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162 lines
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<title>Checklists for security auditing</title>
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<!-- Java sync-link --><script language="Javascript" src="../rzahg/synch.js" type="text/javascript"></script>
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<h1 class="topictitle1">Checklists for security auditing</h1>
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<div><p>Use this checklist to plan and audit system security.</p>
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<p>As you plan security, choose the items from the list that meet your security
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requirements. When you audit the security of your system, use the list to
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evaluate the controls you have in place and to determine if additional controls
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are needed. The list contains brief descriptions of how to do each item and
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how to monitor that it has been done.</p>
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<div class="tablenoborder"><table cellpadding="4" cellspacing="0" summary="" width="100%" frame="border" border="1" rules="all"><caption>Table 1. Security Auditing Planning Form</caption><thead align="left"><tr><th colspan="2" valign="top" id="d0e22">Security Auditing Planning
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Form</th>
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</tr>
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</thead>
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<tbody><tr><td valign="top" headers="d0e22 ">Prepared by:</td>
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<td valign="top" headers="d0e22 ">Date:</td>
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</tr>
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<tr><td colspan="2" valign="top" headers="d0e22 "><strong>Monitoring physical security:</strong></td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Is backup media protected from damage and theft?</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Is access to workstations in public areas restricted?
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Use the DSPOBJAUT command to see who has *CHANGE authority to the workstations.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td colspan="2" valign="top" headers="d0e22 "><strong>Monitoring system values:</strong></td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Verify that the settings for system values match your
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System Values Selection form. Use the Print System Security Attributes (PRTSYSSECA)
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command.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Review your decisions about system values, particularly
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when you install new applications. Have any system values changed?</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 "><strong>Monitoring group profiles:</strong></td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Verify that group profiles have no passwords. Use the
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DSPAUTUSR command to verify that all group profiles have a password of *NONE.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Verify that the correct people are members of the group.
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Use the DSPUSRPRF command with the *GRPMBR option to list the members of a
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group.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Check the special authorities for each group profile.
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Use the DSPUSRPRF command. If you are running at security level 30, 40, or
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50, group profiles should not have *ALLOBJ authority.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td colspan="2" valign="top" headers="d0e22 "><strong>Monitoring user profiles:</strong></td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Verify that user profiles on the system belong to one
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of these categories: <ul><li>User profiles for current employees</li>
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<li>Group profiles</li>
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<li>Application owner profiles</li>
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<li>IBM-supplied profiles (start with Q)</li>
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</ul>
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</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Remove their user profile when the company transfers
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a user or when a user leaves the company. Use the Change Expiration Schedule
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Entry (CHGEXPSCDE) command to automatically delete or disable the profile
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as soon as the user leaves.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Look for inactive profiles and remove them. Use the
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Analyze Profile Activity (ANZPRFACT) command to automatically disable profiles
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after they have been inactive for a certain time.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Determine which users have a password that is the same
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as their user profile name. Use the Analyze Default Passwords (ANZDFTPWD)
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command. Use the option of this command to force users to change their passwords
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the next time they sign on to the system.<div class="attention"><span class="attentiontitle">Attention:</span> Do not remove
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any IBM-supplied profiles from the system. IBM-supplied profiles start with
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the character Q.</div>
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</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Be aware of who has a user class other than *USER and
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why. Use the Print User Profile (PRTUSRPRF) command to get a list of all users,
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their user class, and their special authorities. Match this information with
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your System Responsibilities form.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Control which user profiles have the Limit capabilities
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field set to *NO.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td colspan="2" valign="top" headers="d0e22 "><strong>Monitoring critical objects:</strong></td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Review who has access to critical objects. Use the Print
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Private Authorities (PRTPVTAUT) command and the Print Publicly Authorized
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Objects (PRTPUBAUT) command to monitor objects. If a group has access, verify
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the members of the group with the *GRPMBR option of the DSPUSRPRF command.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Verify who can use application programs that provide
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access to objects through another security method, such as adopted authority.
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Use the Print Adopting Objects (PRTADPOBJ) command.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td colspan="2" valign="top" headers="d0e22 "><strong>Monitoring unauthorized access:</strong></td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Instruct system operators to be alert for security messages
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in the QSYSOPR message queue. In particular, have them notify a security officer
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of repeated unsuccessful attempts to sign on. Security messages are in the
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range of 2200 to 22FF and 4A00 to 4AFF. They have prefixes CPF, CPI, CPC,
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and CPD.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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<tr><td valign="top" headers="d0e22 ">Set up security auditing to log unauthorized attempts
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to access objects.</td>
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<td valign="top" headers="d0e22 "> </td>
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</tr>
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</tbody>
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</table>
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</div>
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<p>For additional information on using the security auditing checklist, see
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Chapter 9 of the <a href="../rzahg/rzahgsecref.htm">iSeries™ Security
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Reference</a>.</p>
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</div>
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<div>
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<div class="familylinks">
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<div class="parentlink"><strong>Parent topic:</strong> <a href="rzamvplansecauditing.htm" title="Use this information to plan security auditing for your systems.">Plan security auditing</a></div>
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</div>
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</div>
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