Unit 7 : Audits

Unit 7 : Audits

1. Check of accounts

2. Efficiency Check

3. Types of Audit

   • Internal Audit
   • External Audit
     • Independence and Integrity is key
     • Independence is a regulatory requirement in some cases
   • Security Audit

4. Role within security framework

   • Physical
     • Preventative : Locks & Keys, Biometric Sensors, Fire extinguisher, backup power
     • Detective : Alarms & Sensors, Smoke and fire detect, motion detectors
   • Technical
     • Preventative : Firewalls, Antiviruses, Encryption, Access Control
     • Detective : Pen Testing, Audit trails, Auto configs, Intrusion detect
   • Administrative
     • Preventative : Training , Process awareness, security awareness, Disaster recovery
     • Detective : Security audit, Security Review, Incident investigations, performance eval

5. Security Reviews

   • Business Process Reviews
     • 1: Completeness, accuracy and validity of transactions 2: Restricted access to assets and records
   • IT Process Reviews
     • 1: Change control over existing environments 2: Development / implementation of new systems 3: Security and operations over environment

6. Penetration Testing

   • Businesses are increasingly dependent on IT
   • Increased system vulnerabiilties
   • Pen testers need to have high integrity, tech skills
   • Maintain confidentiality of reports

7. Security audit and review

   • Compare against standards, other companies and other divisions
   • Test whether procedures are followed
   • Report findings to the management
   • Benchmarking and baselining

8. Incident Investigation

   • How to respond?????
     • 1: Put your strategy in place 2: Why are you investigating?  3: Who is investigating?  4: Who needs to know?  5: Whats the end-point
   • Evidence handling
     • 1: Audit trails, system logs, phone records, emails & backups 2: Evidence handling and security procedures are essential 3: usually work off a copy rather than the evidence itself
   • Investigating and analysing