Auditing ISO 27001 Annex A 8.18 Use of Privileged Utility Programs is the technical verification of software tools that can bypass system security. The Primary Implementation Requirement is restricted access and granular logging of executions, providing the Business Benefit of preventing unauthorised system modifications and preserving forensic integrity.
ISO 27001 Annex A 8.18 Use of Privileged Utility Programs Audit Checklist
This technical verification framework is designed for lead auditors to establish the restriction and monitoring of high-impact software tools. Use this checklist to validate compliance with ISO 27001 Annex A 8.18.
1. Privileged Utility Program Identification Verified
Verification Criteria: A definitive list of utility programs capable of overriding system and application security controls (e.g. packet sniffers, disk editors, registry tools) is documented and maintained.
Required Evidence: Software Inventory or Allow-list explicitly identifying “Privileged Utilities” and their business owners.
Pass/Fail Test: If the organisation cannot produce a list of authorised high-privilege utilities currently installed in the environment, mark as Non-Compliant.
2. Utility Program Access Authorisation Confirmed
Verification Criteria: Access to privileged utility programs is restricted to the minimum number of authorised users required for specific maintenance or security tasks.
Required Evidence: Identity and Access Management (IAM) role definitions or Group Policy Object (GPO) reports showing restricted execution rights.
Pass/Fail Test: If standard user accounts (non-admin) have the technical ability to execute system-level utility programs, mark as Non-Compliant.
3. Usage Justification and Timely Access Validated
Verification Criteria: The use of privileged utilities is granted on a “Just-in-Time” (JIT) basis or requires a formalised request linked to a specific change or maintenance window.
Required Evidence: Approved Change Request (CR) tickets or JIT elevation logs from a Privileged Access Management (PAM) tool.
Pass/Fail Test: If administrators have standing, unmonitored access to execute privileged utilities at all times without a recorded business reason, mark as Non-Compliant.
4. Utility Program Segregation from Production Verified
Verification Criteria: Privileged utility programs are removed from production systems or disabled when not actively required for a specific maintenance task.
Required Evidence: Server hardening build standards and physical confirmation of the absence of non-essential tools in production images.
Pass/Fail Test: If high-impact utilities (e.g. Wireshark or hex editors) are found pre-installed on standard production web or database servers, mark as Non-Compliant.
5. Independent Audit Logging of Utility Execution Confirmed
Verification Criteria: Every instance of a privileged utility program being executed is recorded in an immutable central log that is separate from the local system log.
Required Evidence: SIEM logs or Syslog exports showing “Process Execution” events specifically for identified privileged utilities.
Pass/Fail Test: If a privileged utility can be run without generating a tamper-proof audit trail in a central repository, mark as Non-Compliant.
6. Automated Execution Alerting Validated
Verification Criteria: The execution of high-risk privileged utilities triggers a real-time alert to the security team or SOC for immediate oversight.
Required Evidence: SIEM correlation rule configuration and corresponding alert history for “High-Risk Utility Execution.”
Pass/Fail Test: If a disk-level utility is executed on a production server and no security alert is generated for the SOC, mark as Non-Compliant.
7. Integrity of Utility Program Files Verified
Verification Criteria: Measures are in place to ensure that authorised utility programs have not been tampered with or replaced by malicious binaries (e.g. via hashing or signing).
Required Evidence: File Integrity Monitoring (FIM) logs or AppLocker “Publisher” rules verifying the digital signatures of the tools.
Pass/Fail Test: If the organisation cannot verify that the privileged utilities currently in use match the original manufacturer’s hash or signature, mark as Non-Compliant.
8. Utility Program Removal Records Identified
Verification Criteria: Decommissioned or unauthorised utility programs are formally removed from the environment and confirmed via technical scans.
Required Evidence: Vulnerability scan reports or software audit logs showing the successful removal of “shadow” or legacy utilities.
Pass/Fail Test: If a previously “banned” utility is detected during a scan and has not been remediated within the policy-defined SLA, mark as Non-Compliant.
9. Multi-Factor Authentication (MFA) for Execution Confirmed
Verification Criteria: Launching a privileged utility program requires a second factor of authentication or a “Four-Eyes” approval process for critical actions.
Required Evidence: PAM tool configuration showing MFA prompts or secondary approval workflows for executing high-privilege binaries.
Pass/Fail Test: If a compromised administrator account can execute a disk-wiping utility using only a password, mark as Non-Compliant.
10. Periodic Utility Access Review Recorded
Verification Criteria: Management performs a formal review of the users authorised to execute privileged utility programs at regular intervals (e.g. quarterly).
Required Evidence: Signed Access Review reports cross-referencing authorised users against current job roles and project requirements.
Pass/Fail Test: If the list of users authorised to use high-impact utilities has not been reviewed and re-approved in the last six months, mark as Non-Compliant.
| Control Requirement | The ‘Checkbox Compliance’ Trap | The Reality Check |
|---|---|---|
| Identification | Tool records “Policy.pdf” as evidence. | Verify the Binary. A policy is just words; the auditor must see the actual file path of authorised tools in the CMDB. |
| Execution Control | Platform identifies “Admins can run software.” | Verify Granularity. Can a ‘Helpdesk’ admin run a ‘Kernel Debugger’? GRC tools often miss over-privileged sub-roles. |
| Just-in-Time (JIT) | Tool identifies “PAM is active.” | Check the Standing Access. If the admin doesn’t actually have to ‘request’ the tool each time, the PAM is just a proxy, not a control. |
| Audit Logging | Tool confirms “Logging is On.” | Test Independence. Can the person using the utility also clear the log that records its use? If yes, the log is not evidence. |
| Integrity Checks | SaaS tool assumes binaries are safe. | Check the Hash. Real auditors demand proof of File Integrity Monitoring (FIM) for the System32 or bin directories. |
| Removal Control | Tool sets an “Annual Task” to check software. | Review Scan Results. GRC tasks are often ticked “Done” while high-risk tools like psexec remain active across the fleet. |
| Production Hygiene | Platform assumes “Standard Images” are secure. | Inspect the Live OS. Check for legacy tools (e.g. Telnet, FTP clients) that were left in the image by mistake. |
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