network devices (e.g. routers, switches), WAN connectivity technologies (e.g. MPLS, LTE), VPN (Virtual Private Network) configurations, and remote access protocols. The objective is to ensure that the WAN connectivity is secure, reliable, and optimized for performance.
The WAN Domain is critical to many organizations because it enables the communication and sharing of data and resources across multiple locations, allowing for effective collaboration and business continuity. By auditing the WAN Domain, organizations can identify any potential issues or areas for improvement and take appropriate measures to enhance the security and reliability of their WAN infrastructure.
WAN (Wide Area Network) Domain in an IT infrastructure audit include:
- Routers and switches
- WAN connectivity technologies (e.g. MPLS, LTE)
- VPN (Virtual Private Network) configurations and protocols
- Remote access protocols (e.g. SSL/IPSec VPN, PPTP, L2TP)
- Network address translation (NAT)
- Dynamic routing protocols (e.g. OSPF, BGP)
- Firewall and intrusion detection/prevention systems
- Remote management and monitoring tools
- Load balancing and failover configurations
- Quality of Service (QoS) policies and configurations.
To protect the WAN (Wide Area Network) Domain in an IT infrastructure, the following measures can be taken:
- Implement strong network security measures, such as firewalls and intrusion detection/prevention systems.
- Use encrypted VPN (Virtual Private Network) connections for secure communication between remote networks.
- Implement strict access controls and authentication methods for remote access to network resources.
- Regularly update and patch network devices to stay protected against new threats.
- Monitor and analyze network traffic to detect and prevent malicious activities.
- Conduct periodic security audits and risk assessments to identify potential vulnerabilities and address them proactively.
- Implement load balancing and failover configurations to ensure high availability and reliability of network connectivity.
- Implement Quality of Service (QoS) policies to prioritize network traffic and prevent bottlenecks.
- Disable unnecessary services and protocols to reduce the attack surface.
- Conduct regular security testing and penetration testing to validate the security posture of the WAN infrastructure.
6. Remote Access Domain
The Remote Access Domain in IT infrastructure audit refers to the portion of the IT infrastructure that enables remote access to the organization’s network and systems. The purpose of auditing the Remote Access Domain is to assess the security and compliance of the remote access solution, as well as its overall performance and effectiveness. The audit may include evaluating the remote access protocols, access controls, and authentication methods. The objective is to ensure that the remote access solution is secure, reliable, and optimized for performance.
The Remote Access Domain is critical to many organizations because it enables employees, partners, and contractors to access the organization’s network and systems from remote locations, allowing for increased productivity and flexibility. By auditing the Remote Access Domain, organizations can identify any potential issues or areas for improvement and take appropriate measures to enhance the security and reliability of their remote access solution. This can help to ensure the confidentiality, integrity, and availability of critical data and systems, even when accessed from remote locations.
Remote Access Domain in an IT infrastructure audit include:
- Remote access protocols (e.g. SSL/IPSec VPN, PPTP, L2TP)
- Remote access devices (e.g. VPN concentrators, remote access servers)
- Remote access software (e.g. remote desktop clients, terminal emulation software)
- Access controls and authentication methods (e.g. usernames, passwords, two-factor authentication)
- Remote access logs and audit trails
- Remote access policies and procedures
- Firewall and intrusion detection/prevention systems
- Network address translation (NAT)
- Load balancing and failover configurations
- Security certificates and encryption methods.
To protect the Remote Access Domain in an IT infrastructure, the following measures can be taken:
- Implement strong access controls and authentication methods, such as usernames, passwords, and two-factor authentication.
- Use encrypted remote access protocols, such as SSL/IPSec VPN or L2TP, to secure remote connections.
- Configure firewalls and intrusion detection/prevention systems to restrict unauthorized access and protect against network attacks.
- Implement network address translation (NAT) to hide internal IP addresses and prevent direct access to internal network resources.
- Monitor and analyze remote access logs and audit trails to detect and respond to suspicious activities.
- Implement policies and procedures that govern remote access, including guidelines for remote access, acceptable use, and security.
- Regularly update and patch remote access software and devices to stay protected against new threats.
- Conduct security testing and penetration testing to validate the security posture of the remote access infrastructure.
- Limit the number of remote access devices and protocols to reduce the attack surface and simplify security management.
- Educate users on safe and secure remote access practices, including the importance of strong passwords and the dangers of phishing and other social engineering attacks.
7. System/Application Domain
The System/Application Domain in IT infrastructure audit refers to the portion of the IT infrastructure that includes the servers, storage, and applications that support the organization’s business operations. The purpose of auditing the System/Application Domain is to assess the security and compliance of the underlying systems and applications, as well as their overall performance and effectiveness. The audit may include evaluating the operating systems, databases, network infrastructure, and applications. The objective is to ensure that the systems and applications are secure, reliable, and optimized for performance.
The System/Application Domain is critical to many organizations because it provides the foundation for the organization’s operations and services. By auditing the System/Application Domain, organizations can identify any potential issues or areas for improvement and take appropriate measures to enhance the security and reliability of their systems and applications. This can help to ensure the confidentiality, integrity, and availability of critical data and systems, even when accessed from remote locations.
System/Application Domain in an IT infrastructure audit include:
- Operating systems (e.g. Windows, Linux, Unix)
- Application servers (e.g. web servers, database servers, email servers)
- Network infrastructure (e.g. switches, routers, firewalls)
- Databases (e.g. SQL, Oracle, MySQL)
- Storage systems (e.g. NAS, SAN, cloud storage)
- Applications (e.g. CRM, ERP, custom applications)
- Virtualization technology (e.g. VMware, Hyper-V)
- Backup and disaster recovery systems
- Security software (e.g. antivirus, intrusion detection/prevention systems)
- Logs and audit trails
- System and application configurations
- Security policies and procedures.
Here are some steps organizations can take to protect the System/Application Domain:
- Implement proper security measures: Organizations should implement firewalls, antivirus software, intrusion detection/prevention systems, and other security measures to protect against external threats.
- Use strong authentication and authorization methods: Organizations should implement strong authentication methods, such as multi-factor authentication, to ensure that only authorized users have access to systems and applications.
- Regularly update systems and applications: Organizations should keep their systems and applications up to date with the latest security patches and software updates.
- Implement access controls: Organizations should implement access controls to restrict access to systems and applications to only those who need it, and to monitor access activities.
- Monitor logs and audit trails: Organizations should regularly monitor logs and audit trails to identify and respond to potential security incidents.
- Encrypt sensitive data: Organizations should encrypt sensitive data, both in transit and at rest, to protect against unauthorized access.
- Implement backup and disaster recovery plans: Organizations should implement backup and disaster recovery plans to ensure that critical data and systems can be restored in the event of an outage or disaster.
- Conduct regular security assessments: Organizations should conduct regular security assessments, both internally and externally, to identify potential vulnerabilities and to ensure that their security measures are effective.
Conclusion
In conclusion, IT Infrastructure Domain refers to the various components and systems that make up an organization’s technology infrastructure. These domains, including the User Domain, Workstation Domain, LAN Domain, LAN-to-WAN Domain, WAN Domain, Remote Access Domain, and System/Application Domain, each play a critical role in ensuring the secure, reliable, and efficient operation of an organization’s technology infrastructure.
By implementing these security measures and conducting regular assessments, organizations can reduce the risk of data breaches, maintain the confidentiality, integrity, and availability of critical data and systems, and ensure the secure operation of their technology infrastructure.