Firewall Audit Checklist

No.	Security Elements
	Review the rule-sets to ensure that they follow the order as follows: anti-spoofing filters (blocked private addresses, internal addresses appearing from the outside) User permit rules (e.g. allow HTTP to public webserver) Management permit rules (e.g. SNMP traps to network management server) Noise drops (e.g. discard OSPF and HSRP chatter) Deny and Alert (alert systems administrator about traffic that is suspicious) Deny and log (log remaining traffic for analysis) Firewalls operate on a first match basis, thus the above structure is important to ensure that suspicious traffic is kept out instead of inadvertently allowing them in by not following the proper order.
	Application based firewall Ensure that the administrators monitor any attempts to violate the security policy using the audit logs generated by the application level firewall. Alternatively some application level firewalls provide the functionality to log to intrusion detection systems. In such a circumstance ensure that the correct host, which is hosting the IDS, is defined in the application level firewall. Ensure that there is a process to update the application level firewall’s vulnerabilities checked to the most current vulnerabilities. Ensure that there is a process to update the software with the latest attack signatures. In the event of the signatures being downloaded from the vendors’ site, ensure that it is a trusted site. In the event of the signature being e-mailed to the systems administrator, ensure that digital signatures are used to verify the vendor and that the information transmitted has not been modified en-route. The following commands should be blocked for SMTP at the application level firewall: EXPN (expand) VRFY (verify) DEBUG WIZARD The following command should be blocked for FTP: PUT Review the denied URL’s and ensure that they are appropriate for e.g. any URL’s to hacker sites should be blocked. In some instances organisations may want to block access to x-rated sites or other harmful sites. As such they would subscribe to sites, which maintain listings of such harmful sites. Ensure that the URL’s to deny are updated as released by the sites that warn of harmful sites. Ensure that only authorized users are authenticated by the application level firewall.
	Stateful inspection Review the state tables to ensure that appropriate rules are set up in terms of source and destination IP’s, source and destination ports and timeouts. Ensure that the timeouts are appropriate so as not to give the hacker too much time to launch a successful attack. For URL’s If a URL filtering server is used, ensure that it is appropriately defined in the firewall software. If the filtering server is external to the organisation ensure that it is a trusted source. If the URL is from a file, ensure that there is adequate protection for this file to ensure no unauthorized modifications. Ensure that specific traffic containing scripts; ActiveX and java are striped prior to being allowed into the internal network. If filtering on MAC addresses is allowed, review the filters to ensure that it is restricted to the appropriate MAC’s as defined in the security policy.
	Logging Ensure that logging is enabled and that the logs are reviewed to identify any potential patterns that could indicate an attack.
	Patches and updates Ensure that the latest patches and updates relating to your firewall product is tested and installed. If patches and updates are automatically downloaded from the vendors’ websites, ensure that the update is received from a trusted site. In the event that patches and updates are e-mailed to the systems administrator ensure that digital signatures are used to verify the vendor and ensure that the information has not been modified en-route.
	Location – DMZ Ensure that there are two firewalls – one to connect the web server to the internet and the other to connect the web server to the internal network. In the event of two firewalls ensure that it is of different types and that dual NIC’s are used. This would increase security since a hacker would need to have knowledge of the strengths, weaknesses and bugs of both firewalls. The rule-sets for both firewalls would vary based on their location e.g. between web server and the internet and between web server and the internal network.
	Vulnerability assessments/ Testing Ascertain if there is a procedure to test for open ports using nmap and whether unnecessary ports are closed. Ensure that there is a procedure to test the rule-sets when established or changed so as not to create a denial of service on the organisation or allow any weaknesses to continue undetected.
	Compliance with security policy Ensure that the rule-set complies with the organisation security policy.
	Ensure that the following spoofed, private (RFC 1918) and illegal addresses are blocked: Standard unroutables 255.255.255.255 127.0.0.0 Private (RFC 1918) addresses 10.0.0.0 – 10.255.255.255 172.16.0.0 – 172.31.255.255 192.168.0.0 - 192.168.255.255 Reserved addresses 240.0.0.0 Illegal addresses 0.0.0.0 UDP echo ICMP broadcast (RFC 2644) Ensure that traffic from the above addresses is not transmitted by the interface.
	Ensure that loose source routing and strict source routing (lsrsr & ssrr) are blocked and logged by the firewall.
	Port restrictions The following ports should blocked: Service Port Type Port Number DNS Zone Transfers except from external secondary DNS servers TCP 53 TFTP Daemon UDP 69 Link TCP 87 SUN RPC TCP & UDP 111 BSD UNIX TCP 512 – 514 LPD TCP 515 UUCPD TCP 540 Open Windows TCP & UDP 2000 NFS TCP & UDP 2049 X Windows TCP & UDP 6000 – 6255 Small services TCP & UDP 20 and below FTP TCP 21 SSH TCP 22 Telnet TCP 23 SMTP (except external mail relays) TCP 25 NTP TCP & UDP 37 Finger TCP 79 HTTP (except to external web servers) TCP 80 POP TCP 109 &110 NNTP TCP 119 NTP TCP 123 NetBIOS in Windows NT TCP &UDP 135 NetBIOS in Windows NT UDP 137 & 138 NetBIOS TCP 139 IMAP TCP 143 SNMP TCP 161 &162 SNMP UDP 161 &162 BGP TCP 179 LDAP TCP &UDP 389 SSL (except to external web servers) TCP 443 NetBIOS in Win2k TCP &UDP 445 Syslog UDP 514 SOCKS TCP 1080 Cisco AUX port TCP 2001 Cisco AUX port (stream) TCP 4001 Lockd (Linux DoS Vulnerability) TCP &UDP 4045 Cisco AUX port (binary) TCP 6001 Common high order HTTP ports TCP 8000, 8080, 8888
	Remote access If remote access is to be used, ensure that the SSH protocol (port 22) is used instead of Telnet.
	File Transfers If FTP is a requirement, ensure that the server, which supports FTP, is placed in a different subnet than the internal protected network.
	Mail Traffic Ascertain which protocol is used for mail and ensure that there is a rule to block incoming mail traffic except to internal mail.
	ICMP (ICMP 8, 11, 3) Ensure that there is a rule blocking ICMP echo requests and replies. Ensure that there is a rule blocking outgoing time exceeded and unreachable messages.
	IP Readdressing/IP Masquerading Ensure that the firewall rules have the readdressing option enabled such that internal IP addresses are not displayed to the external untrusted networks.

	Zone Transfers If the firewall is stateful, ensure packet filtering for UDP/TCP 53. IP packets for UDP 53 from the Internet are limited to authorized replies from the internal network. If the packet were not replying to a request from the internal DNS server, the firewall would deny it. The firewall is also denying IP packets for TCP 53 on the internal DNS server, besides those from authorized external secondary DNS servers, to prevent unauthorized zone transfers.
	Egress Filtering Ensure that there is a rule specifying that only traffic originating from IP’s within the internal network be allowed. Traffic with IP’s other than from the Internal network are to be dropped. Ensure that any traffic originating from IP’s other than from the internal network are logged.
	Critical servers Ensure that there is a deny rule for traffic destined to critical internal addresses from external sources. This rule is based on the organisational requirements, since some organisations may allow traffic via a web application to be routed via a DMZ.
	Personal firewalls Ensure that laptop users are given appropriate training regarding the threats, types of elements blocked by the firewall and guidelines for operation of the personal firewall. This element is essential, since often times personal firewalls rely on user prompt to respond to attacks e.g. whether to accept/deny a request from a specific address. Review the security settings of the personal firewall to ensure that it restricts access to specific ports, protects against known attacks, and that there is adequate logging and user alerts in the event of an intrusion. Ensure that there is a procedure to update the software for any new attacks that become known. Alternatively most tools provide the option of transferring automatic updates via the internet. In such instances ensure that updates are received from trusted sites.
	Distributed firewalls Ensure that the security policy is consistently distributed to all hosts especially when there are changes to the policy. Ensure that there are adequate controls to ensure the integrity of the policy during transfer, e.g. IPSec to encrypt the policy when in transfer. Ensure that there are adequate controls to authenticate the appropriate host. Again IPSec can be used for authentication with cryptographic certificates.
	Stealth Firewalls Ensure that default users and passwords are reset. Ensure that the firewall is appropriately configured to know which hosts are on which interface. Review the firewall access control lists to ensure that the appropriate traffic is routed to the appropriate segments. A stealth firewall does not have a presence on the network it is protecting and it makes it more difficult for the hacker to determine which firewall product is being used and their versions and to ascertain the topology of the network.
	Ensure that ACK bit monitoring is established to ensure that a remote system cannot initiate a TCP connection, but can only respond to packets sent to it.
	Continued availability of Firewalls Ensure that there is a hot standby for the primary firewall.