IS Audit

Audit Checklist for Firewall and UTM Devices

1. General Configuration

 Device Documentation

o Firmware/Software Version: Check that the firewall and UTM devices are
running the latest firmware/software versions. Ensure there’s documentation on
the current version and patch levels, including release notes on security
updates.

o Vendor Support: Confirm that the devices are still under active support from the
vendor. Devices out of support may not receive critical security updates, making
them vulnerable to new threats.

o Configuration Backups: Verify that a regular schedule for automatic backups is

in place. These backups should be encrypted and stored in secure locations,
with multiple copies maintained o site.

o System Time and NTP: Ensure the system time is synchronized with a reliable
Network Time Protocol (NTP) server. Accurate timestamps are critical for
incident response and forensic analysis.

 Access Control

o Unused Services: Review the device to ensure that unnecessary services (e.g.,
Telnet, FTP) are disabled. Only essential services such as SSH for secure remote
access should be enabled.

o Interface Management: Unused interfaces (e.g., ports or VLANs) should be

disabled to minimize attack surfaces.

o Multi-Factor Authentication (MFA): Verify that MFA is enabled for all

administrative users to prevent unauthorized access.

o Administrative Protocols: Ensure remote management uses secure, encrypted

protocols (such as HTTPS for web management and SSH for command-line
access).

o Administrator Accounts: Review the list of admin users, ensuring that the
principle of least privilege is followed. Each admin should only have the
necessary permissions for their role.

o Timeout Settings: Check session timeout settings for administrators to ensure

that sessions automatically log out after a period of inactivity to prevent
unauthorized use.

2. Firewall Rules & Policies

 Rule Review
 o Business Justification: Review each firewall rule and document its business
purpose. Ensure that each rule is still relevant and necessary. Outdated or
redundant rules should be removed.

o Default Deny Rule: Confirm that the default rule at the bottom of the firewall
policy set is “Deny All” to block any tra ic that doesn’t explicitly match an allow
rule.

o Overly Permissive Rules: Evaluate rules that allow broad access (such as
“ANY” or large IP ranges). Restrict access to specific IP addresses, protocols, or
ports wherever possible.

o Internal Segregation: Ensure that the rules governing tra ic between di erent
network zones (e.g., LAN to DMZ, LAN to WAN) are well-defined, with clear
restrictions between trust levels.

 Rule Ordering

o Performance Optimization: Ensure that frequently used rules are placed at the
top of the rule set. Misordered rules can lead to unnecessary processing,
impacting performance.

o Specific vs. General Rules: Confirm that more specific rules (narrower IP
ranges or port definitions) are prioritized above general rules (broader ranges).
This ensures that tra ic is accurately filtered and not unintentionally allowed
through a generic rule.

 Application Layer Filtering

o Application Layer Filtering (ALF): Verify that ALF is enabled to inspect tra ic at
the application level (e.g., HTTP, HTTPS) rather than just network layers. This
helps in detecting and blocking threats embedded within legitimate-looking
tra ic.

o Deep Packet Inspection (DPI): Ensure DPI is enabled for detailed examination
of packet content, allowing the identification of advanced threats that may
bypass basic firewall inspection.

3. Intrusion Detection & Prevention (IDS/IPS)

 Signature-Based Detection

o Enabled IDS/IPS: Check that IDS/IPS functionality is enabled on the UTM

device. This feature analyzes tra ic for known attack signatures.

o Signature Updates: Verify that the device is set to receive automatic updates for
IDS/IPS signatures from the vendor. These signatures should be current to
protect against the latest threats.

 Anomaly-Based Detection

o Tra ic Baseline: Establish a normal tra ic baseline for the network to allow
anomaly-based detection systems to identify deviations (e.g., unusual tra ic
spikes).
 o Detection Policies: Fine-tune the detection policies to prevent false positives
while maintaining the ability to detect genuine threats. Ensure regular review and
adjustment based on network changes.

4. UTM Features

 Antivirus/Antimalware Protection

o Antivirus Scanning: Confirm that antivirus protection is enabled for all tra ic
types (e.g., HTTP, FTP, and email). This ensures that files and attachments are
scanned for malware before entering the network.

o Signature Updates: Ensure that virus definitions are updated automatically and
that these updates are frequent enough to cover new threats.

 Content Filtering

o Category Filtering: Ensure that web content filtering is enabled to block access
to high-risk categories such as phishing, malware, and adult content. Content
filtering helps prevent users from accessing malicious or inappropriate
websites.

o Custom URL Blocking: Review the list of custom URLs that are explicitly
blocked or allowed. Ensure this list is updated regularly and is aligned with
company policies.

 Spam and Phishing Protection

o Email Filters: Confirm that spam and phishing filters are enabled for email
tra ic. Ensure that these filters use real-time blacklists and threat intelligence to
detect and block phishing attempts.

o Customization: Customize filtering rules to better detect targeted phishing

campaigns or business email compromise (BEC) attempts.

 SSL Decryption/Inspection

o SSL/TLS Inspection: Verify that SSL inspection is enabled for web tra ic. This
allows the UTM to inspect encrypted tra ic for threats. Ensure that proper SSL
certificates are in use.

o Privacy Considerations: For sensitive content such as banking or healthcare

data, ensure that exceptions are defined so the firewall does not decrypt this
tra ic. Regularly review these exceptions to avoid security blind spots.

5. Network Segmentation and Zones

 Network Segmentation

o Segmentation: Ensure that internal networks are segmented into distinct zones
(e.g., LAN, DMZ, guest network) and that these segments are properly separated
by the firewall. Segmentation limits the spread of malware and controls access
to sensitive areas of the network.

 Firewall Policies Between Zones

 o Tra ic Control: Review the firewall rules that control tra ic between these
network zones. Ensure that rules are in place to restrict access between critical
zones, like allowing specific internal servers to communicate with the DMZ but
blocking others.

 Virtual Private Network (VPN)

o Encryption Protocols: Verify that VPN connections are configured to use strong
encryption protocols, such as IPsec or SSL. Weak encryption can lead to
compromise.

o Split Tunneling: Ensure that split tunneling (where only certain tra ic goes
through the VPN while the rest uses the user's local network) is disabled unless
there is a compelling business case. Split tunneling can expose sensitive tra ic
to untrusted networks.

o Authentication: Review VPN user authentication methods. Ensure that users

authenticate with certificates or multi-factor authentication for added security.

o VPN Access Controls: Verify that VPN users are assigned specific policies that
limit their access to only necessary network resources. Access should be
restricted to prevent lateral movement within the network.

6. Logging and Monitoring

 Logging Configuration

o Logging Settings: Ensure that detailed logging is enabled for firewall and UTM
activities. Log critical events, such as security alerts, tra ic violations, and
changes to device configuration.

o Centralized Logging: Verify that logs are forwarded to a secure, centralized log
server (such as a Security Information and Event Management (SIEM) system).
Centralized logging is essential for correlation, analysis, and forensic
investigations.

o Log Retention: Ensure that logs are retained for a period consistent with legal
and regulatory requirements. Check that logs are stored securely and that
access is restricted to authorized personnel.

 Monitoring and Alerts

o Real-Time Alerts: Confirm that real-time alerts are configured for critical
security incidents such as failed admin logins, rule violations, and malware
detections.

o Bandwidth Monitoring: Regularly monitor bandwidth usage to identify unusual

spikes that may indicate malicious activity, such as data exfiltration or DDoS
attacks.

 Event Correlation
 o SIEM Integration: Ensure that the firewall and UTM device logs are properly
integrated with an SIEM system to correlate events and identify multi-stage
attacks that may not be visible from individual devices.

7. Patch Management & Firmware Updates

 Patch Management

o Regular Updates: Confirm that the firewall/UTM devices are running the latest
patches. Vulnerabilities should be addressed as soon as patches are released to
prevent exploits.

o Automated Patch Application: Ensure that the device is configured to receive

patches automatically, or schedule regular manual updates with minimal
downtime.

o Firmware Upgrades: Review the process for firmware updates, ensuring that
they are tested in a controlled environment before deployment to production
systems. Document and regularly schedule these upgrades.

8. Backup & Recovery

 Configuration Backup

o Regular Backups: Ensure that configuration backups are performed regularly.

Verify that these backups are encrypted and stored o site or in a secure,
redundant location.

o Backup Testing: Test the restoration of backups periodically to ensure they can
be successfully applied in case of device failure or compromise.

 Disaster Recovery

o Disaster Recovery Plan: Ensure that a disaster recovery plan is in place for the
firewall and UTM devices. This plan should include steps for quickly restoring
services in the event of a hardware failure, software corruption, or cyber-attack.

9. Security Policy Review

 Security Policy

o Ensure the security policy is aligned with organizational goals and legal
requirements (GDPR, HIPAA, etc.).

o Verify that user policies regarding remote access, allowed applications, and
content filtering are documented and followed.

 Regular Audits

o Schedule regular security audits and vulnerability assessments of the firewall

and UTM configuration.

 Additional Considerations

o Third-Party Integrations: Review and test third-party integrations (like cloud

monitoring, third-party apps, etc.) for compatibility and security.
 o Penetration Testing: Conduct regular penetration tests to identify security gaps
in the firewall and UTM configurations.

o Documentation: Maintain up-to-date documentation on firewall and UTM

configurations, network diagrams, and access control policies.

10. Tra ic Analysis & Bandwidth Management

 Tra ic Monitoring

o Monitoring Tools: Ensure that comprehensive tra ic monitoring tools (e.g.,

NetFlow, sFlow, or the firewall's own monitoring module) are active. These tools
should help track both inbound and outbound tra ic.

o Historical Tra ic Data: Regularly review historical tra ic data to spot

anomalies, including unexpected tra ic patterns or excessive bandwidth
consumption. Suspicious tra ic may indicate ongoing malware infections,
exfiltration of data, or DDoS attempts.

o Top Users & Applications: Identify and monitor top users and applications
consuming the most bandwidth. Ensure these are business-critical and
compliant with organizational policies.

 Bandwidth Management

o Tra ic Shaping & QoS: Verify that tra ic shaping policies are applied to ensure
critical business applications (like VoIP, ERP, or video conferencing) are
prioritized over less essential services (e.g., streaming, social media).

o Bandwidth Control for Non-Essential Tra ic: Set bandwidth limits or throttling
for recreational tra ic (such as streaming services, and social media) to prevent
these from impacting network performance during critical business operations.

11. Advanced Threat Protection (ATP)

 Sandboxing

o Isolated Threat Analysis: Verify that the UTM device employs sandboxing
technologies to isolate suspicious files or tra ic for behavioral analysis.
Sandboxing can detect unknown or zero-day threats that standard antivirus
systems may miss.

o File Analysis: Ensure that inbound files (especially email attachments or

downloads from the internet) are automatically routed to the sandbox before
being allowed through.

 Threat Intelligence Integration

o Real-Time Threat Feeds: Check if the firewall/UTM is integrated with global

threat intelligence feeds. This allows the device to update in real-time about
emerging threats, new attack vectors, or malware signatures.

o Proactive Defense: Ensure threat intelligence is used not just for detection but
also for proactive blocking of IPs or domains known to be involved in malicious
activity.
12. Geolocation & Geo-blocking

 Geolocation-Based Access Control

o Geolocation Rules: Implement rules to block or restrict tra ic from high-risk

regions or countries. These regions could be associated with frequent cyber-
attacks or have no legitimate business requirement for access.

o Exceptions & Overrides: Where legitimate access is required from blocked

regions (for example, during travel or international partnerships), ensure that
exceptions are securely managed and logged.

 Geo-blocking Activity Monitoring

o Log Review: Regularly review geo-blocking logs for access attempts from
blocked regions. These logs can reveal potential attack attempts from malicious
actors in restricted regions.

o Adjustments: Periodically update the list of blocked regions based on the latest
threat intelligence. Adjust access based on changes in your organization’s
geographic scope or risk assessment.

13. Anomalies in User Behavior

 User & Entity Behavior Analytics (UEBA)

o Behavioral Baselines: Ensure that the UTM system is equipped with or

integrates with UEBA tools to create a baseline of normal user behavior. This
helps identify anomalies such as users accessing resources at odd times or
attempting to access unauthorized data.

o Abnormal Behavior Alerts: Ensure that alerts are set up for any deviations from
normal behavior, such as repeated failed login attempts, unexpected data
transfers, or attempts to access restricted network segments.

14. Encrypted Tra ic Management

 SSL/TLS Inspection

o Enable SSL Decryption: Ensure SSL/TLS inspection is enabled to scan

encrypted web tra ic (HTTPS) for threats. Attackers frequently hide malware
within encrypted tra ic, so this is critical for e ective threat detection.

o Certificate Management: Ensure proper SSL certificates are installed on the

firewall/UTM to prevent tra ic decryption failures. Certificates should be up-to-
date and managed securely.

 Privacy Compliance

o Exemptions for Sensitive Tra ic: Ensure that the UTM system exempts certain
tra ic (such as healthcare or financial data) from SSL decryption to comply with
legal privacy requirements. Review these exemptions regularly to ensure they
don't introduce vulnerabilities.

15. Incident Response

  Automated Response Actions

o Auto-Blocking Rules: Configure automated response actions for common

threats, such as automatically blocking malicious IP addresses, blacklisting
malicious domains, or quarantining compromised devices.

o Alerts for Critical Incidents: Set up notifications for high-severity incidents

(e.g., potential data breaches, malware outbreaks, intrusion attempts). Ensure
that these alerts are routed to the appropriate personnel (security team, incident
response team) for immediate action.

 Incident Handling Procedures

o Incident Playbooks: Review incident response playbooks specific to firewall

and UTM incidents. These playbooks should outline the steps for responding to
breaches, malware detections, or policy violations.

o Post-Incident Analysis: Ensure logs and incident data are captured and
preserved for forensic analysis after an incident. This data is critical for
understanding how the incident occurred and preventing recurrence.

16. Vulnerability Scanning & Penetration Testing

 Automated Vulnerability Scans

o Regular Scans: Ensure that the UTM device performs automated vulnerability
scans on network tra ic and devices. These scans help identify potential
vulnerabilities within the network, including weak configurations or outdated
software.

o Vulnerability Mitigation: Review scan results regularly and verify that any
identified vulnerabilities are patched or mitigated in a timely manner. High-risk
vulnerabilities should be addressed immediately.

 Penetration Testing

o External & Internal Tests: Conduct penetration tests from both external
(internet-facing) and internal perspectives to identify weaknesses in
firewall/UTM configurations. Pen tests can simulate real-world attacks to
identify vulnerabilities not captured by automated scans.

o Remediation & Follow-Up: Ensure that all findings from penetration tests are
remediated promptly. Regular retesting should follow remediation to verify that
issues have been properly fixed.

17. BYOD (Bring Your Own Device) Policy Enforcement

 Device Access Controls

o NAC (Network Access Control): Confirm that the UTM or integrated Network
Access Control (NAC) solution enforces BYOD policies. Only authorized devices
should be allowed to connect to the network, with unregistered or unknown
devices redirected to guest or quarantine networks.
 o Device Posture Checks: Ensure that security posture checks (e.g., up-to-date
antivirus, operating system patches) are performed on BYOD devices before
granting them access to corporate resources.

 Network Segmentation

o BYOD Segmentation: Separate BYOD devices onto distinct VLANs or network

segments. This limits their access to sensitive resources and minimizes the risk
of spreading malware from less secure personal devices.

18. Mobile Device Management (MDM) Integration

 MDM Enforcement

o MDM Policy Integration: Verify that the UTM integrates with Mobile Device
Management (MDM) solutions to enforce security policies on mobile devices.
This should include encryption, screen lock, remote wipe, and app control.

o Non-MDM Devices: Ensure that devices not managed by the MDM system (or
failing MDM policy checks) are blocked or restricted from accessing critical
corporate networks.

19. Data Loss Prevention (DLP)

 DLP Configuration

o Sensitive Data Monitoring: Ensure that Data Loss Prevention (DLP) policies are
enabled on the UTM to monitor tra ic for sensitive information (e.g., Personally
Identifiable Information (PII), credit card numbers, intellectual property).
Configure DLP rules to block or alert on the transmission of such data.

o Custom DLP Policies: Create custom DLP rules to reflect the specific needs of
your organization. For example, you may want to protect proprietary product
designs or client records.

 DLP Reporting & Response

o Incident Logging: Ensure that all DLP incidents are logged, including the source,
destination, and nature of the attempted data transfer. Review logs for trends or
potential breaches.

o Response Protocols: Set up automatic responses to certain DLP violations,

such as alerting the security team, blocking the o ending transmission, or
quarantining the source device.

20. Compliance Checks

 Industry Compliance

o Regulatory Alignment: Ensure that the firewall/UTM device configuration and

policies align with relevant industry regulations and standards (e.g., PCI-DSS,
HIPAA, GDPR, SOX). Verify compliance by conducting regular audits and
assessments.
 o Audit Logs: Ensure that audit logs meet the specific requirements for your
industry. These logs must capture all relevant security events and changes for
regulatory review.

 Data Retention

o Retention Policies: Ensure that logs, incident reports, and backup data
retention policies are aligned with regulatory and compliance requirements.
Sensitive data must be stored and retained securely, for the legally mandated
period, before safe destruction.

21. Business Continuity & Redundancy

 High Availability (HA)

o Failover Systems: Ensure the firewall/UTM is configured in a high availability

(HA) mode, with a failover device ready to take over in the event of primary
device failure. Test failover mechanisms regularly to confirm they work as
expected.

o Load Balancing: Verify that load balancing is configured to distribute tra ic

across multiple devices or interfaces, preventing performance bottlenecks
during heavy tra ic periods.

 Disaster Recovery (DR)

o Recovery Procedures: Ensure that disaster recovery plans include step-by-step

instructions for recovering firewall and UTM services after a catastrophic failure
or cyber-attack. Test these plans periodically.

22. Threat Hunting & Forensics

 Proactive Threat Hunting

o Regular Hunts: Establish a regular threat-hunting schedule where security

teams proactively search for hidden threats, such as malware or lateral
movement in the network, instead of waiting for alerts.

o Hunting Tools: Leverage the advanced monitoring and tra ic analysis tools
within the firewall/UTM to assist in threat hunting. These tools can help detect
patterns of advanced persistent threats (APTs).

 Forensic Data Collection

o Data Retention for Forensics: Ensure that logs, alerts, and network tra ic data
are retained for forensic investigations. This data should be protected from
tampering and easily accessible when conducting incident reviews.

o Forensic Readiness: Maintain a state of forensic readiness by ensuring that

logging, alerting, and auditing systems are capturing all critical data. This will
allow for swift and detailed analysis in case of a breach.

23. User Training & Awareness

 Administrator Training
 o Ensure all administrators are trained on the latest features and security
practices for the firewall/UTM.

 End-User Awareness

o Confirm that end-user security awareness training covers safe network usage
practices, such as identifying phishing attempts and using secure VPNs.

24. Integration with Other Security Tools

 SIEM Integration

o Ensure proper integration with SIEM (Security Information and Event

Management) tools for real-time log analysis, correlation, and reporting.

 Endpoint Detection and Response (EDR)

o Validate that firewall/UTM works e ectively with EDR solutions for a

comprehensive defense strategy.

Audit Checklist for IPS/IDS

1. Governance & Documentation

 Policies & Procedures

o Security Policy Documentation: Ensure policies are clearly defined for

managing IDS/IPS, including deployment, operations, monitoring, and incident
response.

o Roles & Responsibilities: Validate that the individuals responsible for IDS/IPS
management, such as security analysts, network engineers, and system
administrators, are clearly defined.

o Change Management Process: Review the process for requesting, approving,

and implementing changes to the IPS/IDS configuration. Are change requests
logged and reviewed to prevent unauthorized modifications?

 System Architecture

o Network Topology Documentation: Verify that a current network diagram exists

that shows where the IPS/IDS is deployed, both in-line and out-of-band.

o Logical & Physical Layout: Ensure that the system architecture is fully
documented, including the segmentation of network zones monitored by the
IPS/IDS.

o Integration with Other Security Tools: Confirm that the IPS/IDS is integrated
with other components, such as firewalls, SIEMs, and endpoint protection
systems.

2. Design & Deployment

 Positioning in the Network

 o Strategic Placement: Assess the placement of the IPS/IDS within the network.
For example, is it deployed in the DMZ, at key points between the internal
network and the Internet, or at internal network segments critical to business
operations?

o Host-based vs. Network-based Deployment: Review whether host-based IDS

(HIDS) and network-based IDS (NIDS) are deployed where appropriate. Are all
critical hosts protected by HIDS if required?

 Tra ic Visibility

o Full Packet Capture: Ensure the IDS/IPS is monitoring all relevant tra ic. For
instance, is encrypted tra ic inspected using SSL/TLS decryption if necessary?

o Blind Spots: Are there areas in the network where tra ic is not visible to the
IDS/IPS, such as east-west tra ic between virtual machines or tra ic on
encrypted tunnels (e.g., VPNs)?

3. Configuration Management

 Baseline Configuration

o Hardening of the System: Are default settings modified according to security

best practices? For example, have unused ports and services been disabled?
Are weak protocols and services disabled (e.g., Telnet, SNMP v1)?

o Secure Access Control: Ensure that access to IPS/IDS systems is restricted to

authorized personnel only through multi-factor authentication (MFA) and least-
privilege access controls.

 Signature Updates

o Automated Updates: Verify if the system is configured for automated signature

updates or if manual updates are required. Are signatures reviewed to ensure
they are accurate and up-to-date?

o Custom Signatures: Confirm that custom signatures have been implemented to

detect threats specific to the organization's environment (e.g., industry-specific
attacks or insider threats).

 Threshold Settings

o Fine-Tuning Alerts: Check that alert thresholds are configured to balance

between detecting genuine threats and reducing false positives. Is there a formal
review process for tuning these thresholds based on historical alerts and tra ic
patterns?

o Severity Levels: Are alerts categorized by severity (e.g., critical, high, medium,
low), and is there a process for prioritizing response actions based on severity?

4. Monitoring & Detection

 Real-Time Monitoring
 o 24/7 Monitoring: Are security analysts monitoring the IPS/IDS 24/7, or is it
integrated into an automated system that provides real-time alerts? Are there
any delays in responding to detected incidents?

o SOC or NOC Integration: Is the IPS/IDS part of the Security Operations Center
(SOC) or Network Operations Center (NOC)? Are logs and alerts seamlessly
integrated with other monitoring tools?

 Alerting Mechanisms

o Notification Mechanisms: Is there an established mechanism for notifying

security teams of critical alerts? Are alerts sent via multiple channels (email,
SMS, ticketing system)?

o Correlation with SIEM: Are IPS/IDS alerts integrated with SIEM tools for
correlation with other network and endpoint events? Are there automated rules
to suppress or escalate alerts?

 Anomaly Detection

o Behavioral Analytics: If the system includes anomaly detection (behavior-

based or heuristic), is it enabled? Are there defined baselines for network
behavior, and does the system learn and adapt to changing network conditions?

o Zero-Day Protection: Does the IPS/IDS have the capability to detect zero-day
threats, either through machine learning algorithms, behavioral heuristics, or
sandboxing techniques?

5. Incident Response

 Response Plan

o Incident Handling Procedures: Review documented procedures for handling

alerts generated by the IPS/IDS. Are actions such as containment, eradication,
and recovery clearly defined for di erent types of threats?

o Escalation Protocols: Are there clear protocols for escalating alerts to higher-
level security sta or management based on threat severity?

 Containment

o Blocking and Quarantine Capabilities: Assess whether the IPS can block
attacks in real-time by either blocking malicious tra ic or quarantining a ected
hosts. Are automated blocking rules in place for critical threats?

o Integration with Firewalls: Verify that the IPS can communicate with firewalls or
other devices to block tra ic or isolate hosts dynamically.

 Forensics

o Log Retention: Are logs from the IPS/IDS stored in a secure, tamper-proof
location for forensic analysis? Are logs retained for a period compliant with
regulatory requirements (e.g., 90 days, 1 year)?
 o Investigation Tools: Are there tools or processes in place for extracting and
analyzing log data to investigate incidents?

6. Performance & Availability

 System Performance

o Performance Monitoring: Review how the system’s performance is monitored

to prevent degradation of network tra ic. Are there performance benchmarks for
normal operation?

o Latency Metrics: Measure the latency introduced by the IPS when inspecting
tra ic. Is the added latency acceptable to the organization’s needs, especially
for critical applications (e.g., VoIP)?

 Redundancy & Failover

o High Availability: Is there a redundancy or failover solution for the IPS/IDS? Are
primary and backup systems tested regularly to ensure seamless operation
during an outage or failure?

o Load Balancing: Are load balancing mechanisms in place to distribute tra ic

across multiple IPS/IDS sensors, ensuring that no single sensor is overwhelmed
by tra ic?

 Latency

o Minimal Disruption: Validate that the IPS/IDS does not introduce significant
latency or packet loss, particularly when deployed inline. Are latency and
throughput metrics regularly reviewed to maintain optimal performance?

7. Logging & Reporting

 Log Management

o Centralized Log Collection: Are all IPS/IDS logs sent to a centralized logging
server or SIEM for aggregation and long-term storage? Is there encryption for log
data in transit and at rest?

o Log Integrity: Ensure logs are protected from tampering, deletion, or

unauthorized access. Is there a mechanism to audit the integrity of the logs?

 Audit Logs

o Change Logs: Are all configuration changes, including rule updates and
signature modifications, logged? Are unauthorized or suspicious changes
flagged for review?

o Access Control Logs: Are access attempts to the IPS/IDS devices and consoles
logged? Are failed access attempts flagged for follow-up?

 Reporting

o Regular Reports: Are detailed reports on detected threats, system health, and
performance generated and distributed to key stakeholders? Are these reports
tailored to various audiences (e.g., technical, executive management)?
 o Compliance Reports: Does the reporting framework meet regulatory
requirements (e.g., PCI-DSS, HIPAA, GDPR) for security monitoring?

8. Testing & Validation

 Penetration Testing

o E ectiveness Testing: Have external penetration testers or internal red teams

tested the e ectiveness of the IPS/IDS? Are test results used to update
detection signatures, policies, or configurations?

o Periodic Testing: How frequently are penetration tests conducted (e.g.,

annually, quarterly)? Are simulations of real-world attacks (e.g., DDoS,
ransomware) conducted?

 Vulnerability Scans

o Internal and External Scans: Are regular vulnerability scans performed on the
IPS/IDS to ensure it is not vulnerable to known threats? Are scans also
conducted on the broader network to verify the IPS/IDS's ability to detect those
vulnerabilities?

o Patch Management: Are patches applied in a timely manner to fix vulnerabilities

in the IPS/IDS software or firmware?

 False Positive/Negative Tuning

o Continuous Improvement: Are there ongoing e orts to reduce false positives

and false negatives? Is historical data on false alerts reviewed and used to
improve detection accuracy?

9. Compliance & Regulatory Requirements

 Regulatory Compliance

o Adherence to Standards: Verify that the IPS/IDS is configured and operating in

compliance with relevant regulations (e.g., PCI-DSS, SOX, HIPAA). Are regular
audits performed to validate compliance?

o Audit Trail: Is the IPS/IDS capable of producing audit trails required for
regulatory compliance (e.g., access logs, change management records)?

 Data Protection

o Privacy and Encryption: Ensure that monitoring of encrypted tra ic (e.g.,

HTTPS) complies with data privacy laws. Are proper encryption and key
management practices followed during data inspection and storage?

10. Training & Awareness

 Sta Training

o Training on IPS/IDS Management: Are security sta regularly trained on the

proper use, monitoring, and management of the IPS/IDS? Are new employees
trained promptly on system use?
 o Scenario-based Training: Are sta trained using simulated attack scenarios to
enhance their incident response skills when dealing with IPS/IDS alerts?

 Awareness of Threat Landscape

o Threat Intelligence Integration: Are security sta updated on new attack

vectors, advanced persistent threats (APTs), and zero-day vulnerabilities? Are
these threat intelligence feeds integrated into the IPS/IDS configuration?

11. Integration with Other Security Tools

 SIEM Integration

o Centralized Monitoring: Confirm the integration of IPS/IDS logs with the

organization's SIEM. Are events correlated with other security sources like
firewalls and endpoint detection systems for comprehensive threat detection?

o Automated Playbooks: Are automated responses triggered by SIEM correlation

(e.g., isolating a compromised host based on an IDS alert)?

 Firewall Integration

o Automated Blocking: Review whether the IPS is integrated with firewalls to

dynamically block tra ic based on detected threats. Are there predefined rules
to block critical threats immediately?

 Endpoint Security

o Coordination with EDR: Is the IPS/IDS integrated with endpoint detection and
response (EDR) solutions to coordinate actions between network-based and
host-based monitoring?

12. Vendor Management

 Support & Maintenance Contracts

o Vendor Support: Are vendor support contracts in place for the IPS/IDS? Is
support easily accessible for troubleshooting or emergency situations?

o Firmware & Software Updates: Are service-level agreements (SLAs) reviewed

to ensure timely updates, patches, and support from vendors?

 Third-Party Audits

o Independent Reviews: Has the IPS/IDS been reviewed by a third-party auditor

or security consultant? Are results from these audits used to improve the
system?

Audit Checklist for Web Application Firewall (WAF)

1. Policy & Governance

1.1 WAF Deployment Strategy

 Documentation:
 o Ensure a formal policy is in place for WAF deployment, including objectives,
scope, and roles. Review the documentation for comprehensiveness.

o Verify whether the WAF deployment strategy aligns with business objectives,
security policies, and compliance requirements (e.g., PCI DSS, HIPAA, GDPR).

 Security Requirements:

o Confirm that the WAF addresses both business and security requirements,
especially regarding data protection, tra ic management, and regulatory
compliance.

 Stakeholder Approval:

o Verify that security leadership and relevant business stakeholders (e.g.,

application owners) have approved the WAF deployment and usage strategy.

1.2 Change Management Process

 Process Validation:

o Review the process for WAF configuration and rule changes. Ensure that any
updates go through a documented change management process.

o Verify that rule changes (addition, removal, or modification) undergo proper risk
assessment, authorization, and testing before being deployed to production.

 Audit Trail:

o Ensure that all changes made to the WAF are logged and can be traced back to
the individual who made the change.

1.3 Access Control

 RBAC (Role-Based Access Control):

o Review how access to the WAF management interface is controlled. Verify that
di erent access levels (admin, read-only, etc.) are in place depending on the
user's role.

 User Access Review:

o Conduct periodic access reviews to ensure that only authorized personnel have
access to the WAF configuration.

 Privileged Access Management:

o Ensure that privileged access (e.g., administrators) follows strict access control
policies, including MFA (Multi-Factor Authentication).

2. WAF Configuration

2.1 Default Settings Review

 Removal of Defaults:

o Ensure that default settings such as admin credentials and default rule sets
have been modified.
 o Review the WAF vendor's recommendations for secure configuration, and verify
compliance.

 Baseline Configuration:

o Validate that a baseline configuration for the WAF is documented. This baseline
should serve as a reference for comparing the current state of the WAF.

2.2 SSL/TLS Support

 Certificate Management:

o Verify that all SSL/TLS certificates used by the WAF are up-to-date and signed by
trusted Certificate Authorities (CAs).

o Ensure that key lengths and algorithms used are secure (e.g., 2048-bit RSA or
better).

 SSL/TLS Encryption:

o Check whether strong encryption ciphers and protocols (e.g., TLS 1.2/1.3) are
enforced for HTTPS tra ic passing through the WAF.

o Confirm whether SSL inspection is enabled to inspect encrypted tra ic for

malicious content.

2.3 WAF Modes

 Blocking vs. Monitoring:

o Ensure that the WAF is operating in the correct mode for each environment (e.g.,
monitoring in test environments, blocking in production).

 Switching Modes:

o Document the criteria and process for switching between modes, including the
approval process and testing before changes.

2.4 Custom Rules

 Rule Optimization:

o Review the custom rules to ensure they are optimized for the specific
application, balancing security and performance.

 Rule Testing:

o Ensure that custom rules undergo rigorous testing to reduce false positives and
false negatives. Document the test cases.

 Rule Review:

o Establish a regular review schedule for custom rules, making sure they reflect
current threats and tra ic patterns.

3. Security Controls

3.1 Threat Detection & Protection

  Vulnerability Coverage:

o Ensure that the WAF is configured to protect against the OWASP Top 10
vulnerabilities, such as:

 SQL Injection

 Cross-Site Scripting (XSS)

 Cross-Site Request Forgery (CSRF)

 Security Misconfigurations

o Review the WAF rule sets that target these vulnerabilities and ensure they are
active and correctly configured.

 Threat Intelligence Feeds:

o Check if the WAF leverages threat intelligence feeds to dynamically update its
rules for emerging threats (e.g., zero-day vulnerabilities).

 False Positives/Negatives:

o Regularly review logs for false positives (legitimate tra ic blocked) and false
negatives (malicious tra ic allowed), and adjust rules accordingly.

3.2 Bot Protection

 Bot Detection:

o Verify whether the WAF can detect and block malicious bots, scraping, or
automated attacks.

o Review CAPTCHAs or JavaScript challenges configured for suspicious tra ic.

 Behavioral Analysis:

o Ensure that advanced bot protection is enabled (if supported), which leverages
behavioral analysis to distinguish legitimate users from bots.

3.3 Rate Limiting

 Thresholds:

o Verify that rate-limiting policies are in place to limit the number of requests from
specific IPs or users, protecting against abuse (e.g., API abuse, brute force
attacks).

 Rate-Limit Testing:

o Test the WAF’s ability to throttle tra ic correctly, ensuring legitimate tra ic is not
impacted.

4. Logging & Monitoring

4.1 Tra ic Monitoring

 Comprehensive Logging:
 o Ensure that the WAF logs all relevant HTTP/S tra ic, including details such as IP
address, request type, headers, and body (if required).

 Sensitive Data Handling:

o Ensure that the logging mechanism avoids capturing sensitive data (e.g.,
passwords, credit card information).

4.2 Log Retention

 Retention Policies:

o Review log retention policies and ensure they comply with internal and external
requirements (e.g., PCI DSS mandates a minimum of one year of log retention).

 Log Backup:

o Verify that logs are backed up regularly and stored in a secure, tamper-evident
manner.

4.3 Integration with SIEM

 SIEM Integration:

o Ensure the WAF is integrated with the organization’s SIEM for centralized log
management, correlation, and alerting.

o Verify whether WAF events generate appropriate alerts based on severity and
pre-defined criteria.

4.4 Log Review Process

 Regular Reviews:

o Confirm that security analysts or administrators review WAF logs on a scheduled

basis (e.g., daily or weekly).

 Anomaly Detection:

o Ensure that anomalies or unusual tra ic patterns are flagged for immediate
review.

5. Performance & Availability

5.1 Scalability

 Capacity Planning:

o Review the WAF's ability to handle peak loads. Verify that it can scale to
accommodate increased tra ic without performance degradation.

 Performance Benchmarks:

o Measure and document the latency introduced by the WAF in normal and peak
tra ic scenarios. Ensure that it meets organizational performance requirements.

5.2 High Availability

  Redundancy Setup:

o Confirm that the WAF is deployed with redundancy in mind (e.g., load balancing,
failover capabilities) to ensure minimal downtime.

 Health Checks:

o Ensure that automatic health checks are in place to detect WAF failures and
trigger failover mechanisms.

5.3 DDoS Protection

 Layer 7 DDoS Protection:

o Verify that the WAF is configured to mitigate Layer 7 DDoS attacks, such as
Slowloris or HTTP floods.

 Tra ic Scrubbing:

o If applicable, ensure that tra ic scrubbing services or upstream DDoS protection

mechanisms are integrated with the WAF.

6. Regular Maintenance & Updates

6.1 Firmware & Software Updates

 Update Schedule:

o Ensure that firmware and software updates are applied promptly and follow a
documented patch management schedule.

 Change Control for Updates:

o Review the process for testing and deploying updates in a non-production

environment before applying them to production.

6.2 Security Patches

 Patch Priority:

o Ensure that critical security patches are identified and applied immediately
based on their severity and potential impact on the WAF and web applications.

 Patch Validation:

o Verify whether patches are tested in a staging environment before deployment to

production.

6.3 Rule Updates

 Automatic Rule Updates:

o Verify that the WAF is set to receive and apply vendor-provided rule updates (if
applicable) for new threats.

 Manual Rule Updates:

 o Ensure that a process exists for administrators to review and manually apply
critical rule updates when necessary.

7. Testing & Validation

7.1 Penetration Testing

 Test Scope:

o Ensure that the WAF is included in the scope of regular penetration tests.
Validate that it can detect and mitigate the attacks tested.

 Findings Review:

o Ensure that any findings from penetration tests are addressed, with lessons
learned used to improve WAF configurations.

7.2 Rule Validation

 Test Tra ic Simulation:

o Simulate di erent types of attack tra ic (e.g., SQL injection, XSS) to verify that
the WAF rules are correctly identifying and blocking threats.

 False Positive/Negative Review:

o Test for false positives (legitimate tra ic blocked) and false negatives (malicious
tra ic allowed) regularly to fine-tune rule sets.

8. Incident Response

8.1 Alerting

 Real-Time Alerts:

o Ensure the WAF is configured to generate real-time alerts for critical security
events such as attempted SQL injections, XSS, or DDoS attacks.

o Review alert thresholds to ensure appropriate prioritization. Critical events

should trigger immediate alerts, while less severe issues might be batched or
delayed.

 Alert Delivery:

o Verify that alerts are routed to appropriate channels, such as email, SMS, or a
centralized Security Information and Event Management (SIEM) system.

o Ensure escalation processes are in place for critical alerts, including automatic
notifications to senior sta or incident response teams.

8.2 Incident Investigation

 Log and Alert Review:

o Ensure that WAF logs and alerts contain su icient detail (e.g., time, source IP,
request details, rule triggered) to conduct thorough incident investigations.
 o Confirm that investigation workflows are in place for each type of WAF event,
including who is responsible for investigation, escalation, and remediation.

 Investigation Tools:

o Ensure that tools or dashboards are in place to visualize tra ic patterns,

correlate logs, and quickly investigate potential threats.

8.3 Post-Incident Review

 Root Cause Analysis (RCA):

o Verify that a formal root cause analysis process is in place for security incidents
that involve the WAF. Document findings and lessons learned.

 Improvement of Rules:

o Ensure that incidents result in improved WAF rules or configurations. For

example, a new attack vector should lead to updated or new WAF rules.

 Documentation:

o Confirm that incidents, responses, and remediation actions are documented

and filed for future reference and compliance audits.

9. Third-Party Integrations & Cloud Considerations

9.1 Cloud-Based WAF

 Cloud Provider Security:

o Ensure the cloud-based WAF provider complies with security standards and
o ers transparency regarding its security practices (e.g., encryption of data in
transit and at rest, incident response times).

 Service Level Agreements (SLAs):

o Review SLAs with cloud WAF providers to ensure guarantees around uptime,
incident response, and security measures (e.g., DDoS protection).

 Data Privacy:

o Confirm that the cloud-based WAF adheres to data privacy regulations such as
GDPR or HIPAA, ensuring data crossing borders is compliant with local
regulations.

9.2 CDN Integration

 Content Delivery Network (CDN) Alignment:

o Ensure that the WAF integrates smoothly with any CDNs being used. This
includes making sure caching policies do not interfere with WAF rules and that
security headers are properly applied to cached content.

 Edge Protection:
 o For cloud WAFs or those working with CDNs, verify that edge protection
mechanisms are aligned to block attacks at the nearest point of presence (POP)
rather than allowing tra ic to reach the application layer.

10. Documentation

10.1 Configuration Documentation

 Complete Configuration Records:

o Ensure that the WAF configuration is fully documented, including settings for
SSL/TLS, custom rules, IP whitelists/blacklists, rate limits, etc.

o Verify that all changes to the WAF configuration are tracked, with detailed
descriptions of changes, who made them, and why they were made.

 Version Control:

o Ensure that version control systems are used to track changes to WAF
configurations and rule sets, allowing rollback to previous configurations when
necessary.

10.2 Security Documentation

 Security Procedures:

o Ensure that the security procedures related to the WAF, such as rules for
configuring access controls, making rule changes, and monitoring tra ic, are
documented and regularly updated.

 Incident Response Plans:

o Ensure that there is an incident response plan specifically tailored for WAF-
related incidents (e.g., DDoS attack, WAF misconfiguration). The plan should
include escalation paths and remediation procedures.

10.3 Compliance and Audits

 Regulatory Documentation:

o Ensure that documentation for compliance with relevant regulations (e.g., PCI
DSS, SOX, HIPAA, GDPR) is maintained and reviewed regularly.

o Verify that audit trails, including configuration changes, access logs, and rule
changes, are stored securely and available for periodic audits.

 WAF Usage Policy:

o Ensure that a formal policy regarding WAF usage, management, and

maintenance exists and is approved by the organization’s security team.

10.4 Training and Awareness

 Admin Training:
 o Confirm that administrators and security personnel responsible for managing
and configuring the WAF are trained on its proper use, including rule creation,
monitoring, and incident response.

 Ongoing Education:

o Verify that personnel receive ongoing training to stay updated on new features,
threats, and best practices related to the WAF and its integration with other
security tools.

11. Continuous Improvement & Feedback Loop

11.1 Rule Adjustment Process

 Dynamic Rule Updates:

o Ensure that a process is in place for dynamically adjusting rules based on new
threats, application changes, and false-positive/negative rates.

 User Feedback:

o Establish feedback loops where users (e.g., application teams, security

engineers) can report issues related to the WAF, such as blocked legitimate
tra ic or undetected attacks.

11.2 Performance and Security Metrics

 KPIs for WAF E ectiveness:

o Define and track key performance indicators (KPIs) to evaluate WAF

e ectiveness, including metrics like the number of blocked attacks, false-
positive rates, response times to incidents, and rule e icacy.

 Benchmarking:

o Regularly benchmark the WAF's performance against industry standards or

other WAF implementations within the organization.

11.3 Compliance Review

 Regulatory Audits:

o Schedule periodic compliance reviews to ensure that the WAF meets the
organization's internal security policies as well as any applicable external
regulatory frameworks.

 Audit Trail Review:

o Confirm that all audit trails are regularly reviewed for discrepancies or signs of
tampering, ensuring full accountability for WAF changes and actions.

12. Final Security Auditing and Testing

12.1 Third-Party Audits

 Independent Review:
 o Engage third-party security auditors to assess the WAF's security controls,
configuration, and rule sets to identify weaknesses or misconfigurations.

o Ensure audit findings are documented and incorporated into the continuous
improvement process.

12.2 Testing and Validation

 Regular Security Testing:

o Ensure the WAF undergoes regular security testing, including vulnerability

scanning and penetration testing, to identify potential gaps in its defense.

 WAF Rule E ectiveness Testing:

o Simulate real-world attacks (e.g., SQL injection, cross-site scripting) in test

environments to validate the WAF’s ability to detect and block such threats.

 Performance Testing:

o Perform stress tests to evaluate how the WAF handles high tra ic volumes, both
legitimate and malicious, and determine any potential performance
bottlenecks.

Audit Checklist for Load Balancer

1. Architecture and Deployment

Topology Review

 Network Placement

o Verify that the load balancer is placed in an appropriate network segment (e.g.,
DMZ for public-facing services or internal network for internal applications).

o Ensure proper network segmentation to isolate the load balancer from other
critical infrastructure.

 Integration with Firewalls and DMZ

o Confirm that firewall rules are configured to allow only necessary tra ic to and
from the load balancer.

o Check that the load balancer's placement supports the organization's security
architecture and compliance requirements.

Redundancy and High Availability

 HA Configuration

o Ensure that the load balancer is deployed in an HA configuration, with redundant

instances or nodes.

o Verify the configuration of failover mechanisms (e.g., active-active or active-

passive) to ensure seamless transition in case of failure.

 Failover Testing
 o Regularly test failover and failback procedures to confirm that they function as
expected without impacting service availability.

 Geographical Distribution

o For global load balancers, ensure proper configuration of geo-distributed

instances to handle tra ic across di erent regions and provide resilience against
regional outages.

2. Configuration Management

Configuration Backup

 Backup Automation

o Implement automated backup processes for the load balancer’s configuration

to ensure regular and consistent backups.

o Verify that backups are encrypted and stored securely to protect against
unauthorized access.

 Backup Testing

o Periodically test backup restoration to ensure that configurations can be

restored correctly and promptly in case of a failure.

Change Control

 Change Management Process

o Ensure that changes to the load balancer’s configuration are documented,

reviewed, and approved according to the organization's change management
policies.

 Version Control

o Use version control for configuration files to track changes and facilitate rollback
if needed.

 Change Verification

o Verify that changes are applied correctly and do not introduce vulnerabilities or
misconfigurations.

3. Access Controls

Authentication

 Multi-Factor Authentication (MFA)

o Enforce MFA for all administrative access to the load balancer to add an extra
layer of security.

 Centralized Authentication

o Integrate with centralized authentication systems (e.g., LDAP, Active Directory)

to manage and monitor access consistently.
Role-Based Access Control (RBAC)

 Role Definition

o Define roles and permissions based on job functions, ensuring that users only
have access to the features and data necessary for their roles.

 Access Reviews

o Conduct regular reviews of user roles and permissions to ensure compliance

with the principle of least privilege.

Session Management

 Timeout Settings

o Configure session timeout settings for administrative sessions to minimize the

risk of unauthorized access due to unattended sessions.

 Session Logging

o Ensure that session activity, including login attempts and session terminations,
is logged and monitored.

4. Network Security

SSL/TLS Configuration

 Protocol and Cipher Suite Configuration

o Configure strong SSL/TLS protocols and cipher suites to protect data in transit.
Disable weak protocols (e.g., SSLv3) and cipher suites.

 Certificate Management

o Regularly renew and manage SSL/TLS certificates to prevent expiration and

ensure trustworthiness.

 Certificate Validation

o Ensure that SSL/TLS certificates are validated and that certificate chains are
complete and trusted.

Virtual IP Configuration

 VIP Usage

o Verify that virtual IP addresses (VIPs) are configured correctly and securely, with
appropriate access controls in place.

 Service Exposure

o Ensure that only necessary services are exposed through VIPs and that access is
restricted to authorized users.

Firewall Rules

 Rule Configuration
 o Review and configure firewall rules to allow only the necessary tra ic to and
from the load balancer.

 Tra ic Filtering

o Implement tra ic filtering to block malicious or unauthorized tra ic, and review
rules regularly to adapt to changing threats.

5. Application Security

Web Application Firewall (WAF) Integration

 WAF Configuration

o Ensure that the Web Application Firewall (WAF) is properly integrated with the
load balancer and configured to protect against common web threats (e.g., SQL
injection, cross-site scripting).

 Rule Updates

o Regularly update WAF rules and signatures to address new vulnerabilities and
attack vectors.

Content Filtering

 Filtering Rules

o Configure content filtering rules to prevent the transmission of malicious or

inappropriate content through the load balancer.

 Regular Reviews

o Review and update filtering rules based on emerging threats and changes in
application requirements.

Secure Cookies

 Cookie Flags

o Ensure that cookies are configured with security flags (e.g., HttpOnly, Secure) to
protect against cross-site scripting (XSS) and other attacks.

 Cookie Management

o Review cookie policies and settings to ensure they align with best practices for
security and privacy.

6. Load Balancing and Health Checks

Session Persistence

 Configuration Review

o Verify that session persistence (also known as session a inity) is configured

based on application requirements to ensure that users are consistently
directed to the same backend server.

 Performance Impact
 o Assess the performance impact of session persistence on load balancing
e iciency and server resource usage.

Load Balancing Algorithms

 Algorithm Selection

o Review and select appropriate load balancing algorithms (e.g., round-robin,

least connections, IP hash) based on the application’s tra ic patterns and
requirements.

 Algorithm Configuration

o Ensure that the chosen algorithm is configured correctly and optimized for
performance.

Health Checks

 Configuration

o Configure health checks to monitor the status of backend servers and ensure
that tra ic is only directed to healthy servers.

 Thresholds and Intervals

o Set appropriate thresholds and intervals for health checks to balance

responsiveness and resource utilization.

7. Logging and Monitoring

Centralized Logging

 Log Aggregation

o Ensure that logs from the load balancer are aggregated into a centralized logging
system for easier analysis and correlation.

 Log Formats

o Verify that logs are formatted consistently and include relevant information for
security analysis (e.g., timestamps, source IPs, request details).

Log Retention

 Retention Policies

o Implement log retention policies that comply with regulatory requirements and
organizational needs, ensuring logs are stored securely for the required duration.

 Archiving

o Archive logs securely and ensure they are accessible for forensic analysis if
needed.

Monitoring and Alerting

 Monitoring Tools
 o Deploy monitoring tools to track load balancer performance metrics (e.g., tra ic
volume, response times) and security events.

 Alert Configurations

o Configure alerts for critical events (e.g., high tra ic spikes, failed health checks)
and establish thresholds for timely notifications.

Intrusion Detection

 IDS/IPS Integration

o Integrate intrusion detection/prevention systems (IDS/IPS) to monitor and

respond to suspicious tra ic patterns and potential attacks.

 Anomaly Detection

o Implement anomaly detection mechanisms to identify unusual or potentially

harmful behavior.

8. DDoS Protection

Tra ic Throttling and Rate Limiting

 Configuration

o Implement tra ic throttling and rate limiting to mitigate the impact of DDoS
attacks by controlling the rate of incoming tra ic.

 Policy Review

o Review and adjust throttling and rate limiting policies based on current threat
levels and tra ic patterns.

DDoS Protection Mechanism

 Protection Services

o Utilize DDoS protection services (e.g., Cloudflare, AWS Shield) to provide

additional layers of defense against large-scale attacks.

 Configuration Verification

o Ensure that DDoS protection mechanisms are correctly configured and

integrated with the load balancer.

Layer 7 DDoS Mitigation

 Application Layer Protection

o Implement application layer protections to defend against more sophisticated

DDoS attacks targeting application logic and functionality.

 Mitigation Strategies

o Develop and test mitigation strategies for Layer 7 DDoS attacks, such as rate
limiting, challenge-response tests, and CAPTCHA.
9. Security Patching

Firmware and Software Updates

 Patch Management

o Establish a patch management process to ensure timely application of firmware

and software updates for the load balancer.

 Patch Testing

o Test patches in a staging environment before deployment to ensure they do not

introduce new issues.

Vulnerability Management

 Vulnerability Scanning

o Conduct regular vulnerability scans to identify and address security weaknesses

in the load balancer and its components.

 Remediation

o Develop and implement remediation plans for identified vulnerabilities,

prioritizing based on risk and impact.

10. Compliance and Documentation

Compliance Standards

 Regulatory Requirements

o Ensure that the load balancer is configured to meet relevant compliance

standards (e.g., PCI DSS for payment systems, HIPAA for healthcare data).

 Audit Readiness

o Prepare for compliance audits by maintaining documentation and evidence of

adherence to regulatory requirements.

Audit Logs

 Log Review

o Regularly review audit logs to ensure they provide a complete record of load
balancer activities and compliance with security policies.

 Evidence Collection

o Collect and retain evidence of security controls and compliance measures for
audit purposes.

Documentation

 Configuration Documentation
 o Maintain detailed documentation of the load balancer’s configuration, including
network settings, security policies, and operational procedures. Ensure it is
regularly updated.

 Process and Procedure Documentation

o Document processes and procedures related to load balancer management,

including deployment, maintenance, and incident response.

 Version History

o Keep a version history of documentation to track changes and updates over

time.

11. Failover and Disaster Recovery

Disaster Recovery Plan

 Plan Documentation

o Develop a comprehensive disaster recovery plan that includes detailed steps for
recovering the load balancer and associated infrastructure in the event of a
major failure.

 Recovery Objectives

o Define recovery time objectives (RTO) and recovery point objectives (RPO) for
the load balancer to ensure acceptable downtime and data loss in disaster
scenarios.

Failover Testing

 Test Scenarios

o Regularly test failover scenarios to ensure that the load balancer can switch to a
backup instance or configuration seamlessly in case of failure.

 Test Documentation

o Document test results, including any issues encountered and actions taken, to
improve the failover process and disaster recovery plan.

Backup Configurations

 Backup Procedures

o Ensure that backup procedures include regular snapshots of load balancer

configurations and any related data.

 Secure Storage

o Store backups securely, preferably in a di erent geographic location, to protect

against data loss due to localized disasters.

12. Performance and Capacity Planning

Performance Tuning
  Optimization

o Fine-tune load balancer settings (e.g., connection timeouts, maximum

connections) to optimize performance based on tra ic patterns and application
requirements.

 Performance Monitoring

o Continuously monitor performance metrics such as latency, throughput, and

resource utilization to identify and address performance bottlenecks.

Capacity Planning

 Tra ic Analysis

o Analyze historical tra ic patterns and growth trends to forecast future capacity
needs and plan for scaling.

 Resource Allocation

o Allocate resources (e.g., CPU, memory) based on anticipated tra ic and

performance requirements to ensure that the load balancer can handle peak
loads.

Tra ic Analysis

 Historical Data

o Review historical tra ic data to identify trends and potential future demands.
Use this information to adjust load balancer configurations and scaling plans.

 Usage Patterns

o Analyze usage patterns to understand peak times and adjust load balancing
algorithms and configurations accordingly.

13. Third-Party Integration and API Security

API Security

 Authentication and Authorization

o Ensure that APIs used to manage the load balancer are secured with strong
authentication (e.g., API keys, OAuth) and proper authorization mechanisms.

 Rate Limiting

o Implement rate limiting on APIs to prevent abuse and ensure that legitimate
requests are processed e iciently.

Third-Party Services

 Security Assessments

o Conduct security assessments of third-party services integrated with the load

balancer to ensure they meet security standards and do not introduce
vulnerabilities.
  Contractual Security Clauses

o Review and ensure that third-party contracts include appropriate security

clauses and compliance requirements.

14. Operational Procedures

Incident Response Plan

 Plan Development

o Develop a detailed incident response plan specifically for load balancer issues,
outlining steps for detection, containment, eradication, and recovery.

 Roles and Responsibilities

o Clearly define roles and responsibilities for each team member involved in
incident response, including communication protocols and escalation
procedures.

 Incident Simulation

o Conduct regular incident simulation exercises to test and refine the incident
response plan, ensuring that team members are familiar with their roles and
procedures.

Operational Support

 Support Procedures

o Establish clear procedures for operational support, including troubleshooting,

maintenance, and escalation processes.

 Documentation

o Document common issues and resolutions to facilitate quicker problem-solving

and knowledge sharing.

15. Security Policies and Procedures

Policy Review

 Policy Creation

o Develop comprehensive security policies specific to the load balancer, covering

areas such as access control, data protection, and configuration management.

 Review Schedule

o Schedule regular reviews of security policies to ensure they remain relevant and
e ective in addressing emerging threats and compliance requirements.

 Policy Enforcement

o Implement mechanisms to enforce security policies, including automated tools

and manual checks.

Training and Awareness

  Training Programs

o Develop and deliver training programs for sta involved in managing or using the
load balancer, covering topics such as security best practices, incident
response, and policy compliance.

 Awareness Campaigns

o Conduct regular security awareness campaigns to keep sta informed about

current threats and best practices for load balancer security.

16. Data Protection

Data Encryption

 Encryption Standards

o Use industry-standard encryption algorithms (e.g., AES-256) for protecting data

at rest and in transit. Ensure encryption configurations are correctly applied.

 Key Management

o Implement a secure key management process, including key generation,

storage, rotation, and destruction.

Data Privacy

 Privacy Impact Assessments

o Conduct privacy impact assessments to identify and mitigate risks associated

with the collection and processing of personal data through the load balancer.

 Data Access Controls

o Implement access controls to ensure that personal data is only accessible to

authorized users and systems.

17. Scalability and Performance Testing

Load Testing

 Test Planning

o Develop a comprehensive load testing plan that includes di erent tra ic

scenarios and stress levels to evaluate the load balancer’s performance.

 Result Analysis

o Analyze load testing results to identify potential bottlenecks and performance

issues. Use the findings to optimize the load balancer’s configuration and
capacity.

Scalability Testing

 Scaling Scenarios

o Test both vertical and horizontal scaling scenarios to ensure that the load
balancer can handle increased tra ic and resource demands.
  Auto-Scaling Validation

o Verify that auto-scaling mechanisms are configured correctly and respond

appropriately to changes in tra ic.

18. Backup and Recovery

Backup Verification

 Testing Procedures

o Regularly test backup procedures to ensure that configurations and data can be
restored successfully. Document and address any issues discovered during
testing.

 Backup Frequency

o Ensure that backup frequency aligns with the criticality of the load balancer and
its data, balancing between data protection and storage costs.

Disaster Recovery Drills

 Drill Scenarios

o Conduct disaster recovery drills using various failure scenarios to test the
e ectiveness and readiness of the disaster recovery plan.

 Plan Refinement

o Refine the disaster recovery plan based on drill outcomes and feedback,
addressing any gaps or weaknesses identified.

19. Advanced Threat Detection

Behavioral Analysis

 Anomaly Detection

o Implement anomaly detection systems to identify unusual tra ic patterns or

behaviors that may indicate a security threat.

 Baseline Establishment

o Establish baseline metrics for normal behavior to enhance the accuracy of

anomaly detection and reduce false positives.

Threat Intelligence

 Integration

o Integrate threat intelligence feeds with monitoring systems to stay informed

about new and emerging threats relevant to the load balancer.

 Threat Analysis

o Regularly analyze threat intelligence reports to update security measures and

defenses based on current threat landscapes.
20. Documentation and Reporting

Detailed Documentation

 Configuration Records

o Maintain detailed records of all load balancer configurations, including network

settings, security controls, and operational procedures.

 Change Logs

o Keep comprehensive change logs to track modifications to configurations,

policies, and procedures.

Audit Reports

 Audit Planning

o Plan and conduct regular security audits to assess the load balancer’s
compliance with security policies and standards.

 Reporting Findings

o Document audit findings, including any identified vulnerabilities or non-

compliance issues, and develop action plans to address them.

Compliance Reporting

 Regulatory Reporting

o Generate reports to demonstrate compliance with relevant regulations and

standards, including detailed evidence of security controls and practices.

 Internal Reporting

o Provide regular internal reports on the load balancer’s security posture and
compliance status to stakeholders and management.

21. Vendor and Third-Party Risk Management

Vendor Assessments

 Security Reviews

o Conduct security assessments of vendors providing load balancer hardware or

software to ensure they meet your security requirements.

 Third-Party Audits

o Review third-party audit reports and certifications to verify the security posture
of external vendors and service providers.

Third-Party Contracts

 Contractual Clauses

o Ensure that third-party contracts include security clauses that address data
protection, access control, and incident response.
  Compliance Clauses

o Include compliance requirements in third-party contracts to ensure adherence

to relevant regulations and standards.

22. Configuration Hardening

Minimize Attack Surface

 Service Minimization

o Disable unnecessary services, ports, and features to reduce the attack surface
of the load balancer.

 Default Settings

o Review and change default settings to more secure configurations, following

best practices and organizational policies.

Secure Configuration

 Hardening Guidelines

o Apply security hardening guidelines specific to the load balancer, such as

disabling debug modes and enforcing strong authentication.

 Regular Reviews

o Regularly review and update configurations to address emerging threats and

vulnerabilities

Audit Checklist for Active Directory

1. Accounts & Permissions

User Accounts

 Verify no inactive accounts (disable or remove inactive user accounts).

 Ensure no duplicate user accounts.

 Ensure unique usernames are used.

 Confirm password policies (length, complexity, expiration) align with security

standards.

 Review last logon dates and ensure they are recent for active accounts.

 Ensure service accounts have strong passwords and minimal privileges.

Group Policies & Membership

 Review privileged groups (Administrators, Domain Admins, Enterprise Admins, etc.) for
unnecessary memberships.

 Ensure least privilege principle is applied across group memberships.

 Check for nested groups and ensure correct permissions are inherited.
  Verify that group policies are applied based on role and security needs.

Administrative Access

 Limit membership of Domain Admins and Enterprise Admins to a minimum.

 Ensure there is a separation of duties between standard and privileged accounts.

 Review access for remote administration tools and ensure only trusted systems have
this capability.

2. Policies & Settings

Password Policies

 Verify minimum password length (at least 8-12 characters).

 Confirm password complexity requirements (uppercase, lowercase, numbers,

symbols).

 Enforce password expiration (recommend 60-90 days).

 Check account lockout policy (e.g., lockout after 3-5 failed login attempts).

 Ensure password history is enabled to prevent reuse of old passwords.

Audit Policies

 Ensure that audit policies are enabled for user login attempts (successful and failed).

 Verify that group policy changes, and privilege use are logged.

 Ensure PowerShell logging and script execution auditing is enabled.

User Rights Assignment

 Review user rights (via Local Security Policies or Group Policy) for sensitive operations
like:

o Backup/Restore

o Debug Programs

o Log on as a service

o Log on locally

o Access from the network

3. Group Policy Objects (GPOs)

Group Policy Hardening

 Review GPOs for enforcing security baselines.

 Confirm that administrative template policies are configured to secure workstations

and servers.

 Ensure GPOs are applied appropriately to Organizational Units (OUs).

  Check for loopback policy processing where needed.

 Ensure password policies are properly applied at the domain level.

GPO Permissions

 Review GPO permissions to ensure only authorized users can create, edit, or delete
GPOs.

 Ensure GPO delegation is restricted to trusted administrators.

4. AD Security Configurations

DNS & AD Replication

 Ensure DNS settings are correctly configured for redundancy and security.

 Verify replication is working across all domain controllers.

 Ensure replication schedules are e icient and secure.

Domain Controllers

 Ensure all domain controllers are up-to-date with patches.

 Verify NTLM usage is minimized and not used for sensitive systems (enforce use of
Kerberos).

 Ensure time synchronization is configured correctly via NTP.

AD Schema & Structure

 Review the AD schema to ensure no unnecessary extensions or modifications.

 Confirm OUs and containers are organized logically (users, devices, etc.).

 Ensure AD sites and services are configured for proper replication.

5. Security & Monitoring

Logging & Monitoring

 Ensure security event logging is enabled on all domain controllers.

 Review event logs for suspicious activity (e.g., multiple login failures, changes to group
memberships).

 Ensure SIEM integration for real-time log analysis.

 Enable logging of AD changes (via tools like AD Audit or native AD auditing).

Backup & Disaster Recovery

 Ensure regular backups of the AD database and system state.

 Test restoration of backups periodically.

 Ensure domain controller redundancy (geographically distributed).

Security Tools
  Implement tools like LAPS (Local Administrator Password Solution) to manage local
admin passwords.

 Utilize Microsoft Advanced Threat Analytics (ATA) or Azure AD Identity Protection for
proactive threat detection.

6. Patch Management & Updates

 Verify that all domain controllers, servers, and connected devices are updated with the
latest security patches.

 Ensure critical updates are applied automatically or as soon as possible.

 Monitor for any vulnerabilities in Microsoft advisories related to Active Directory

components.

7. Additional Security Controls

Multi-Factor Authentication (MFA)

 Enforce MFA for all administrative accounts.

 Enable MFA for sensitive user accounts, especially those with access to critical data.

Privileged Access Management (PAM)

 Implement PAM solutions to control and audit access to privileged accounts.

 Ensure privileged accounts are only used for administrative purposes and not for daily
tasks.

Service Accounts Management

 Use managed service accounts to simplify password management for service

accounts.

 Restrict service accounts to only necessary systems and remove unnecessary

privileges.

8. Compliance & Documentation

 Ensure compliance with regulatory standards (e.g., GDPR, HIPAA, SOX).

 Document and review all changes made during the audit process.

 Provide a final report summarizing the audit findings and recommendations.

Audit Checklist for Linux

1. System Configuration

 Verify User Accounts:

o List Users:

 Use commands like cat /etc/passwd to list all user accounts.

 Identify and review system accounts (UIDs below 1000) to ensure they
are necessary and configured correctly.
 o Check for Dormant Accounts:

 Identify accounts that haven't been used in a while using last and
lastlog.

 Disable or remove unnecessary dormant accounts.

o Password Policies:

 Review /etc/[Link] for password aging and complexity settings.

 Check /etc/security/[Link] or /etc/pam.d/common-password for

password complexity requirements.

 Check User Privileges:

o Sudo Configuration:

 Examine /etc/sudoers using visudo to ensure that users have only the
required privileges.

 Check for any unnecessary or overly permissive sudo rules.

o User Group Memberships:

 Verify users’ group memberships in /etc/group and ensure they have

appropriate permissions.

 Review Authentication Methods:

o PAM Configuration:

 Review /etc/pam.d/* for correct PAM modules and settings.

 Ensure modules like pam_tally2 for account locking and pam_pwquality

for password policies are configured.

o Multi-Factor Authentication:

 Verify MFA configurations if using tools like Google Authenticator or Duo.

2. System Security Settings

 Patch Management:

o Check for Updates:

 Use apt list --upgradable (Debian/Ubuntu) or yum check-update

(RHEL/CentOS) to list available updates.

 Apply patches using apt-get upgrade or yum update and verify the
update status.

o Check for EOL Software:

 Ensure that no software or distributions nearing end-of-life are in use.

 Firewall Configuration:
 o Review Firewall Rules:

 For iptables, use iptables -L to list current rules.

 For firewalld, use firewall-cmd --list-all to view active rules.

o Check Default Policies:

 Ensure default policies are set to deny and only necessary services are
allowed.

 SELinux/AppArmor:

o SELinux:

 Check SELinux status with sestatus.

 Ensure SELinux is in Enforcing mode, not Permissive.

 Review SELinux policies and logs (/var/log/audit/[Link]) for any issues.

o AppArmor:

 Check status with aa-status.

 Ensure profiles are in enforce mode and review /etc/apparmor/ for

configurations.

 System Services:

o List Active Services:

 Use systemctl list-units --type=service or service --status-all to list

running services.

o Disable Unnecessary Services:

 Use systemctl disable [service] or chkconfig [service] o to disable

unneeded services.

3. File System and Permissions

 File Permissions:

o Check Sensitive Files:

 Verify permissions for files like /etc/passwd, /etc/shadow, /etc/sudoers,

etc.

 Ensure correct ownership and permissions using ls -l and chmod/chown.

o Detect World-Writable Files:

 Use find / -xdev -type f -perm -0002 to locate world-writable files.

 File Integrity:

o Use Integrity Tools:

 Install and configure tools like AIDE or Tripwire.

  Regularly check for unauthorized changes.

 Access Control Lists (ACLs):

o Review ACLs:

 Use getfacl to view ACLs on files and directories.

 Ensure only necessary users/groups have extended permissions.

4. Logging and Monitoring

 System Logs:

o Check Log Files:

 Review logs in /var/log including [Link], syslog, messages, [Link],

etc.

o Look for Anomalies:

 Identify unusual login attempts, errors, or failed services.

 Log Rotation:

o Check Configuration:

 Review /etc/[Link] and /etc/logrotate.d/ for proper log rotation

settings.

o Ensure Proper Rotation:

 Verify logs are rotated regularly and archived securely.

 Intrusion Detection Systems:

o Configure IDS/IPS:

 Ensure tools like Snort, OSSEC, or Suricata are active and properly
configured.

o Review Alerts:

 Regularly check for and investigate alerts or suspicious activities.

5. Network Security

 Network Configuration:

o Review Network Interfaces:

 Check interfaces with ip a or ifconfig for proper configuration.

 Ensure no unnecessary interfaces are active.

o Check Network Files:

 Review /etc/hosts, /etc/[Link], and /etc/network/interfaces or

/etc/netplan/.
  Secure Communication:

o SSH Configuration:

 Review /etc/ssh/sshd_config for settings like PermitRootLogin,

PasswordAuthentication, and AllowUsers.

 Ensure SSH is configured to use key-based authentication and disable

root login.

 Remote Access:

o Review Remote Access:

 Check configurations for tools like VNC, RDP, or other remote access
services.

 Ensure remote access is restricted and encrypted.

6. Backup and Recovery

 Backup Procedures:

o Verify Backup Jobs:

 Ensure backups are scheduled and verify completion status.

 Use tools like rsync, tar, or backup software.

o Check Storage:

 Ensure backup data is stored securely and protected against

unauthorized access.

 Recovery Plan:

o Document Recovery Steps:

 Ensure there is a clear recovery plan and document procedures.

o Test Recovery:

 Perform regular recovery tests to ensure backups can be restored.

7. System Hardening

 Kernel Parameters:

o Review Sysctl Settings:

 Use sysctl -a to list kernel parameters.

 Ensure settings like net.ipv4.ip_forward=0, [Link].rp_filter=1,

and kernel.randomize_va_space=2 are configured.

 Security Policies:

o Review Policies:
  Ensure policies for password strength, account lockout, and session
timeouts are in place.

o Check /etc/security/[Link]:

 Ensure proper limits are set for user resources.

 Security Tools:

o Use Security Scanners:

 Regularly scan with tools like Lynis or OpenVAS to identify vulnerabilities.

o Apply Recommendations:

 Follow recommendations from security tools and perform remediation.

8. Application Security

 Installed Software:

o Review Installed Packages:

 List installed packages and check for unnecessary or unauthorized

software.

 Use dpkg --list (Debian/Ubuntu) or rpm -qa (RHEL/CentOS).

 Configuration Files:

o Review Configurations:

 Check configuration files for applications and ensure sensitive data (e.g.,
passwords) is not exposed.

 Ensure configurations are secure and follow best practices.

 Updates and Patches:

o Check for Application Updates:

 Ensure applications are up-to-date and apply patches regularly.

9. Physical Security

 Hardware Access:

o Physical Controls:

 Ensure server rooms or data centers are locked and access is restricted.

o Server Security:

 Verify that servers are physically secured against tampering.

10. Compliance and Documentation

 Compliance:

o Verify Requirements:
  Ensure compliance with relevant standards or regulations (e.g., PCI-DSS,
ISO 27001).

o Conduct Audits:

 Perform regular compliance audits to ensure adherence.

 Documentation:

o Maintain Records:

 Document system configurations, changes, and audit findings.

o Update Procedures:

 Keep documentation updated with current procedures and

configurations.

Hardening of Linux OS

1. System Updates and Patch Management

 Regular Updates:

o Use package managers (apt, yum, dnf, etc.) to regularly update the system.

o Configure automatic updates where feasible to ensure timely application of

security patches.

 Security Patches:

o Prioritize security updates for the kernel and critical software.

o Use tools like unattended-upgrades on Debian-based systems or dnf-automatic

on RHEL-based systems for automatic updates.

2. User and Group Management

 User Accounts:

o Disable or remove unused user accounts.

o Use strong, unique passwords for all accounts.

o Implement account expiration policies for temporary accounts.

 Privilege Management:

o Review /etc/sudoers with visudo to ensure users have only necessary privileges.
Avoid using ALL unless absolutely necessary.

o Limit sudo access to specific commands and ensure logs are enabled for all
sudo activities.

o Regularly audit user and group memberships to ensure they are appropriate.

 Password Policies:
 o Enforce strong password policies using tools like pam_pwquality or
pam_cracklib.

o Implement password aging and expiration policies in /etc/[Link] or

/etc/security/pam_env.conf.

o Require password complexity and minimum length.

3. File System and Permissions

 File Permissions:

o Set correct permissions for critical files and directories. For example,
/etc/shadow should have permissions 600, and /etc/passwd should be 644.

o Regularly check for world-writable files and directories using find / -xdev -type f -
perm -0002.

 File Integrity:

o Use file integrity monitoring tools like AIDE or Tripwire to detect unauthorized
changes to critical system files.

o Schedule regular checks and review alerts.

 Access Control Lists (ACLs):

o Configure and review ACLs using setfacl and getfacl to manage permissions
beyond traditional file modes.

o Ensure that ACLs are used only where necessary and are properly configured.

4. Network Security

 Firewall Configuration:

o Configure a host-based firewall using iptables, nftables, or firewalld to control

inbound and outbound tra ic.

o Define rules to only allow necessary tra ic and block all others by default.

o Regularly review and update firewall rules.

 Network Services:

o Disable unnecessary network services to reduce the attack surface. Use

systemctl or chkconfig to stop and disable services.

o Review open ports using netstat -tuln or ss -tuln and close any that are not
needed.

 Secure Communication:

o Configure SSH securely by editing /etc/ssh/sshd_config. Disable root login with

PermitRootLogin no, use key-based authentication, and disable password-
based login.
 o Use encryption protocols like TLS/SSL for data in transit, and ensure certificates
are up-to-date and from trusted authorities.

5. System Hardening

 Kernel Parameters:

o Configure secure kernel parameters in /etc/[Link]. For example:

 net.ipv4.ip_forward = 0 (disable IP forwarding)

 [Link].rp_filter = 1 (enable reverse path filtering)

 kernel.randomize_va_space = 2 (enable full address space

randomization)

o Apply changes with sysctl -p.

 Security Modules:

o SELinux: Ensure SELinux is enabled and in enforcing mode. Check status with
sestatus and configure policies as needed.

o AppArmor: Ensure AppArmor is enabled and profiles are enforced. Use aa-
status to review active profiles and their modes.

 System Services:

o Review and Harden Services:

 Review running services and their configurations. Disable unnecessary

services.

 Configure services to run with the least privileges and in a confined

environment if possible.

o Service Security:

 Ensure services are up-to-date and have minimal exposure.

6. Logging and Monitoring

 System Logs:

o Ensure logging is enabled and properly configured in /etc/[Link] or

/etc/syslog-ng/.

o Regularly review logs for unusual activities, such as /var/log/[Link],

/var/log/syslog, and /var/log/messages.

 Log Rotation:

o Configure log rotation in /etc/[Link] and /etc/logrotate.d/ to manage log

file sizes and retention.

 Intrusion Detection:
 o Implement an Intrusion Detection System (IDS) like OSSEC, Snort, or Suricata to
monitor for suspicious activities.

o Regularly review IDS alerts and logs.

7. Backup and Recovery

 Backup Strategy:

o Implement a comprehensive backup strategy that includes regular backups of

critical files and system states.

o Use tools like rsync, tar, or dedicated backup solutions.

 Backup Security:

o Encrypt backup data to protect it from unauthorized access.

o Store backups securely and test them regularly for integrity and restoration
capability.

 Disaster Recovery Plan:

o Develop and document a disaster recovery plan, including procedures for data
restoration and system recovery.

o Test recovery procedures to ensure they work as expected.

8. Application Security

 Application Hardening:

o Review and configure applications to follow security best practices.

o Ensure applications are updated with the latest security patches.

 Configuration Management:

o Secure configuration files and sensitive data within applications.

o Regularly review and audit application configurations.

9. Physical Security

 Physical Access Controls:

o Restrict physical access to servers and data centers to authorized personnel

only.

o Use physical security measures such as locked cabinets, surveillance, and

access controls.

 Secure Boot:

o Ensure secure boot options are enabled if supported by the hardware to protect
against unauthorized modifications during boot.

10. Compliance and Documentation

  Compliance:

o Ensure the system complies with relevant standards and regulations, such as
GDPR, HIPAA, or PCI-DSS.

o Regularly review compliance requirements and adjust configurations

accordingly.

 Documentation:

o Maintain up-to-date documentation of security configurations, policies, and

procedures.

o Document any changes or updates to the system and configurations.

Audit Checklist for Routers

1. Router Configuration and Hardening

Default Settings:

 Change Default Passwords: Ensure that default administrative usernames and

passwords are changed to strong, unique credentials. Default settings are well-known
and can be exploited.

 Disable Unused Services: Turn o any services or features not in use to minimize
attack vectors. For example, if SSH is not used, disable it.

Access Control:

 Restrict Management Access: Configure the router so that only specific IP addresses
or subnets can access the management interface. Implement multi-factor
authentication (MFA) if supported.

 Administrative Roles: Use role-based access controls (RBAC) if available to limit

administrative access to necessary functions only.

Firmware Updates:

 Regular Updates: Check vendor websites or use automated update tools to ensure the
firmware is current. New firmware versions often include security patches.

 Verify Integrity: Before applying updates, verify their integrity and authenticity to avoid
installing compromised firmware.

2. Network Security

Network Segmentation:

 VLANs: Use Virtual LANs (VLANs) to segment di erent types of tra ic (e.g.,
administrative, guest, and internal network tra ic) to reduce exposure.

 DMZ: Implement a Demilitarized Zone (DMZ) for public-facing services to isolate them
from the internal network.

Firewall Rules:
  Inbound/Outbound Rules: Define rules that control both inbound and outbound tra ic.
Ensure that rules are restrictive by default and only allow necessary tra ic.

 Rule Review: Periodically review and update firewall rules to adapt to changes in the
network environment and security posture.

Intrusion Detection/Prevention:

 IDS/IPS Integration: If the router supports IDS/IPS, ensure it is properly configured to

detect and block malicious activities. Regularly update signature databases.

3. Access Controls

Remote Management:

 Disable Remote Management: If remote management is not required, disable it. If it is

needed, use secure methods like SSH with strong encryption, and ensure it is restricted
to known IP addresses.

 Secure Access: Use VPNs with strong encryption and authentication for remote
management. Ensure VPN configurations are up-to-date and tested.

SNMP:

 Configuration: If SNMP is enabled, ensure it uses secure versions (e.g., SNMPv3) with
proper authentication and encryption. Disable SNMP if not required.

4. Logging and Monitoring

Syslog Configuration:

 Centralized Logging: Configure the router to send logs to a centralized syslog server for
easier management and analysis. Ensure the log server is secure and protected from
tampering.

 Log Retention: Define and enforce policies for log retention and disposal in accordance
with organizational and regulatory requirements.

Event Logging:

 Key Events: Ensure logging includes critical events such as successful and failed login
attempts, configuration changes, and system errors. Review logs regularly for
suspicious activity.

Regular Reviews:

 Automated Alerts: Configure automated alerts for critical events and anomalies to
enable quick response to potential issues.

 Periodic Audits: Schedule periodic audits of logs to identify trends or potential security
incidents.

5. Security Features

Network Address Translation (NAT):

  NAT Configuration: Ensure NAT is enabled to hide internal IP addresses from external
networks. Verify NAT rules are correctly implemented and not exposing internal
resources.

Virtual Private Network (VPN):

 Encryption Standards: Use strong encryption protocols (e.g., AES-256) and robust
authentication methods (e.g., multi-factor authentication) for VPN connections.

 VPN Policies: Define and enforce policies for VPN usage, including who can connect
and from where.

Access Control Lists (ACLs):

 ACL Implementation: Implement ACLs to restrict tra ic based on source and

destination IP addresses, ports, and protocols. Regularly review and update ACLs as
network requirements change.

6. Physical Security

Physical Access:

 Secure Location: Place the router in a secure, access-controlled environment. Ensure

that only authorized personnel can physically access the device.

 Lock and Secure: Use physical locks or enclosures to prevent unauthorized tampering
or removal.

Device Integrity:

 Tamper Evidence: Check for signs of physical tampering or unauthorized modifications.

Implement tamper-evident seals if feasible.

7. Backup and Recovery

Configuration Backups:

 Regular Backups: Schedule regular backups of the router’s configuration. Store

backups securely, preferably in an encrypted format.

 Backup Verification: Regularly test backup files to ensure they are complete and can
be restored successfully.

Recovery Procedures:

 Documentation: Maintain up-to-date documentation on recovery procedures,

including step-by-step instructions for restoring configurations and services.

 Testing: Periodically test recovery procedures to ensure they work e ectively in the
event of a failure or breach.

8. Security Policies and Documentation

Security Policies:
  Policy Development: Develop and maintain security policies covering router
configuration, management, and incident response. Ensure policies are communicated
to relevant personnel.

 Policy Review: Regularly review and update policies to address new threats and
changes in the network environment.

Documentation:

 Configuration Documentation: Document all router configurations, changes, and

security measures. Maintain a version history of changes for auditing purposes.

 Change Management: Implement a formal change management process to track and

approve configuration changes.

9. Testing and Vulnerability Scanning

Penetration Testing:

 Regular Testing: Conduct regular penetration tests to identify potential vulnerabilities

and weaknesses in the router configuration and network setup.

 Test Coverage: Ensure that penetration tests cover all aspects of the router’s security,
including management interfaces and network exposure.

Vulnerability Scanning:

 Automated Scanning: Use automated vulnerability scanners to identify known

vulnerabilities in the router’s firmware and configurations.

 Remediation: Address identified vulnerabilities promptly and verify that remediation

measures are e ective.

10. User Training and Awareness

Sta Training:

 Security Training: Provide regular security training for sta responsible for managing the
router. Topics should include security best practices, threat awareness, and incident
response.

 Updates and Refreshers: O er periodic refresher courses to keep sta updated on the
latest security developments and techniques.

Awareness Programs:

 Security Awareness: Implement programs to raise awareness about security threats

and best practices among all users who interact with the router.

 Incident Reporting: Educate users on how to report security incidents and suspicious
activities e ectively.

Audit Checklist for Switches

1. Physical Security
  Access Control: Ensure that only authorized personnel have physical access to the
switch.

 Environment: Verify that the switch is placed in a secure, climate-controlled room.

 Cable Management: Check that cables are properly organized to prevent accidental
disconnections or tampering.

 Locking Mechanism: Ensure that physical ports not in use are disabled or protected
with port blockers.

2. Firmware and Software Security

 Firmware Version: Confirm the switch is running the latest stable firmware version.

 Security Patches: Ensure all security patches are applied promptly.

 Automatic Updates: If applicable, configure the switch for automatic updates or

implement a regular patching schedule.

 Backup Firmware: Ensure backup firmware images are available in case of corruption
or rollback.

3. Access Control

 Password Policies:

o Ensure strong password policies are enforced (minimum length, complexity).

o Default credentials should be changed immediately after setup.

 SSH/HTTPS Access:

o Ensure that only encrypted protocols (SSH for CLI, HTTPS for GUI) are used to
manage the switch.

 Disable Telnet: Disable insecure management protocols such as Telnet.

 Role-Based Access Control (RBAC): Implement role-based access control to limit

administrative access.

 Two-Factor Authentication (2FA): Where possible, implement 2FA for administrative

access.

4. Port Security

 Disable Unused Ports: All unused physical ports should be disabled to prevent
unauthorized access.

 MAC Address Filtering: Implement MAC address filtering to limit which devices can
connect to specific ports.

 Port Security Features: Enable port security features, such as limiting the number of
MAC addresses per port and setting actions (like shutting down the port) if the limit is
exceeded.

 VLAN Segmentation: Use VLANs to segment the network and isolate sensitive systems.
5. Network Security

 Access Control Lists (ACLs):

o Apply ACLs to control and filter tra ic between di erent parts of the network.

o Ensure ACLs are up to date and follow the principle of least privilege.

 DHCP Snooping: Enable DHCP snooping to prevent rogue DHCP servers from operating
on the network.

 Dynamic ARP Inspection (DAI): Enable DAI to protect against ARP spoofing attacks.

 Spanning Tree Protocol (STP):

o Ensure STP is enabled to prevent Layer 2 loops.

o Consider enabling features like Root Guard and BPDU Guard to further secure
the network.

 Storm Control: Enable storm control to prevent broadcast, multicast, or unicast tra ic
storms from overwhelming the network.

 Network Address Translation (NAT): Ensure proper NAT configurations, if required.

6. Logging and Monitoring

 Syslog Configuration: Ensure that the switch is configured to send logs to a central
syslog server.

 SNMPv3: Ensure SNMPv3 is configured for secure monitoring (use encryption and
authentication).

 Audit Logs: Review switch audit logs for unauthorized access or configuration changes.

 Real-time Monitoring: Implement real-time monitoring for anomalous tra ic or port

activity.

 Time Synchronization: Ensure the switch’s time is synchronized with an NTP server to
ensure accurate logging.

7. Vulnerability Scanning and Penetration Testing

 Regular Scanning: Perform vulnerability scanning on the switch to identify potential

weaknesses.

 Penetration Testing: Regularly perform penetration testing to identify and address

vulnerabilities.

 Patch Vulnerabilities: Ensure that identified vulnerabilities are patched promptly.

8. Redundancy and Backup

 Configuration Backup: Ensure that switch configurations are backed up regularly and
securely.

 Failover Mechanism: Test and verify failover mechanisms (HSRP, VRRP, etc.) to ensure
network redundancy.
  Rollback Configuration: Keep historical configurations to roll back in case of failure or
misconfiguration.

9. Secure Communication and Encryption

 Management VLAN: Use a dedicated management VLAN for administrative tra ic to

separate it from regular user tra ic.

 Encryption: Ensure management tra ic is encrypted (e.g., use SSH instead of Telnet,
HTTPS instead of HTTP).

 VPN: For remote management, ensure that VPN access is used to securely connect to
the switch.

10. Switch Features and Additional Hardening

 802.1X Port-based Network Access Control: Enable 802.1X to enforce authentication

on network ports.

 Rate Limiting: Implement rate limiting on switch interfaces to mitigate the e ects of
denial-of-service (DoS) attacks.

 Network Device Hardening: Disable unnecessary services (e.g., unused network

protocols, CDP/LLDP, etc.).

 Loopback Address: Use a loopback interface for management purposes, enhancing

reliability.

11. Redundant Power and Cooling

 Dual Power Supply: Ensure that the switch is connected to redundant power supplies
or UPS.

 Cooling Systems: Check that the switch’s environment has proper cooling to prevent
overheating.

12. Incident Response

 Security Event Alerts: Ensure that alerts for critical events are set up (e.g., port
violations, login failures).

 Incident Response Plan: Verify that a documented incident response plan is in place
and that personnel know how to respond to a security breach involving the switch.

 Change Management: Use a change management process to track and approve all
configuration changes on the switch.

13. Compliance and Documentation

 Compliance Check: Ensure that the switch configuration and security measures
comply with organizational security policies and any relevant regulations (e.g., PCI-DSS,
HIPAA).

 Documentation: Maintain up-to-date documentation of switch configurations, VLANs,

and access control policies.

Audit Checklist for Switches

1. Physical Security

 Access Control: Ensure that only authorized personnel have physical access to the
switch.

 Environment: Verify that the switch is placed in a secure, climate-controlled room.

 Cable Management: Check that cables are properly organized to prevent accidental
disconnections or tampering.

 Locking Mechanism: Ensure that physical ports not in use are disabled or protected
with port blockers.

2. Firmware and Software Security

 Firmware Version: Confirm the switch is running the latest stable firmware version.

 Security Patches: Ensure all security patches are applied promptly.

 Automatic Updates: If applicable, configure the switch for automatic updates or

implement a regular patching schedule.

 Backup Firmware: Ensure backup firmware images are available in case of corruption
or rollback.

3. Access Control

 Password Policies:

o Ensure strong password policies are enforced (minimum length, complexity).

o Default credentials should be changed immediately after setup.

 SSH/HTTPS Access:

o Ensure that only encrypted protocols (SSH for CLI, HTTPS for GUI) are used to
manage the switch.

 Disable Telnet: Disable insecure management protocols such as Telnet.

 Role-Based Access Control (RBAC): Implement role-based access control to limit

administrative access.

 Two-Factor Authentication (2FA): Where possible, implement 2FA for administrative

access.

4. Port Security

 Disable Unused Ports: All unused physical ports should be disabled to prevent
unauthorized access.

 MAC Address Filtering: Implement MAC address filtering to limit which devices can
connect to specific ports.

 Port Security Features: Enable port security features, such as limiting the number of
MAC addresses per port and setting actions (like shutting down the port) if the limit is
exceeded.
  VLAN Segmentation: Use VLANs to segment the network and isolate sensitive systems.

5. Network Security

 Access Control Lists (ACLs):

o Apply ACLs to control and filter tra ic between di erent parts of the network.

o Ensure ACLs are up to date and follow the principle of least privilege.

 DHCP Snooping: Enable DHCP snooping to prevent rogue DHCP servers from operating
on the network.

 Dynamic ARP Inspection (DAI): Enable DAI to protect against ARP spoofing attacks.

 Spanning Tree Protocol (STP):

o Ensure STP is enabled to prevent Layer 2 loops.

o Consider enabling features like Root Guard and BPDU Guard to further secure
the network.

 Storm Control: Enable storm control to prevent broadcast, multicast, or unicast tra ic
storms from overwhelming the network.

 Network Address Translation (NAT): Ensure proper NAT configurations, if required.

6. Logging and Monitoring

 Syslog Configuration: Ensure that the switch is configured to send logs to a central
syslog server.

 SNMPv3: Ensure SNMPv3 is configured for secure monitoring (use encryption and
authentication).

 Audit Logs: Review switch audit logs for unauthorized access or configuration changes.

 Real-time Monitoring: Implement real-time monitoring for anomalous tra ic or port

activity.

 Time Synchronization: Ensure the switch’s time is synchronized with an NTP server to
ensure accurate logging.

7. Vulnerability Scanning and Penetration Testing

 Regular Scanning: Perform vulnerability scanning on the switch to identify potential

weaknesses.

 Penetration Testing: Regularly perform penetration testing to identify and address

vulnerabilities.

 Patch Vulnerabilities: Ensure that identified vulnerabilities are patched promptly.

8. Redundancy and Backup

 Configuration Backup: Ensure that switch configurations are backed up regularly and
securely.
  Failover Mechanism: Test and verify failover mechanisms (HSRP, VRRP, etc.) to ensure
network redundancy.

 Rollback Configuration: Keep historical configurations to roll back in case of failure or

misconfiguration.

9. Secure Communication and Encryption

 Management VLAN: Use a dedicated management VLAN for administrative tra ic to

separate it from regular user tra ic.

 Encryption: Ensure management tra ic is encrypted (e.g., use SSH instead of Telnet,
HTTPS instead of HTTP).

 VPN: For remote management, ensure that VPN access is used to securely connect to
the switch.

10. Switch Features and Additional Hardening

 802.1X Port-based Network Access Control: Enable 802.1X to enforce authentication

on network ports.

 Rate Limiting: Implement rate limiting on switch interfaces to mitigate the e ects of
denial-of-service (DoS) attacks.

 Network Device Hardening: Disable unnecessary services (e.g., unused network

protocols, CDP/LLDP, etc.).

 Loopback Address: Use a loopback interface for management purposes, enhancing

reliability.

11. Redundant Power and Cooling

 Dual Power Supply: Ensure that the switch is connected to redundant power supplies
or UPS.

 Cooling Systems: Check that the switch’s environment has proper cooling to prevent
overheating.

12. Incident Response

 Security Event Alerts: Ensure that alerts for critical events are set up (e.g., port
violations, login failures).

 Incident Response Plan: Verify that a documented incident response plan is in place
and that personnel know how to respond to a security breach involving the switch.

 Change Management: Use a change management process to track and approve all
configuration changes on the switch.

13. Compliance and Documentation

 Compliance Check: Ensure that the switch configuration and security measures
comply with organizational security policies and any relevant regulations (e.g., PCI-DSS,
HIPAA).
  Documentation: Maintain up-to-date documentation of switch configurations, VLANs,
and access control policies.

Audit Checklist for Databases

1. Database Configuration & Hardening

 Database Version: Check for the latest stable version of the database. Ensure that no
outdated versions are in use.

 Patches & Updates: Verify that all relevant security patches and updates are applied
regularly.

 Default Accounts & Passwords: Ensure default accounts are disabled or removed and
default passwords have been changed.

 Configuration Files: Secure the database configuration files by restricting access and
encrypting sensitive parameters (e.g., passwords).

 Unnecessary Features/Services: Disable any unused database features or services

(e.g., unused plugins, remote access).

 Encryption: Confirm encryption at rest (data files, backups) and in transit (SSL/TLS).

2. Authentication and Access Controls

 User Authentication: Ensure all users authenticate with strong methods, such as multi-
factor authentication (MFA) where possible.

 Role-Based Access Control (RBAC): Review the database role and permission
assignments. Ensure users only have the minimum necessary privileges (principle of
least privilege).

 Admin Accounts: Verify that administrative (privileged) accounts are limited and used
sparingly.

 Third-party Access: Ensure that third-party access is limited and monitored. Verify
vendor access and credentials.

 Account Expiry: Ensure that old and unused accounts are disabled or removed,
especially if contractors or ex-employees have left.

3. Logging and Monitoring

 Audit Logging: Confirm that database activity logging is enabled (e.g., SELECT, INSERT,
UPDATE, DELETE).

 Error Logging: Check that error logs are properly configured to capture all necessary
events.

 Log Retention Policy: Review log retention policy to ensure that logs are stored securely
for the necessary amount of time.

 Real-Time Monitoring: Verify that real-time monitoring is in place to detect suspicious

activity (e.g., unusual queries, brute-force login attempts).

 Log Protection: Ensure logs are securely stored, rotated, and protected from tampering.
4. Database Backup & Recovery

 Backup Encryption: Confirm that all database backups are encrypted.

 Backup Storage: Ensure that backups are stored securely, o site, or in a highly
available and fault-tolerant location.

 Backup Access Control: Review who has access to backups and ensure strict controls
over their use.

 Backup Frequency: Ensure that database backups are performed regularly as per the
recovery point objectives (RPO).

 Disaster Recovery Testing: Validate that disaster recovery plans are in place and are
regularly tested.

5. Data Protection

 Sensitive Data Identification: Ensure all sensitive data (PII, financial, healthcare) is
identified and properly categorized.

 Data Masking/Tokenization: Validate the use of data masking or tokenization for

sensitive data during non-production processes.

 Encryption of Sensitive Data: Confirm that sensitive data is encrypted both in transit
and at rest.

 Data Integrity Controls: Check mechanisms for ensuring the integrity of critical data
(e.g., checksums, hashing).

 Data Retention Policy: Ensure data retention policies are in place for sensitive data and
are strictly followed.

6. Network Security

 Firewall Rules: Review database firewall rules to ensure only necessary tra ic is
allowed (e.g., IP whitelisting).

 Database Segmentation: Ensure databases are on isolated segments of the network

and not exposed to the public internet.

 VPN/SSH for Remote Access: Verify that remote database access is done only through
secure channels such as VPN or SSH.

 Connection Encryption: Ensure all database connections are encrypted (SSL/TLS).

 Access Over Private Networks: Validate that database access from application servers
happens over private networks or internal segments.

7. Vulnerability Management

 Regular Vulnerability Scans: Ensure regular vulnerability scans of the database are
performed.

 Penetration Testing: Verify that the database undergoes penetration testing

periodically.
  Risk Assessments: Perform a risk assessment for critical assets in the database.

 Patch Management: Ensure there’s a patch management process to quickly address

discovered vulnerabilities.

 Security Baselines: Check against a security baseline for configuration and ensure
continuous monitoring for deviations.

8. Auditing Compliance

 Regulatory Compliance: Ensure the database meets necessary regulatory compliance

requirements (GDPR, HIPAA, PCI DSS, etc.).

 Audit Trails: Confirm that all user activities and transactions are tracked and auditable
for compliance purposes.

 Data Access Auditing: Ensure that records are maintained for who accessed sensitive
data, when, and for what purpose.

 Segregation of Duties: Check for compliance with segregation of duties, ensuring no

single user has too much control over critical functions.

9. Incident Response

 Database Incident Response Plan: Verify that there is a documented incident

response plan for database-related breaches or attacks.

 Security Alerts: Ensure alerts are configured for anomalous behavior (e.g., repeated
login failures, unexpected privilege escalations).

 Response Team Contacts: Ensure the appropriate security team contacts are up-to-
date and reachable in case of an incident.

 Incident Logging: Confirm that all incidents are logged, and responses are documented
for future learning.

10. Physical Security

 Server Room Access: Review who has physical access to database servers and ensure
appropriate access controls are in place.

 Database Backups Physical Security: Ensure that physical backups are stored
securely (e.g., in o -site vaults with strict access control).

 Environmental Controls: Confirm environmental controls (e.g., cooling, fire

suppression, power backup) are in place for database servers.

11. Database Performance & Security Impact

 Load Testing Impact on Security: Ensure load testing is periodically conducted to

ensure performance under peak loads without sacrificing security.

 Resource Exhaustion Protections: Confirm protections are in place to guard against

resource exhaustion attacks (e.g., database denial-of-service).

 Security vs. Performance Trade-o s: Verify that any database tuning for performance
does not compromise security controls (e.g., disabling SSL/TLS for speed).
12. Third-Party Integrations

 Third-Party App Vulnerabilities: Assess any third-party applications integrated with the
database for security vulnerabilities.

 API Security: Review and audit security for APIs accessing the database, ensuring
secure authentication and encryption.

 Data Sharing Agreements: Verify that there are data sharing agreements in place with
third parties, detailing security responsibilities.

13. User Education & Policies

 User Training: Ensure that all users with database access have undergone security
awareness training related to database threats.

 Security Policies: Verify that security policies related to database usage, access
control, and incident reporting are well-documented and enforced.

Audit Checklist for General Information Security

1. Administrative Controls

These refer to organizational policies, procedures, and planning processes that ensure data
protection.

1.1. Security Policies and Procedures

 Security Policy Framework: Verify that the framework covers acceptable use,
password policies, incident response, data protection, etc.

 Policy Distribution: Ensure employees and third parties are informed and sign o on
understanding security policies.

 Policy Version Control: Track changes in security policies, with dates of amendments
and approvals documented.

1.2. Compliance and Governance

 Industry Standards Adherence: Evaluate adherence to standards like ISO/IEC 27001,

NIST Cybersecurity Framework, and PCI-DSS.

 Data Protection Impact Assessment (DPIA): Regular DPIA should be conducted,

particularly when new projects or systems involving sensitive data are launched.

 Internal Audit Programs: Validate the frequency, scope, and findings of internal audits.

1.3. Risk Management

 Threat Identification and Risk Assessment: Review the risk register and confirm
identified risks (e.g., insider threats, phishing attacks).

 Risk Prioritization: Ensure risks are prioritized based on potential business impact and
likelihood of occurrence.

 Risk Acceptance: For any risks not mitigated, ensure there’s documented acceptance
from senior management.
1.4. Security Awareness Training

 Specialized Training for Key Roles: Roles like IT administrators or C-level execs should
receive additional security training specific to their responsibilities.

 Measuring Awareness E ectiveness: Use metrics from phishing tests or quizzes to

measure the e ectiveness of awareness programs.

2. Technical Controls

These involve the technical tools and configuration mechanisms designed to protect against
security breaches.

2.1. Access Control

 Privileged Access Management (PAM): Ensure privileged accounts (e.g., admin

accounts) are monitored, with session recordings, MFA, and regular audits of access.

 Segregation of Duties (SoD): Confirm that critical tasks require two or more individuals
to prevent misuse of access (e.g., one person can't both initiate and approve payments).

 Account Expiry and Review: Ensure automatic expiry of temporary accounts

(contractors or interns) and periodic review of active user lists.

2.2. Network Security

 Advanced Threat Protection: Use of AI-powered tools for real-time identification of

network anomalies.

 Segmentation of Sensitive Data: Implement Virtual LAN (VLAN) or microsegmentation

to isolate sensitive data and critical systems from the rest of the network.

 Network Configuration Reviews: Ensure regular reviews of network device

configurations (firewalls, routers, switches) and document all changes.

2.3. Data Encryption

 Disk Encryption: Validate that full disk encryption is used on all devices containing
sensitive data (e.g., laptops, mobile devices).

 Email Encryption: Ensure that emails containing sensitive information are encrypted
using standards like PGP or S/MIME.

 Encryption Strength: Verify encryption algorithms meet industry standards (e.g., AES-
256 for data at rest and TLS 1.2 or higher for data in transit).

2.4. System Configuration

 Secure Baseline Configurations: Ensure systems (servers, workstations) adhere to

secure baseline configurations (e.g., CIS Benchmarks).

 Automated Configuration Management Tools: Use automated tools to enforce and

monitor configurations across systems (e.g., Ansible, Chef).

 Unused Services and Ports: Ensure that unnecessary services, ports, and protocols
are disabled.
2.5. Logging and Monitoring

 Security Information and Event Management (SIEM): Ensure integration of a SIEM

solution that correlates and analyzes logs in real-time.

 Log Integrity: Implement mechanisms to ensure log integrity (e.g., digital signatures) to
prevent tampering.

 Behavioral Analytics: Use behavior-based monitoring to detect deviations from normal

activity that could signal an insider threat.

3. Physical Controls

These involve measures to prevent unauthorized physical access to critical assets.

3.1. Data Center Security

 Mantraps and Biometrics: Validate that physical access to data centers includes multi-
layered protection like mantraps and biometric authentication.

 Visitor Logs: Ensure physical visitor logs are maintained, and verify that unauthorized
personnel are not accessing critical areas.

 Environmental Controls Monitoring: Regularly review environmental metrics

(temperature, humidity, power stability) in server rooms to avoid physical damage.

3.2. Device Security

 Laptop and Mobile Device Security: Ensure all devices have encryption, remote wipe
capabilities, and endpoint detection systems installed.

 Mobile Device Management (MDM): Verify that corporate devices are managed
through an MDM platform, enforcing security policies like password strength and app
permissions.

4. Disaster Recovery and Business Continuity

These controls focus on ensuring the organization can quickly recover from a disaster.

4.1. Backup and Recovery

 Backup Schedule and Automation: Ensure backups occur at defined intervals and that
critical systems are backed up more frequently.

 O site and Immutable Backups: Ensure backups are stored o site and, where
possible, use immutable storage for additional protection against ransomware.

 Backup Testing Frequency: Document and verify the frequency and results of backup
restore tests (e.g., quarterly restore tests).

4.2. Disaster Recovery Plan (DRP)

 Hot/Cold/Warm Sites: Validate the availability and configuration of recovery sites (e.g.,
hot sites that mirror the production environment in real time).

 Data Replication: Ensure critical systems use real-time or near-real-time data

replication to minimize data loss during a disaster.
4.3. Business Continuity Plan (BCP)

 Crisis Communication Channels: Ensure that alternative communication methods are

available in case the primary communication systems fail.

 Key Personnel Identification: Ensure the BCP clearly identifies key personnel
responsible for business continuity during an outage.

5. Incident Response

A well-defined process for handling security incidents is essential to minimize damage.

5.1. Incident Response Plan

 Chain of Custody for Evidence: Ensure that the chain of custody for digital evidence is
documented and maintained in the event of an investigation.

 Incident Escalation Protocols: Ensure there are clear escalation protocols based on
incident severity (e.g., low-level alert vs. critical system breach).

5.2. Incident Handling

 Containment Strategy: Ensure rapid containment strategies for incidents, such as

isolating infected systems to prevent malware spread.

 Threat Intelligence Integration: Verify integration with external threat intelligence feeds
to gain real-time awareness of emerging threats.

5.3. Post-Incident Review

 Root Cause Analysis (RCA): Perform a root cause analysis after every significant
incident and ensure lessons learned are implemented.

 KPIs for Incident Management: Track key performance indicators (KPIs), such as mean
time to detection (MTTD) and mean time to recovery (MTTR).

6. Vendor and Third-Party Security

These controls ensure that third-party vendors do not introduce vulnerabilities.

6.1. Vendor Risk Management

 Third-Party Risk Assessments: Conduct thorough risk assessments of vendors before

onboarding and regularly thereafter.

 Vendor Security SLAs: Ensure service-level agreements (SLAs) include specific

security expectations and penalties for breaches.

6.2. Third-Party Access

 Vendor Access Controls: Ensure vendors only access the systems they require and use
separate accounts for each user (not shared credentials).

 Monitoring and Logging Vendor Activities: Implement real-time monitoring of vendor

activities and maintain a log of all access.

7. Data Privacy and Classification

These are specific controls to ensure data is managed securely and in line with privacy
regulations.

7.1. Data Classification

 Automated Data Classification Tools: Ensure the use of automated tools to detect and
classify sensitive data (e.g., PII, PHI, etc.).

 Access to Sensitive Data: Ensure that sensitive data is accessible only by authorized
individuals and that access is logged.

7.2. Data Retention and Disposal

 Retention Policy for Legal Requirements: Ensure that the organization follows legal
and regulatory requirements for data retention (e.g., tax, legal).

 Data Masking and Anonymization: Implement data masking or anonymization

techniques to reduce the risk of exposure during retention.

8. Vulnerability Management and Testing

These controls ensure systems are continuously monitored for security gaps.

8.1. Vulnerability Scanning

 Zero-Day Vulnerability Management: Ensure that mechanisms are in place to handle

zero-day vulnerabilities, including patch prioritization and containment strategies.

8.2. Penetration Testing

 Red Team Exercises: Conduct red team exercises where simulated attacks test the
organization’s defenses, incident response, and detection capabilities.

8.3. Patch Management

 Third-Party Software Patch Management: Ensure that not just OS-level but third-party
applications (e.g., Adobe, Java) are included in patch management procedures.

9. Cloud Security

As organizations increasingly migrate to the cloud, specific cloud security controls become
crucial.

9.1. Cloud Configuration and Access

 Cloud Security Posture Management (CSPM): Ensure the use of tools to continuously
monitor and improve the security posture of cloud environments (e.g., AWS, Azure,
GCP).

 Least Privilege Access in Cloud Environments: Ensure least privilege principles are
applied, including the use of Identity and Access Management (IAM) roles instead of
broad-based user permissions.

 Cloud Encryption: Confirm that cloud services support and implement encryption for
both data at rest and in transit. Use customer-managed encryption keys (CMEK) where
possible.
9.2. Cloud Data Protection

 Data Loss Prevention (DLP): Ensure DLP solutions are applied to cloud environments
to prevent sensitive data leaks.

 Shadow IT Monitoring: Monitor and manage unauthorized cloud services (Shadow IT)
that may be used by employees without IT’s approval.

9.3. Multi-Cloud Security

 Cross-Cloud Security Standards: Ensure consistent security policies are applied

across di erent cloud platforms (multi-cloud environments).

 Container and Serverless Security: For cloud-native applications, implement security

for containers (e.g., Docker) and serverless environments (e.g., AWS Lambda).

10. DevSecOps and Application Security

Security should be integrated into the development lifecycle (DevSecOps), not just an
afterthought.

10.1. Secure Software Development Lifecycle (SDLC)

 Security in DevOps Pipelines: Ensure that security checks (e.g., static code analysis,
dependency checks) are automated into CI/CD pipelines.

 Secure Coding Practices: Validate that developers are trained on secure coding
techniques (e.g., OWASP Top 10 vulnerabilities).

10.2. Application Security Testing

 Static Application Security Testing (SAST): Ensure that automated code reviews are
conducted to detect vulnerabilities in the code.

 Dynamic Application Security Testing (DAST): Perform automated tests on running

applications to detect vulnerabilities in the execution environment.

 Software Composition Analysis (SCA): Ensure that third-party libraries and

dependencies are regularly scanned for vulnerabilities.

10.3. API Security

 Authentication and Authorization: Ensure APIs are protected by strong authentication

(e.g., OAuth, API keys) and fine-grained access controls.

 Rate Limiting and Throttling: Implement rate limiting and throttling on APIs to prevent
abuse or Distributed Denial of Service (DDoS) attacks.

11. Internet of Things (IoT) Security

With the rise of connected devices, securing IoT infrastructure is vital.

11.1. Device Security

  IoT Device Configuration Management: Ensure default credentials on IoT devices are
changed and all devices are securely configured.

 Firmware Updates: Ensure that IoT devices are regularly patched and that firmware
updates are managed centrally.

11.2. Network Segmentation for IoT

 Isolated IoT Networks: Ensure that IoT devices are segmented into their own network to
limit their exposure to the main corporate network.

 Monitoring IoT Tra ic: Use specialized tools to monitor network tra ic between IoT
devices for abnormal behaviors or potential threats.

12. Artificial Intelligence and Machine Learning Security

As AI and ML models are increasingly being used in business operations, securing these models
becomes critical.

12.1. Model Integrity

 Model Tampering Prevention: Ensure that AI/ML models are protected against
adversarial attacks, such as tampering or poisoning (input data manipulation).

 Model Access Control: Implement strong access controls to ensure only authorized
users can modify or deploy machine learning models.

12.2. Data Privacy in AI/ML Models

 Sensitive Data Handling: Ensure that AI/ML models are not inadvertently exposed to
sensitive or personal data, particularly if using production datasets for training.

 Fairness and Bias Checks: Implement checks to ensure AI models do not inherit
biases, especially when dealing with critical decision-making processes (e.g., hiring,
lending).

13. Identity and Access Management (IAM) Enhancements

IAM is crucial to ensure that users have the correct levels of access.

13.1. Identity Governance and Administration (IGA)

 Periodic Access Reviews: Ensure automated processes exist to regularly review access
rights, including user certifications and recertifications.

 Access Request Automation: Ensure automation of access requests, approvals, and

provisioning to reduce the likelihood of human error.

13.2. Single Sign-On (SSO) and Federation

 SSO Implementation: Ensure that Single Sign-On is in place to simplify user access to
multiple systems while improving security.

 Federated Identity Management: Ensure that federated identity solutions (e.g., SAML,
OpenID) are in place for securely sharing identity information across systems or
organizations.
13.3. Adaptive Authentication

 Risk-Based Authentication: Implement adaptive authentication, where login

processes require additional verification based on risk factors (e.g., unusual location or
device).

14. Advanced Threat Detection and Response

As cyberattacks become more sophisticated, advanced detection and response mechanisms

are crucial.

14.1. Endpoint Detection and Response (EDR)

 Behavior-Based Detection: Ensure that EDR solutions are deployed to identify

suspicious behavior across endpoints, not just based on signatures but also on
heuristics.

 Automated Containment: Ensure that EDR solutions are capable of automatically

isolating or quarantining compromised devices based on detected threats.

14.2. Threat Intelligence Integration

 External Threat Intelligence Feeds: Ensure integration with external threat intelligence
feeds (e.g., FireEye, AlienVault) to stay updated on emerging threats.

 Threat Hunting: Implement proactive threat hunting practices to identify potential

compromises before they result in incidents.

14.3. Security Orchestration, Automation, and Response (SOAR)

 Automated Incident Response: Ensure the use of SOAR platforms to automate

incident response processes, reducing the time from detection to containment.

 Playbook Development: Develop and continuously update playbooks that define

automatic response actions for common threats.

15. Data Governance and Data Leakage Prevention (DLP)

Data governance ensures that data is managed securely and in compliance with laws and
regulations.

15.1. Data Classification and Labeling

 Automated Data Labeling: Ensure the use of tools to automatically classify and label
data based on sensitivity (e.g., public, confidential, highly confidential).

15.2. Data Leakage Prevention

 Endpoint DLP: Implement endpoint-based DLP solutions to monitor and control the
transfer of sensitive data (e.g., preventing unauthorized USB use).

 Network DLP: Ensure network-based DLP solutions monitor sensitive data in transit to
prevent unauthorized sharing or transmission.

 Cloud DLP: For cloud environments, ensure that cloud-native DLP solutions are in place
to monitor and restrict sensitive data movement.
16. Cryptography and Key Management

Cryptography is essential for protecting data confidentiality and integrity.

16.1. Key Management Practices

 Key Rotation and Expiry: Ensure that encryption keys are regularly rotated, and key
expiration policies are enforced.

 Hardware Security Modules (HSMs): Use HSMs for secure generation, storage, and
management of cryptographic keys.

16.2. Secure Protocols

 Deprecation of Weak Protocols: Ensure that weak encryption protocols (e.g., SSL,
older versions of TLS) are deprecated and replaced with stronger protocols (e.g., TLS
1.3).

 End-to-End Encryption: Ensure that end-to-end encryption is used where sensitive

information is transmitted (e.g., messaging platforms, VoIP).

17. Social Engineering Protection

Social engineering remains one of the most e ective forms of attack.

17.1. Employee Training and Simulation

 Phishing Simulations: Regularly conduct phishing simulations to test employee

awareness and response to social engineering attempts.

 Real-Time Awareness Tools: Use tools that notify users in real-time of potential
phishing emails or suspicious communications.

17.2. Multi-Layered Communication Verification

 Verification of High-Risk Communications: Ensure multi-step verification for high-risk

actions, such as financial transactions or sensitive data requests (e.g., callback
verification).

18. Insider Threat Detection

Insider threats, whether malicious or accidental, are a major security concern.

18.1. Insider Threat Monitoring

 User and Entity Behavior Analytics (UEBA): Deploy UEBA solutions to monitor and
detect unusual user behavior that may indicate an insider threat.

18.2. Data Access and Exfiltration Alerts

 Data Exfiltration Monitoring: Implement real-time alerts for any unusual large data
transfers, especially from privileged accounts.

Audit Checklist for Information System

1. Audit Planning & Pre-Audit Preparations

 Audit Scope & Objectives:

 o Identify the specific systems, applications, and processes that will be audited
(e.g., ERP, HR systems, cloud services).

o Define clear objectives, such as assessing compliance, system performance,

security risks, or internal control adequacy.

 Legal & Regulatory Requirements:

o Ensure that all applicable legal standards (e.g., GDPR, HIPAA, PCI-DSS) are
identified early and form part of the audit.

o Investigate any new or upcoming regulations that could a ect the audit (e.g.,
new privacy laws or industry standards).

 Resources & Stakeholders:

o Identify all necessary audit resources (human, technical, and financial) and key
stakeholders (e.g., IT, HR, legal).

o Develop a clear schedule and audit timeline.

 Previous Audit Findings:

o Review previous audit findings to ensure past issues have been addressed and
to guide the scope of the current audit.

2. IT Governance

 IT Policy Review:

o Ensure policies around IT management, security, access control, and data

handling are up to date and consistently applied.

 Roles & Responsibilities:

o Verify that roles within the IT department and across business units are clearly
defined, with responsibilities for systems, security, and data management
formally assigned.

 IT Strategy Alignment:

o Confirm that IT strategies support broader organizational goals (e.g., growth,

cost reduction, security).

 Risk Management:

o Evaluate the risk management framework, ensuring all IT-related risks are
documented, monitored, and mitigated through control measures.

3. Access Control & User Management

 Authentication & Authorization:

o Ensure users are authenticated through secure methods, such as multi-factor

authentication (MFA) and strong password policies.

o Verify the use of role-based access control (RBAC) to limit access to sensitive
data or functionality based on job roles.
  User Account Management:

o Evaluate the processes for creating, modifying, and deleting user accounts,
especially how access is granted and reviewed.

 Privileged Access:

o Review how privileged access accounts (e.g., admin accounts) are managed and
whether their actions are logged and monitored.

 Segregation of Duties:

o Ensure that duties are segregated to avoid conflicts of interest, such as

separating system administration duties from auditing duties.

4. Network & Infrastructure Security

 Firewall & Router Configurations:

o Confirm that firewalls and routers are configured according to security best
practices (e.g., least-privilege rules, network segmentation).

 Intrusion Detection & Prevention:

o Verify the existence and functionality of Intrusion Detection Systems (IDS) and
Intrusion Prevention Systems (IPS) to monitor for unusual activity.

 VPN & Remote Access:

o Ensure that remote access solutions, like VPNs, are secure, and that encryption
protocols (e.g., SSL, TLS) are used to protect communication.

 Network Segmentation:

o Confirm that critical systems, such as servers storing sensitive data, are
segmented from the general network to reduce attack surfaces.

5. Data Security & Privacy

 Data Classification:

o Review data classification policies that categorize data based on sensitivity (e.g.,
confidential, public) and ensure controls are in place based on classification.

 Encryption:

o Verify that encryption is used to protect sensitive data both at rest and in transit
(e.g., SSL/TLS for data transmission, AES for stored data).

 Backup & Recovery:

o Ensure backups are performed regularly and stored securely, with recovery
processes tested to ensure they meet recovery time and point objectives (RTOs
and RPOs).

 Data Retention & Disposal:

 o Confirm that the organization follows defined data retention schedules and that
secure deletion methods (e.g., shredding, wiping) are used for data disposal.

 Privacy Regulations:

o Assess compliance with privacy regulations like GDPR, CCPA, HIPAA, ensuring
the organization handles personal data properly (e.g., consent, data subject
rights).

6. System Development & Change Management

 SDLC Review:

o Review the organization's System Development Life Cycle (SDLC) for rigor,
particularly for security testing in each phase (requirements, development,
testing, deployment).

 Change Management:

o Ensure there is a formal process for requesting, reviewing, approving, and

implementing changes, including security testing of changes.

 Patch Management:

o Confirm that the organization maintains a regular patch management cycle,

applying critical updates promptly to fix vulnerabilities.

 Software Licensing:

o Review software licensing compliance to ensure all software is properly licensed

and that unauthorized software is not installed.

7. Incident Response & Monitoring

 Incident Response Plan:

o Ensure there is a documented incident response plan that includes roles,

escalation procedures, communication protocols, and recovery steps.

 Security Event Monitoring:

o Verify that security logs are monitored in real-time, using tools such as SIEM
(Security Information and Event Management), to detect suspicious behavior.

 Incident Logging:

o Confirm that all incidents are logged, categorized, and tracked from detection to
resolution.

 Forensics & Root Cause Analysis:

o Ensure that the organization has forensic capabilities to analyze incidents,

discover root causes, and implement preventive measures.

8. Business Continuity & Disaster Recovery

 Business Continuity Plan (BCP):

 o Review the organization’s BCP to ensure it outlines critical business functions,
key personnel, dependencies, and recovery strategies for major disruptions.

 Disaster Recovery Plan (DRP):

o Evaluate the DRP for IT systems, ensuring it includes detailed recovery

procedures, backup strategies, and alternate site activation.

 Backup Testing:

o Confirm that backups are regularly tested to verify their integrity and ensure that
they can be successfully restored.

 Alternate Sites:

o Ensure that alternate recovery sites (hot, warm, or cold) are ready for activation
in the event of a disaster, and that connectivity and hardware configurations
have been tested.

9. Application Security

 Input Validation:

o Verify that applications validate all user inputs to prevent security vulnerabilities
like SQL Injection, Cross-Site Scripting (XSS), and bu er overflows.

 Access Control within Applications:

o Review how access controls are implemented within applications, ensuring that
users have only the minimum necessary access (e.g., through RBAC or ABAC).

 Secure Coding Practices:

o Assess whether developers follow secure coding guidelines (e.g., OWASP Top
10) and that they receive regular security training.

 Application Testing:

o Confirm that all new applications or updates undergo security testing, such as
static and dynamic code analysis, penetration testing, and vulnerability
scanning.

10. Physical Security

 Data Center Security:

o Ensure that access to the data center is restricted through physical security
measures like biometric scanning, security guards, and surveillance.

 Environmental Controls:

o Review environmental controls, such as fire suppression systems, temperature

monitoring, and uninterruptible power supplies (UPS), to prevent damage to
physical infrastructure.

 Hardware Security:
 o Confirm that all servers, workstations, and portable devices (e.g., laptops, USB
drives) are physically secured and encrypted where necessary.

 Asset Inventory:

o Ensure there is an up-to-date inventory of all IT assets (hardware, software), and

that these assets are tracked and regularly audited.

11. Third-Party & Vendor Management

 Third-Party Risk Management:

o Review the process for assessing the IT security posture of third-party vendors,
especially those handling sensitive data or providing critical services.

 Service Level Agreements (SLAs):

o Ensure that SLAs with vendors define clear security expectations, performance
metrics, and penalties for non-compliance.

 Vendor Access Controls:

o Verify that vendors with access to the organization’s systems or data are subject
to the same access control policies as internal sta .

 Data Sharing Agreements:

o Ensure there are legally binding agreements with third-party vendors that outline
the terms for data sharing, data protection responsibilities, and breach
notification.

12. Compliance & Regulatory Requirements

 Industry Standards:

o Ensure that the organization complies with relevant industry standards such as
ISO 27001 (for Information Security Management), NIST, COBIT, or ITIL.

 Regulatory Compliance:

o Assess the organization’s adherence to sector-specific regulations such as

GDPR, HIPAA, SOX, and PCI-DSS. Verify audit trails, data handling practices, and
incident reporting mechanisms.

 Audit Logs:

o Confirm that audit logs are collected, stored securely, and retained for the
required duration per regulatory guidelines (e.g., financial logs for SOX
compliance).

 Internal & External Audits:

o Review findings from previous internal and external audits to ensure that
corrective actions have been implemented for identified issues.

13. Audit Reporting & Follow-up

 Audit Findings:
 o Document audit findings and categorize them based on severity (e.g., critical,
high, medium, low), ensuring prioritization of critical vulnerabilities.

 Recommendations:

o Provide clear, actionable recommendations for remediating identified issues,

with ownership assigned to relevant personnel.

 Management Review:

o Ensure that the audit report is reviewed by senior management and that
management responses are documented and tracked.

 Post-Audit Follow-Up:

o Confirm that there is a process for following up on audit recommendations to

ensure that corrective actions have been completed and are e ective.

14. Cloud Computing & Virtualization Security

 Cloud Service Provider (CSP) Review:

o Security Certifications: Check whether the CSP has certifications such as ISO 27001,
SOC 2 Type II, or CSA STAR, which demonstrate a high level of information security
management.

o Compliance Audits: Ensure CSPs are subject to regular compliance audits (e.g., PCI-
DSS, HIPAA, GDPR) and that audit reports are shared with the organization.

o Data Residency and Jurisdiction: Understand where data is physically stored,

especially if it crosses borders, and ensure compliance with local regulations (e.g.,
GDPR for European Union citizens).

o Service Availability & Uptime: Review the CSP's Service Level Agreements (SLAs) for
uptime guarantees, and validate redundancy mechanisms, disaster recovery policies,
and high availability features.

 Shared Responsibility Model:

o Defined Roles: Clearly define the division of security responsibilities between the CSP
and your organization. For example, the CSP may manage the physical security of the
cloud infrastructure, while the organization is responsible for securing the applications
and data.

o Continuous Monitoring: Ensure that both parties have implemented continuous

monitoring of cloud environments for security threats, vulnerabilities, and incidents.

o Cloud-Specific Controls: Validate the deployment of security tools that are specific to
cloud environments (e.g., CASBs—Cloud Access Security Brokers, cloud-specific
firewalls).

 Data Migration:

o Migration Process Review: Ensure that data is encrypted during migration from on-
premises to the cloud, and that proper change management processes are followed.
 o Data Integrity Verification: Implement procedures for verifying the integrity and
completeness of data after migration (e.g., hashing, validation checks).

o Rollback Plans: Ensure that rollback plans are in place in case migration fails or data
corruption occurs during the process.

 Multi-Tenancy Risks:

o Isolation Mechanisms: Ensure that the cloud provider o ers robust mechanisms for
ensuring the logical isolation of data and resources between tenants in a multi-tenant
cloud environment.

o Hypervisor Security: Review the hypervisor security mechanisms in place for managing
virtual machines (VMs), ensuring that cross-VM data leaks are impossible.

 Virtualization Controls:

o Virtual Machine (VM) Security: Confirm that VMs are securely configured, including up-
to-date OS patches, strong access controls, and network isolation.

o Hypervisor Security: Ensure that hypervisors are patched regularly and monitored for
vulnerabilities, as they control the operation of VMs.

o VM Snapshots: Evaluate how VM snapshots are managed, ensuring they are encrypted
and stored securely.

 Cloud Backup & Redundancy:

o Backup Policies: Verify that backups of cloud-based systems and data are regularly
taken, encrypted, and stored in geographically separate locations.

o Failover Mechanisms: Review failover and disaster recovery plans to ensure minimal
downtime and data loss in case of a cloud service disruption.

15. Mobile Device Management (MDM) & Bring Your Own Device (BYOD)

 MDM Policy Review:

o MDM Policy Enforcement: Ensure that the organization enforces MDM policies that
cover device registration, configuration, and security enforcement.

o Device Enrollment: Review the process for enrolling devices into the MDM system,
ensuring that only approved and authenticated devices gain access to corporate
networks.

 Mobile Data Encryption:

o Encryption Protocols: Confirm that data on mobile devices, including emails, files, and
other sensitive information, is encrypted using industry standards (e.g., AES-256).

o Full-Disk Encryption: Verify that mobile devices used to access corporate data
implement full-disk encryption to protect data at rest.

 Remote Wipe Capabilities:

o Lost Device Protocols: Ensure the MDM solution can remotely wipe lost or stolen
devices to prevent unauthorized access to sensitive information.
 o Selective Wiping: Review the ability to perform selective wipes, which only remove
corporate data, leaving personal data intact for BYOD devices.

 BYOD Security Controls:

o Network Segregation: Ensure that employee-owned devices (BYOD) can only access
specific segments of the network, limiting exposure to critical systems.

o App Restrictions: Review restrictions on the use of third-party apps that are not
authorized by the organization or that may pose security risks.

 Mobile Application Security:

o App Whitelisting: Ensure that the organization has implemented app whitelisting
policies that only allow secure and approved apps on mobile devices.

o Mobile App Penetration Testing: Regularly conduct penetration tests on internally

developed or externally acquired mobile apps to identify vulnerabilities.

16. Emerging Threats & Advanced Persistent Threat (APT) Detection

 Threat Intelligence Integration:

o Threat Intelligence Feeds: Ensure that the organization subscribes to threat

intelligence feeds from trusted sources to stay informed of emerging vulnerabilities and
attack patterns.

o Proactive Threat Hunting: Implement proactive threat-hunting strategies that

continuously search for potential signs of advanced threats before they materialize into
incidents.

 APT Detection:

o Anomaly Detection Systems: Deploy behavioral analytics and anomaly detection

systems capable of identifying unusual patterns that may indicate APTs or malicious
insiders.

o Threat Simulation Exercises: Regularly conduct red-team exercises to simulate

advanced persistent threats and test the e ectiveness of security defenses.

 Zero-Day Exploit Readiness:

o Vulnerability Management: Review processes in place to identify and manage zero-day

vulnerabilities, such as quickly applying patches or mitigating their impact through
configuration changes.

o Threat Containment: Ensure strategies are in place for containing zero-day exploits,
such as network segmentation, isolating infected machines, and using honeypots.

 Incident Analysis & Response Automation:

o SIEM (Security Information & Event Management): Confirm the use of SIEM tools to
automate the analysis of security events, alerting security teams to possible incidents.
 o SOAR (Security Orchestration, Automation, and Response): Review whether SOAR
platforms are deployed to automatically respond to incidents and contain threats,
reducing response times.

17. DevOps & DevSecOps Integration

 Continuous Integration/Continuous Delivery (CI/CD) Pipeline Security:

o Security in CI/CD Pipelines: Ensure security checks are embedded within the CI/CD
pipeline, including automated vulnerability scanning, secure code review, and static
analysis.

o Deployment Automation: Review the automation of security tests and patches during
the CI/CD pipeline to minimize the risk of deploying insecure code.

 Automated Security Testing:

o SAST/DAST: Implement Static Application Security Testing (SAST) and Dynamic

Application Security Testing (DAST) tools to catch security vulnerabilities during the
development cycle.

o Security Gates: Ensure that code can’t be promoted to production unless it passes
security gates at each stage of the pipeline.

 Infrastructure as Code (IaC):

o IaC Security: Validate that infrastructure defined through code (e.g., AWS
CloudFormation, Terraform) is properly configured with security in mind, such as using
secure default configurations.

o Automated Testing for IaC: Ensure that infrastructure as code scripts undergo
automated security testing to prevent the introduction of vulnerabilities into production
environments.

 Access to Development Environments:

o Environment Segregation: Ensure development, staging, and production environments

are properly segregated, with strong access controls limiting who can deploy changes to
production.

 Secret Management:

o Secure Storage: Verify that secrets (e.g., API keys, passwords) are securely stored using
secret management tools like HashiCorp Vault or AWS Secrets Manager.

o Secret Rotation: Ensure that secrets are regularly rotated and that access to them is
monitored and logged.

18. Data Loss Prevention (DLP)

 DLP Tools & Policies:

o DLP Software Deployment: Ensure the deployment of DLP software to monitor and
control the movement of sensitive data across networks, endpoints, and the cloud.
 o DLP Policies: Review DLP policies for protecting sensitive data, such as personally
identifiable information (PII), financial records, and intellectual property.

 Sensitive Data Monitoring:

o Data In Transit: Confirm that DLP solutions monitor data in transit, especially outbound
communications like emails, file transfers, and uploads to cloud services.

o Endpoint Monitoring: Ensure that endpoints (desktops, laptops, and mobile devices)
are monitored for the unauthorized transfer of data (e.g., via USB drives).

 Exfiltration Protections:

o Outbound Tra ic Restrictions: Verify that outbound tra ic is restricted and monitored
for signs of data exfiltration, especially large data transfers or encrypted tra ic.

o File Type Controls: Ensure that DLP systems enforce controls on the types of files
allowed to leave the organization, such as blocking sensitive document formats or data
fields.

 Data Masking & Tokenization:

o Sensitive Data Masking: Review the use of data masking or tokenization techniques to
protect sensitive data in test environments or non-production systems.

19. IoT (Internet of Things) & Operational Technology (OT) Security

 IoT Device Inventory & Management:

o IoT Asset Tracking**: Maintain an updated inventory of all IoT devices connected to the
network, including their configuration and security status.

o Device Authentication: Ensure that IoT devices are authenticated and authorized
before being granted network access.

 Network Segmentation for IoT/OT:

o Segregation Strategies: Implement network segmentation strategies to isolate IoT and

OT devices from critical IT infrastructure to limit potential attack vectors.

o Firewalls & Access Control: Use firewalls and access control lists (ACLs) to restrict
communication between IoT/OT devices and other network segments.

 IoT/OT Security Controls:

o Patch Management: Ensure that IoT and OT devices receive timely security patches and
updates, with a process in place to monitor and apply them.

o Vulnerability Scanning: Regularly scan IoT and OT devices for vulnerabilities and
misconfigurations.

 Incident Response for IoT/OT:

o Specific Procedures: Develop incident response procedures tailored to IoT and OT

environments, including how to handle breaches or attacks specific to these devices.
 o Vendor Coordination: Ensure that response plans include coordination with device
vendors for support and guidance during incidents.

20. Artificial Intelligence (AI) & Machine Learning (ML) Security

 AI/ML Model Security:

o Model Integrity: Ensure the integrity of AI/ML models by protecting them against
tampering or unauthorized changes, and verifying the authenticity of training data.

o Bias and Fairness: Evaluate AI/ML models for biases and fairness to ensure that they do
not unintentionally discriminate or produce unfair outcomes.

 Data Privacy in AI/ML:

o Data Handling: Ensure that data used for training AI/ML models is handled according to
privacy regulations, including data anonymization and minimization practices.

o Model Outputs: Review how the outputs of AI/ML models are used and ensure they do
not reveal sensitive or personal information inadvertently.

 Adversarial Attacks:

o Defense Mechanisms: Implement defenses against adversarial attacks that could

manipulate AI/ML models, such as input perturbations designed to deceive the model.

o Robustness Testing: Regularly test AI/ML models for robustness against attacks and
ensure they can handle unexpected or malicious inputs without failing.

 AI/ML System Monitoring:

o Performance Monitoring: Continuously monitor the performance of AI/ML systems to

detect anomalies that could indicate security issues or degradation in model accuracy.

o Model Drift: Watch for model drift, where the performance of AI/ML models degrades
over time due to changes in data patterns or operational conditions.

21. Security Awareness & Training

 Training Programs:

o Regular Training: Ensure that all employees undergo regular security awareness training
to stay informed about current threats, best practices, and organizational policies.

o Tailored Training: Provide specialized training for roles with access to sensitive
information or systems (e.g., IT sta , executives).

 Phishing Simulations:

o Simulated Attacks: Conduct regular phishing simulations to test employees’ responses

and raise awareness about phishing threats.

o Response Evaluation: Evaluate the e ectiveness of training programs based on the

results of phishing simulations and adjust training content accordingly.

 Policy Acknowledgment:
 o Acknowledgment Forms: Require employees to formally acknowledge understanding
and acceptance of security policies and procedures.

o Policy Updates: Communicate updates to security policies and ensure employees are
aware of changes.

 Security Culture:

o Encouragement & Recognition: Foster a security-conscious culture by recognizing and

rewarding employees who demonstrate good security practices and report potential
issues.

22. Legal & Regulatory Compliance

 Compliance Audits:

o Regular Audits: Schedule regular compliance audits to ensure adherence to relevant

laws and regulations, such as GDPR, HIPAA, or PCI-DSS.

o Audit Findings: Address findings from compliance audits promptly, implementing

corrective actions to address any identified deficiencies.

 Regulatory Updates:

o Ongoing Monitoring: Stay informed about changes in regulatory requirements and

ensure that organizational policies and practices are updated to maintain compliance.

o Legal Consultation: Consult with legal experts to interpret new or updated regulations
and determine their impact on the organization’s information systems.

 Documentation & Reporting:

o Compliance Documentation: Maintain detailed documentation of compliance e orts,

including policies, procedures, and evidence of adherence.

o Regulatory Reporting: Ensure that required reports are submitted to regulatory bodies
in a timely manner, including any required disclosures or notifications.

 Data Subject Rights:

o Rights Management: Implement processes for managing data subject rights, including
access requests, data rectification, and data deletion in compliance with privacy
regulations.

23. System & Data Integrity

 Integrity Checks:

o Checksums & Hashes: Use checksums and hashes to verify the integrity of system
files, applications, and data to detect unauthorized changes or corruption.

o Data Validation: Implement data validation techniques to ensure the accuracy and
consistency of data throughout its lifecycle.

 Change Management:
 o Change Control: Ensure that all changes to systems and data are controlled through
formal change management processes, including documentation and approval.

o Configuration Management: Maintain an accurate configuration management

database (CMDB) to track changes to hardware and software configurations.

 Audit Trails:

o Logging & Monitoring: Ensure comprehensive logging of system and data changes, with
logs monitored and analyzed for signs of tampering or unauthorized access.

o Log Retention: Implement policies for the secure storage and retention of logs to
support forensic investigations and compliance requirements.

 Data Accuracy:

o Data Quality: Regularly review data for accuracy and completeness, implementing
processes to correct any errors or inconsistencies.

24. Physical & Environmental Controls

 Access Controls:

o Physical Access: Ensure that physical access to critical infrastructure, such as data
centers and server rooms, is restricted to authorized personnel through access control
systems (e.g., key cards, biometrics).

o Visitor Management: Implement visitor management procedures, including

registration, escorting, and monitoring to ensure that visitors do not have unauthorized
access.

 Environmental Controls:

o Temperature & Humidity: Monitor and control temperature and humidity levels in data
centers and server rooms to prevent equipment failure and data loss.

o Fire Protection: Install and regularly test fire suppression systems (e.g., sprinklers, gas-
based systems) to protect against fire damage.

 Power & Backup Systems:

o Uninterruptible Power Supplies (UPS): Ensure that UPS systems are in place to
provide backup power in the event of a power outage, with regular maintenance and
testing.

o Generator Testing: Regularly test backup generators to ensure they are operational and
capable of providing power during extended outages.

 Physical Security Policies:

o Security Policies: Develop and enforce physical security policies and procedures to
protect against unauthorized access, theft, and vandalism.

o Incident Response: Ensure that physical security incidents are promptly reported,
investigated, and addressed according to established procedures.

Audit Checklist for Cloud Computing

1. Governance and Compliance

 Regulatory Compliance: Verify adherence to relevant regulations (e.g., GDPR for data
protection in the EU, HIPAA for healthcare data in the U.S.). Ensure that data handling
and processing practices align with these regulations.

 Service Level Agreements (SLAs): Review the SLA to understand uptime guarantees,
support response times, and performance benchmarks. Ensure that SLAs align with
your business needs and expectations.

 Data Residency: Check where your data is physically stored and processed. Ensure it
complies with regional data residency requirements and legal regulations.

2. Security Management

 Access Controls: Assess the e ectiveness of role-based access control (RBAC), multi-
factor authentication (MFA), and other mechanisms to restrict access to sensitive data
and systems.

 Identity and Access Management (IAM): Review IAM policies to ensure that users and
services have appropriate permissions. Regularly audit and update IAM configurations
to prevent privilege creep.

 Encryption: Ensure data is encrypted using strong encryption standards both in transit
(e.g., TLS/SSL) and at rest (e.g., AES-256). Verify encryption keys are managed securely.

 Incident Response: Confirm that an incident response plan is in place, including

procedures for identifying, managing, and mitigating security incidents. Conduct regular
drills to test response e ectiveness.

3. Data Management

 Backup and Recovery: Ensure that backup processes are automated, regular, and
reliable. Test backup restores periodically to verify data integrity and recovery
procedures.

 Data Integrity: Implement mechanisms to verify data integrity, such as checksums or

hashes, to detect unauthorized changes or corruption.

 Data Retention: Review data retention policies to ensure that data is retained only as
long as necessary and disposed of securely when no longer needed.

4. Infrastructure and Configuration

 Network Security: Assess network security controls, including firewalls, intrusion

detection/prevention systems (IDS/IPS), and virtual private networks (VPNs). Ensure
that network tra ic is monitored and analyzed.

 Configuration Management: Verify that cloud resources are configured according to

security best practices and standards (e.g., CIS benchmarks). Use configuration
management tools to maintain consistency.

 Patching and Updates: Ensure that all systems and applications are regularly updated
with security patches. Implement a process for timely application of patches and
updates.
5. Monitoring and Logging

 Logging: Confirm that logging is enabled for critical systems and activities. Logs should
capture su icient detail to support security investigations and audits.

 Monitoring: Implement continuous monitoring tools to track system performance,

availability, and security. Ensure that monitoring is configured to detect and alert on
anomalies.

 Alerts: Set up alerting mechanisms to notify relevant personnel of suspicious activities

or system issues. Review and refine alert thresholds to minimize false positives and
ensure timely response.

6. Vendor Management

 Vendor Security: Assess the security posture of cloud service providers, including their
security certifications and practices. Review their security policies and procedures.

 Third-Party Assessments: Obtain and review third-party audit reports, such as SOC 2
Type II reports, to gain insights into the provider’s security controls and compliance
status.

7. Risk Management

 Risk Assessment: Perform regular risk assessments to identify and evaluate potential
security and operational risks. Use the results to prioritize risk mitigation e orts.

 Mitigation Strategies: Develop and implement strategies to mitigate identified risks.

Regularly review and update these strategies based on new threats and changes in the
environment.

8. Documentation and Training

 Documentation: Maintain comprehensive documentation of security policies,

procedures, configurations, and changes. Ensure that documentation is up-to-date and
accessible.

 Training: Provide regular training to sta on cloud security practices, policies, and
incident response procedures. Ensure that training is tailored to di erent roles and
responsibilities.

9. Disaster Recovery and Business Continuity

 Disaster Recovery Plan: Review and test the disaster recovery plan to ensure it
addresses potential disaster scenarios and outlines recovery procedures. Regularly
update the plan based on changes in the environment.

 Business Continuity: Ensure that business continuity plans are comprehensive and
include procedures for maintaining critical operations during disruptions. Test these
plans regularly to validate their e ectiveness.

10. Cost Management

 Cost Tracking: Implement tools and processes to monitor and track cloud usage and
expenses. Review billing statements regularly to identify unexpected charges.
  Cost Optimization: Evaluate and implement cost optimization strategies, such as
rightsizing instances, using reserved instances, and leveraging cost-saving features
provided by the cloud provider.

11. Service Integration

 Integration Testing: Test integrations between cloud services and on-premises systems
to ensure they function as expected and do not introduce vulnerabilities or performance
issues.

 API Security: Review the security of APIs used for integrating with cloud services.
Implement secure coding practices and validate that APIs are protected against
common threats (e.g., injection attacks, data breaches).

12. Performance Management

 Performance Metrics: Define KPIs for cloud services and monitor them to ensure that
performance meets expectations. Metrics may include response times, throughput, and
availability.

 Capacity Planning: Review capacity planning processes to ensure they align with
current and anticipated workloads. Implement scalable solutions to accommodate
growth and avoid resource bottlenecks.

13. User Awareness and Management

 User Training: Conduct regular training sessions for users to raise awareness about
cloud security risks and best practices. Update training materials based on new threats
and technologies.

 Privilege Management: Regularly review and adjust user privileges to ensure they are
aligned with job roles and responsibilities. Implement least privilege principles to
minimize access to sensitive data.

14. Change Management

 Change Control Process: Verify that a formal change control process is in place for
managing changes to cloud environments. This should include change requests, impact
assessments, and approval workflows.

 Impact Assessment: Assess the potential impact of changes on security, performance,

and compliance. Ensure that changes are thoroughly tested in a staging environment
before being applied to production.

15. End-of-Life (EOL) Management

 EOL Policies: Review and enforce policies for managing end-of-life cloud services and
components. Ensure that outdated or unsupported services are phased out in a
controlled manner.

 Data Migration: Develop procedures for migrating data from EOL services to new
platforms or services. Ensure data integrity and minimal disruption during the migration
process.

16. Cloud Architecture Review

  Design Principles: Evaluate cloud architecture against established design principles
such as scalability, redundancy, and fault tolerance. Ensure that the architecture
supports business needs and resilience.

 Scalability and Redundancy: Assess scalability and redundancy measures to ensure

they can handle current and future demands. Implement solutions to ensure high
availability and fault tolerance.

17. Legal and Contractual Obligations

 Legal Review: Conduct a thorough review of legal obligations related to cloud services,
including data protection laws, intellectual property rights, and contractual terms.

 Contractual Terms: Review and understand the terms of contracts with cloud
providers. Ensure that the terms align with your requirements and that there are
mechanisms for addressing disputes or breaches.

18. Business Impact Analysis

 Impact Analysis: Perform a business impact analysis to understand the potential

e ects of disruptions on business operations. Identify critical systems and processes
that need to be prioritized for recovery.

19. Audit Trail

 Audit Trail Verification: Ensure that audit trails are maintained for all critical activities
and transactions. Verify that logs are secure, tamper-proof, and accessible for audits.

 Audit Frequency: Establish and adhere to a schedule for regular audits. Ensure that
audits cover all relevant aspects of the cloud environment and are conducted by
qualified personnel.

20. Emerging Threats and Trends

 Threat Intelligence: Stay informed about emerging threats and trends in cloud security.
Subscribe to threat intelligence feeds and participate in industry forums to stay
updated.

 Adaptive Measures: Regularly review and update security measures to address new
threats and vulnerabilities. Implement adaptive strategies to mitigate risks associated
with evolving attack vectors.

Audit Checklist for Web Application

1. Information Gathering

 Architecture Review:

o Understand the application's architecture, including frontend, backend, APIs,

and databases.

o Document the tech stack used (e.g., programming languages, frameworks,

libraries).

 Threat Modeling:
 o Identify potential threats and vulnerabilities specific to the application.

o Review attack vectors such as data flow, user inputs, and integration points.

2. Authentication & Authorization

 Authentication Mechanisms:

o Verify the implementation of strong authentication mechanisms (e.g., multi-

factor authentication).

o Check for secure password policies and storage (e.g., hashing with bcrypt).

 Session Management:

o Review session management practices (e.g., session timeouts, secure cookies).

o Ensure proper implementation of session fixation protections.

 Access Controls:

o Validate role-based access controls (RBAC) and other authorization

mechanisms.

o Ensure least privilege principle is applied throughout the application.

3. Input Validation

 Sanitization & Validation:

o Check for proper input validation and sanitization to prevent injection attacks
(e.g., SQL, XSS).

o Review client-side and server-side validation mechanisms.

 Error Handling:

o Ensure that error messages do not reveal sensitive information.

o Review handling of exceptions and error reporting.

4. Data Protection

 Encryption:

o Verify the use of strong encryption for data at rest and in transit.

o Review encryption key management practices.

 Data Privacy:

o Ensure compliance with relevant data protection regulations (e.g., GDPR,

CCPA).

o Assess the handling of sensitive data, including storage and transmission

practices.

5. Secure Communication

 SSL/TLS:
 o Check for proper implementation of SSL/TLS certificates and configurations.

o Ensure use of strong cipher suites and protocols.

 API Security:

o Review API security practices, including authentication, authorization, and rate

limiting.

o Verify that API endpoints do not expose sensitive data.

6. Application Security

 Code Review:

o Conduct a thorough code review to identify security flaws.

o Look for common vulnerabilities such as hardcoded credentials or insecure

coding practices.

 Dependencies:

o Assess third-party libraries and dependencies for known vulnerabilities.

o Review dependency management and update practices.

7. Security Testing

 Penetration Testing:

o Perform penetration testing to identify exploitable vulnerabilities.

o Review findings and ensure remediation of identified issues.

 Static & Dynamic Analysis:

o Use static analysis tools to detect code-level vulnerabilities.

o Perform dynamic analysis to test the application during runtime.

8. Logging & Monitoring

 Logging:

o Verify that adequate logging is implemented for security-related events.

o Ensure logs are protected and stored securely.

 Monitoring:

o Review monitoring mechanisms to detect and respond to suspicious activities.

o Check for integration with Security Information and Event Management (SIEM)
systems.

9. Configuration Management

 Server & Application Configurations:

o Review server and application configurations for security best practices.

 o Ensure secure defaults and minimal exposure of services.

 Patch Management:

o Check for regular updates and patching of the application and its components.

o Review the process for handling security advisories and updates.

10. Backup & Recovery

 Backup Practices:

o Verify that regular backups are performed and stored securely.

o Ensure backup data is encrypted and tested for recovery.

 Incident Response:

o Review the incident response plan and its e ectiveness.

o Ensure the plan includes procedures for data breaches and security incidents.

11. Compliance

 Regulatory Requirements:

o Ensure compliance with relevant regulations and industry standards.

o Document any specific compliance requirements relevant to the application.

12. Documentation & Training

 Documentation:

o Review and update security documentation, including policies and procedures.

o Ensure documentation is accessible and up-to-date.

 Training:

o Assess training programs for developers and sta on security best practices.

o Ensure regular security awareness training is provided.

13. Advanced Threat Detection

 Intrusion Detection Systems (IDS) / Intrusion Prevention Systems (IPS):

o IDS/IPS Configuration:

 Ensure IDS/IPS is configured to monitor and analyze tra ic for suspicious

activities.

 Verify that IDS/IPS rules are up-to-date with the latest threat signatures
and anomaly detection capabilities.

o Alert Management:

 Check that alerts from IDS/IPS are monitored in real-time and

appropriate actions are taken based on severity.
  Assess integration with incident management systems for automated
response.

 Anomaly Detection:

o Behavioral Analysis:

 Implement tools that use machine learning to analyze patterns and

detect deviations from normal behavior.

 Ensure the system learns and adapts to legitimate changes in usage

patterns to reduce false positives.

o Baseline Establishment:

 Establish a baseline for normal application behavior to better identify

anomalies.

 Regularly update the baseline to reflect changes in user behavior and

application functionality.

 Threat Intelligence:

o Integration:

 Integrate threat intelligence feeds that provide information on emerging

threats, vulnerabilities, and attack trends.

 Ensure feeds are relevant to your specific technology stack and threat
landscape.

o Actionable Insights:

 Use threat intelligence to inform defensive strategies, update security

policies, and improve detection capabilities.

 Regularly review and adapt security measures based on the latest threat
intelligence.

14. Database Security

 Database Configuration:

o Hardening:

 Disable unnecessary features and services in the database (e.g., remote

access, unused ports).

 Implement least privilege access controls for database users.

o Secure Accounts:

 Use strong, unique passwords for database accounts.

 Regularly rotate credentials and monitor account activity.

 SQL Injection Protections:

 o Parameterized Queries:

 Ensure all database queries are parameterized to prevent injection

attacks.

 Review code for any instances of dynamic query construction without

proper sanitization.

o ORM Tools:

 Use ORM tools that abstract direct database access and mitigate the risk
of SQL injection.

 Validate that ORM configurations do not introduce vulnerabilities.

 Database Activity Monitoring:

o Logging:

 Enable detailed logging of database activities, including query execution

and user actions.

 Ensure logs are securely stored and protected from tampering.

o Alerting:

 Set up alerts for suspicious database activities, such as unusual query

patterns or unauthorized access attempts.

 Review and respond to alerts in a timely manner.

15. Content Delivery Network (CDN) Security

 CDN Configuration:

o Assess the configuration of any CDNs used for content distribution.

o Ensure proper caching policies, SSL enforcement, and DDoS protection settings.

 Edge Security:

o Verify that edge rules are in place to prevent attacks such as cross-origin
resource sharing (CORS) misuse or cache poisoning.

16. Cloud Security (If Applicable)

 Cloud Configuration:

o Review the security configuration of cloud infrastructure (e.g., AWS, Azure,

GCP).

o Ensure secure use of cloud services, including Identity and Access Management
(IAM), virtual private networks, and encryption.

 Cloud-specific Vulnerabilities:
 o Assess cloud resources for misconfigurations such as open storage buckets,
unsecured databases, or excessive permissions.

o Review cloud audit logs and cloud-specific security services (e.g., AWS Security
Hub).

17. Third-party Integrations & External Services

 Third-party API Integrations:

o Review the security of third-party APIs and services integrated with the web
application.

o Ensure proper authentication (e.g., OAuth, API keys) and data validation when
interacting with external systems.

 External Libraries & Packages:

o Conduct a thorough inventory of all external libraries, packages, and plugins.

o Use tools like Snyk or OWASP Dependency-Check to scan for known

vulnerabilities in dependencies.

18. Business Logic & Application Workflow

 Business Logic Abuse:

o Review application logic for vulnerabilities that may allow users to bypass
workflows or gain unauthorized privileges.

o Check for improper implementation of logic that handles financial transactions,

promotions, or data modifications.

 Race Conditions:

o Test for race condition vulnerabilities that could allow attackers to exploit
concurrency issues (e.g., making multiple requests simultaneously to gain
unintended benefits).

 Anti-Automation & Anti-Scraping Mechanisms:

o Ensure CAPTCHA, rate limiting, and anti-bot mechanisms are implemented to

protect against brute force, scraping, and automated attacks.

19. Mobile Application Interface (If Applicable)

 Mobile App Communication:

o Ensure secure communication between the mobile application and backend

APIs.

o Check for proper certificate pinning and encryption of data sent from the mobile
app.

 Mobile App Security Review:

 o Perform security testing on any mobile apps that interact with the web
application, including reverse engineering, tra ic analysis, and local storage
checks.

o Validate that sensitive information is not stored insecurely on mobile devices

(e.g., in plaintext or accessible logs).

20. Red Team/Blue Team Exercises

 Red Team Testing:

o Engage a Red Team (simulated attack group) to test the application’s defense
mechanisms.

o Evaluate how the system responds to real-world attack scenarios, including

social engineering, privilege escalation, and lateral movement.

 Blue Team (Defense):

o Ensure the Blue Team (defensive team) is monitoring for attacks and has an
e ective incident response plan.

o Review how quickly and e ectively the Blue Team can detect, contain, and
mitigate attacks.

21. User Experience (UX) Security

 User Behavior Testing:

o Ensure user interfaces prevent phishing and social engineering attacks.

o Check that users are informed of security-relevant events (e.g., login from a new
device, password changes).

 Security Awareness in UX:

o Assess the clarity of security warnings and prompts (e.g., clarity of 2FA
instructions, password strength meters).

o Validate that user experience does not encourage insecure behavior (e.g.,
providing overly complex password requirements that lead to poor choices).

22. Supply Chain Security

 Supply Chain Risk Assessment:

o Identify potential risks from third-party vendors and suppliers in the software
supply chain.

o Ensure contracts with vendors include security requirements and compliance

checks.

 Code Signing & Integrity:

o Ensure code signing mechanisms are in place to verify the integrity of the
software.
 o Review build pipelines for proper security practices (e.g., use of secure CI/CD
tools, verification of source integrity).

23. Continuous Integration/Continuous Deployment (CI/CD) Pipeline Security

 Build Environment Security:

o Secure the CI/CD pipeline by limiting access to build servers and repositories.

o Verify that security scans (e.g., static code analysis, dependency checks) are
integrated into the CI/CD pipeline.

 Pipeline Secrets Management:

o Ensure proper secrets management for tokens, keys, and sensitive information
in build environments.

o Use dedicated secret management services (e.g., HashiCorp Vault, AWS Secrets
Manager) to securely handle secrets in the pipeline.

24. Zero Trust Architecture (ZTA)

 Zero Trust Principles:

o Assess if Zero Trust principles are implemented (e.g., micro-segmentation,

continuous authentication).

o Ensure strict verification of every request, assuming no implicit trust inside or

outside the network.

 Microservices Security (If Applicable):

o Review security between microservices, ensuring each has proper

authentication and encryption.

o Ensure that no microservice trusts another by default, and communication is

secured.

25. Decommissioning & Data Disposal

 Data Deletion Policy:

o Review policies for secure data deletion when no longer needed (e.g., after
account closure or subscription expiration).

o Ensure that all backups, logs, and remnants of sensitive data are securely
deleted in line with data retention policies.

 Decommissioning of Resources:

o Assess the decommissioning process for old servers, databases, or application

components.

o Ensure that old infrastructure is properly wiped, or data is securely deleted

before decommissioning.

26. Business Logic Vulnerabilities

  Business Logic Review:

o Assess whether the application’s workflow and logic have weaknesses that
could be exploited (e.g., bypassing payments, improper workflow validation).

o Review areas where user actions might manipulate business rules

unintentionally or maliciously.

 Edge Case Testing:

o Test the application for unexpected behavior under unusual circumstances (e.g.,
large payloads, unexpected input sequences).

o Validate that all business processes perform as intended under high load,
concurrency, or unusual conditions.

27. Third-Party Integrations

 Third-Party Services:

o Review security practices of any third-party services or APIs integrated into the
application.

o Verify proper use of OAuth, API tokens, and secure communication channels.

 Supply Chain Risks:

o Ensure that dependencies from external vendors, libraries, and services are
secure and up-to-date.

o Review the process for evaluating and monitoring third-party risks.

28. Security Misconfigurations

 Application Configuration:

o Check for unnecessary features (e.g., default accounts, debug modes, overly
verbose error messages).

o Verify that sensitive configuration files (e.g., .env files, database credentials) are
not exposed.

 Infrastructure Configuration:

o Review the server configuration for secure settings (e.g., directory listings, CORS
policies, HTTP headers).

o Ensure firewalls, intrusion detection systems (IDS), and intrusion prevention

systems (IPS) are properly configured.

29. Rate Limiting and DoS Protection

 Rate Limiting:

o Check for mechanisms to prevent abuse of resources through excessive

requests (e.g., login attempts, API requests).
 o Validate that the application can handle Denial of Service (DoS) attacks and
throttles requests appropriately.

 Bot and CAPTCHA Protection:

o Review the e ectiveness of CAPTCHA and other mechanisms to prevent

automated attacks like credential stu ing or scraping.

30. Content Security Policy (CSP)

 CSP Implementation:

o Verify that a robust Content Security Policy (CSP) is in place to mitigate Cross-
Site Scripting (XSS) and other code injection attacks.

o Ensure CSP settings restrict loading of resources to trusted domains.

31. Cross-Site Request Forgery (CSRF) Protection

 CSRF Tokens:

o Verify that the application implements anti-CSRF tokens in sensitive operations

(e.g., form submissions, state-changing actions).

o Check that tokens are validated and rotated appropriately to prevent session
hijacking.

32. File Upload and Download Security

 File Upload Validation:

o Ensure uploaded files are validated for size, type, and content before
processing.

o Verify that uploaded files are scanned for malware and stored securely (e.g.,
outside the webroot).

 File Download:

o Review file download functionalities to ensure files are served securely and
prevent unauthorized access.

33. Security Headers

 HTTP Security Headers:

o Review the use of security-related HTTP headers such as Strict-Transport-

Security, X-Content-Type-Options, X-Frame-Options, and Referrer-Policy.

o Ensure headers are properly configured to mitigate common web vulnerabilities

like clickjacking and MIME sni ing.

o Strict-Transport-Security (HSTS): Implement HSTS to enforce HTTPS and

prevent downgrade attacks. Set appropriate max-age and include subdomains if
applicable.

o X-Content-Type-Options: Use the X-Content-Type-Options header to prevent

MIME type sni ing.
 o X-Frame-Options: Implement X-Frame-Options to prevent clickjacking attacks.

o Referrer-Policy: Configure the Referrer-Policy header to control the amount of

referrer information shared with other sites.

34. Mobile Compatibility (if applicable)

 Mobile App Security:

o Secure Storage: Ensure sensitive data is stored securely on mobile devices,

using encrypted storage mechanisms provided by the platform.

o Secure Communication: Use HTTPS for all communications between the

mobile app and the backend server. Validate SSL/TLS certificates and protect
against certificate pinning bypasses.

 Authentication and Authorization:

o Mobile Authentication: Implement secure authentication methods for mobile

apps, such as biometric authentication or token-based authentication.

o Access Controls: Apply robust access controls to protect sensitive functionality

and data within the mobile app.

35. Cloud Security (if applicable)

 Cloud Infrastructure Review:

o If the application is hosted in the cloud, assess the security of cloud services
(e.g., storage, network configurations, security groups).

o Verify the implementation of identity and access management (IAM) best

practices for cloud environments.

 Container Security:

o If using containers (e.g., Docker, Kubernetes), review security practices for

container images, orchestration, and network isolation.