Technology Focus: Useful Shortcuts for Lengthy Audits

Compliance / Privacy
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Tools for auditing security events and certifying compliance with regulations and standards have become part of the IT landscape—and a way to save money.


After several notorious accounting scandals around the turn of the millennium, the U.S. Congress passed laws designed to force enterprises to do what common sense should have already dictated: keep a better watch over sensitive corporate data. Ever since, IT departments everywhere have had to endure periodic minor invasions of auditors looking into how systems and data are protected, as well as looking into the age-old question of the accuracy of the accounts.


Parallel to those legal requirements is the issue of maintaining professional standards. International standards bodies and industry standards organizations have also made significant statements of expectations over the past two decades that, while not having the force of law, still represent important mandates enterprises must follow to do business.

Pertinent Requirements and Standards

Today's IT climate requires attention to five legal and four business standards, depending on the industries in which an enterprise is engaged, quickly summarized as follows.


  • The U.S. Code of Federal Regulations 21 CFR Part 11 enables the U.S. Food and Drug Administration (FDA) to set guidelines on data controls and auditing of electronic records and electronic signatures for enterprises operating in FDA-regulated industries.
  • The Health Insurance Portability and Accountability Act of 1996 (HIPAA) establishes legal standards in the U.S. for electronic healthcare transactions and national identifiers for providers, health plans, and employers.
  • The Massachusetts Law 201 CMR 17.00 is a statute protecting the privacy of personal information (e.g., name, address, social security and credit-card numbers) stored in computer systems, for which any company doing business in that state must have a written policy for securing that information.
  • The Gramm-Leach-Bliley Act of 1999 (GLBA) requires protection of financial information from foreseeable data-security threats, mandates programs to test corporate information security, and expects companies to analyze their security risks.
  • The Sarbanes-Oxley Act of 2002 (SOX), among other provisions, establishes standards for external auditing of financial reports. Australia's CLERP 9, Canada's Bill 198, and Japan's J-SOX set similar regulations for companies doing business in those respective countries.
  • Basel II is a set of recommendations for banking regulatory laws issued by the Basel Committee on Banking Supervision, an international body formed by a consortium of large-economy nations that includes the United States. Countries around the world may implement these standards as regulations according to their own timetables, but most are expected to adopt nearly all Basel II recommendations eventually.
  • The Control Objectives for Information and related Technology (COBIT) are best-practices recommendations originated in 1996 by the Information Systems Audit and Control Association and the IT Governance Institute, for use and control of information technology in corporate enterprises.
  • The International Organization for Standards' ISO/IEC 27002 (formerly ISO 17799) prescribes standards for corporate risk assessment, data confidentiality, data-processing system access control, and business continuity, although these don't have the force of law. These were modeled on a U.K. government recommendation known as British Standard 7799 (BS 7799).
  • The Payment Card Industry Data Security Standards (PCI DSS) are financial-data security requirements rules set by the PCI Security Standards Council. These rules affect all companies that rely on any financial transactions using credit cards, debit cards, prepaid cards, ATMs, and similar instruments.

Turning Requirements into Opportunities

The upshot is that to fulfill these legal obligations, IT departments have had to figure out how best to meet them without devoting an inordinate amount of time to providing auditors with the information necessary to prove an enterprise's compliance. Because of the complexity and number of pertinent transactions, and the need to facilitate inspection by auditors whose technical computer expertise varies widely, automation of the auditing and compliance verification process is proving critical. Unless your enterprise is quite small, manual procedures to meet these needs are inadequate.


But the need to track and verify who has had what access to your systems and data is also an opportunity. Software applications that handle auditing and compliance tasks can save time and money over any manual processes and encourage keeping a better eye on system activities by simplifying the safeguarding processes. Instead of just hoping no one's gaining unauthorized access to sensitive corporate data, but not knowing because the research is too time-consuming or technical, auditing and compliance tools make such information available for managers and executives in a few simple steps.


Software vendors have been quick to meet this need, and the System i market is no exception. There are two dozen products for the platform that can help your enterprise meet its legal and business requirements. Most focus on systems holistically, helping standardize and clarify access to all system objects, and others focus more narrowly on the aspect of securing sensitive data. But all are useful and are summarized below.


It's important to understand that auditing and compliance applications are just a subset of the wider market of security tools. The products surveyed here, with a few exceptions, don't handle such system security aspects as user authorization and authentication, file encryption, or the securing of data transmission across a network. Also, the solutions below are only those that work under i5/OS, though a few support other operating systems that can run on the System i.


Please note that the brief summaries here don't cover all the features each software product provides. You should consult the links provided for each product and contact the associated vendors for a more complete idea of what each product's capabilities include.


And as always when looking for products or services, be sure to check the MC Press Online Buyer's Guide.

Auditing and Compliance Tools for System i


Dynamic Systems Solutions

Auditron400 tracks field-level data modifications on System i and helps users manage and control system security. It also provides reports and enables inquiries about changes to system values and configurations, user profiles, user authorities, and other security settings.




AZ Scan is a PC-based application that can audit and evaluate security on System i machines running i5/OS or Linux/UNIX, as well as Oracle databases. The product runs 53 security tests for i5/OS, generates reports that nontechnical auditors can read, highlights problems, and helps assure compliance with regulations and industry standards.


Bsafe Enterprise Security for IBM i

Bsafe Policy Compliance Manager

Bsafe Security Assessment

Bsafe Software Solutions

Bsafe Enterprise Security for IBM i offers application access control, user-profile management, object-authorization management, external-port access restrictions, and session-timeout and inactive-user controls. It also includes a template-based policy compliance manager, a SOX compliance kit, and auditing tools for file and application access, system journaling activities, and database changes.


Bsafe Policy Compliance Manager is a template-driven tool that helps security personnel build, document, and maintain a corporate security policy. Once a policy is in place, the product also helps users verify compliance, generate reports, and uncover elements of system security not already handled by the policy. Policy Compliance Manager also produces outputs that are friendly to outside auditors and other nontechnical readers.


Bsafe Security Assessment is an application that tests system security with realtime security penetration attacks, summarizes current security policies in effect, and highlights deviations from recommended policy settings.


Califon Systems Audit Module

Califon Systems

Califon Systems' Audit Module logs all changes to databases and system objects and lets administrators audit users, systems, and objects. It also enables analysis of audit logs.


Compliance Monitor

PowerTech Group

Compliance Monitor enables audit reporting and inspection of security policy compliance with SOX, PCI, and other regulations and standards. The product provides a single console view with a GUI, multiple reporting options, the ability to see all security events within the security audit journal (QAUDJRN), audit-data compression, and the ability to schedule assessments around production jobs.


Cosyn Audit Trail/400

Cosyn Software

Cosyn Audit Trail/400 tracks changes made to database files on System i machines without requiring the overhead of turning on journaling. The product uses triggers instead and outputs results to physical files that users can query or use to create their own reports.




DataThread tracks changes to databases without requiring program changes to existing applications, notifies appropriate personnel of changes, helps centralize and automate monitoring and exception reporting for data access, and meets compliance requirements for all domestic and international regulations that require monitoring of System i data access and user activity.



KST Software

DataTrigger is a security auditing tool for System i databases based on data-trigger technology. It automatically logs data events (e.g., read, insert, change, delete), checks for unauthorized viewing or changes, and generates alerts if it detects unauthorized activity. It logs all data transactions to a data repository and blocks data actions from being carried out by unauthorized users.


DetectIT Security Manager Suite

Safestone Technologies

DetectIT Security Manager Suite is an integrated group of security products for System i. It includes Compliance Center for i, a query-based reporting solution that automates the data collection and conversion into reports of audit, compliance, and security events. Other major modules help administrators manage and audit users who have powerful user profiles, identify policy discrepancies against major regulations and business standards, provide self-help for end-user password changes, detect intrusions, administer two-factor user authorization and authentication, and manage exit points and other network traffic vulnerabilities.


GFM Security Evaluator

GFM Consulting

GFM Security Evaluator provides an application that can evaluate the data-security environment of a System i without requiring use of a security officer (SECOFR) profile. The product analyzes user profiles and authorities, critical-command use, object descriptions, system values, and other information.



Raz-Lee Security

iSecurity is a suite of 16 products designed to help with all facets of System i security concerns. Suite members identify security breaches, provide antivirus protection, analyze security policy, document Audit Journal (QAUDJRN) file activity, control user authorities, monitor suspicious user activities, help administer multiple System i machines, automate checks of compliance with policies and standards, provide firewalls, check password strength, mask sensitive files and fields, and address requirements for meeting regulations and standards.


NetIQ Secure Configuration Manager

NetIQ Security Manager


NetIQ Secure Configuration Manager is a system-security configuration assessment and compliance-monitoring tool that helps administrators compare system security settings against regulatory and best-practice requirements. It provides reporting capabilities to satisfy legal and industry standards requirements, operates using customizable policy templates, identifies flaws, and presents data via a dashboard-style interface.


NetIQ Security Manager provides realtime monitoring of

system changes and user activity, detection of threats and

intrusions, security event management and correlation, log

management, and incident-response automation. It consolidates and logs event information from across a network (including multiplatform networks), helps satisfy legal log-retention requirements, facilitates data mining of logged data, and provides realtime alerts of violations and problems.




QJRN/400 is an application that monitors System i machines for compliance with major regulations and standards (e.g., SOX, HIPAA, Basel II, PCI). It reports on changes to system values, user profiles and authorities, network attributes, and database authorization files. It also identifies interventions on sensitive fields and modifications to corporate applications made by other software.


QMessage Monitor


QMessage Monitor is an application and job-monitoring solution for System i. It filters all system messaging activities, providing a check on use of FTP and QSECOFR authority, system-value and user-profile changes, and invalid password attempts. It includes features for compliance with SOX and PCI requirements by monitoring the QAUDJRN constantly and sends alerts of administrator-defined security breaches to appropriate personnel.


S3 Control PCI Pro

S3 Control Enterprise Edition for Data Centers

Solidcore Systems

S3 Control PCI Pro is a file-integrity monitoring application for retailers using servers that run i5/OS, Linux, UNIX, or Windows. The product captures realtime transaction data, such as server name, file name, and the time, type, and content of any changes made. The solution helps users meet integrity monitoring and audit-trail requirements specified in PCI DSS sections 10 and 11.


S3 Control Enterprise Edition for Data Centers includes the functionality of Control PCI Pro, but adds database monitoring (e.g., DB2, Oracle, SQL Server) file audits, assessment of system configurations for servers, and enforcement of change policies. It also generates 40 reports in six compliance-auditing categories.


SecureSphere Data Security Suite


SecureSphere Data Security Suite is an application and database security and auditing package. Among other features, it provides a database firewall with activity monitoring, alerts, and sensitive data access-protection. The solution's auditing features help nontechnical auditors analyze and view database activity, as well as access standard and customizable reports on security-related user activities. The product recently added DB2 monitoring for System i.


SkyView Policy Minder for IBM i

SkyView Partners

SkyView Policy Minder for IBM i automates security compliance activities by checking a variety of security settings (e.g., user profiles, libraries, objects, directories, authorization lists), documenting security policies with template-based and customized settings, generating reports about multiple aspects of security policy, and simplifying application of repairs to system parameters that are out of line with established security policy.


Standguard Security


Standguard Security monitors exit points and the QAUDJRN,  monitors and manages system access, defines user access permissions, alerts administrators to changes in system values and profile changes, audits business asset libraries, checks system authority settings, and provides numerous reports and audit trails to enable compliance with standards, best practices, and regulations.


Tango/04 Data Monitor for iSeries

VISUAL Security Suite

Tango/04 Computing Group

Tango/04 Data Monitor audits read, insert, update, and delete transactions performed on specific records and fields in DB2/UDB databases. It provides audit trails of all activity to satisfy U.S. and European regulations and can produce reports in a variety of file formats.


VISUAL Security Suite (VSS) lets administrators audit activities of thousands of users, all Windows servers, more than 40 System i program exit points, multiple server and device security logs, system events and settings, and changes in user authorities. It stores auditing data in a Web-based data warehouse from which users can generate reports and business-impact analyses.




John Ghrist

John Ghrist has been a journalist, programmer, and systems manager in the computer industry since 1982. He has covered the market for IBM i servers and their predecessor platforms for more than a quarter century and has attended more than 25 COMMON conferences. A former editor-in-chief with Defense Computing and a senior editor with SystemiNEWS, John has written and edited hundreds of articles and blogs for more than a dozen print and electronic publications. You can reach him at



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