1. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Database Auditing (Ch. 7) Overview of Auditing Overview of Database Auditing

2. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Overview Audit examines: documentation that reflects actions/practices, AND Audit measures: compliance to policies/procedures/processes and laws

3. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Definitions Audit/auditing: process of examining/validating documents, data, processes, procedures, systems Audit log: contains all activities that are being audited ordered in a chronological manner Audit objectives: validate compliance to business rules, system controls, government regulations, or security policies Auditor: person authorized to audit Audit procedure: set of instructions for the auditing process Audit report: document that contains the audit findings Audit trail: chronological record of document changes, data changes, system activities, or operational events

4. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Definitions (continued) Data audit: chronological record of data changes stored in log file or database table object Database auditing: chronological record of database activities Internal auditing: examination of activities conducted by staff members of the audited organization External auditing

5. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Activities Evaluate the effectiveness and adequacy of the audited entity Ascertain and review the reliability and integrity of the audited entity Ensure the organization complies with policies, procedures, regulations, laws, and standards of the government and the industry Establish plans, policies, and procedures for conducting audits Keep abreast of all changes to audited entity Keep abreast of updates and new audit regulations Provide all audit details to all company employees involved in the audit Publish audit guidelines and procedures Act as liaison between the company and the external audit team

6. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Activities (cont.) Act as a consultant to architects, developers, and business analysts Organize and conduct internal audits Ensure all contractual items are met by the organization being audited Identify the audit types that will be used Identify security issues that must be addressed Provide consultation to the Legal Department

7. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Environment Auditing examples: –Financial auditing –Security auditing Audit also measures compliance with government regulations and laws Audits take place in an environment: –Auditing environment –Database auditing environment

8. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Environment (continued) Components: –Objectives: an audit without a set of objectives is useless –Procedures: step-by-step instructions and tasks –People: auditor, employees, managers –Audited entities: people, documents, processes, systems

9. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Environment (cont.)

10. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Environment (cont.)

11. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Environment (cont.) Database auditing environment differs slightly from generic auditing environment Security measures are inseparable from auditing

12. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing QA versus Auditing Quality Assurance (QA): –Ensure system is bug free and functioning according to its specifications –Ensure product is not defective as it is being produced Auditing process: ensures that the system is working and complies with the policies, regulations and laws

13. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Process (continued) Performance monitoring: observes if there is degradation in performance at various operation times Auditing process flow: –System development life cycle –Auditing process: Understand the objectives Review, verify, and validate the system Document the results

14. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Process (continued)

15. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Process (continued)

16. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Objectives Top ten database auditing objectives: –Data integrity –Application users and roles –Data confidentiality –Access control –Data changes –Data structure changes –Database or application availability –Change control –Physical access –Auditing reports

17. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Classifications and Types Industry and business sectors use different classifications of audits Each classification can differ from business to business Audit classifications: also called types/purposes

18. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Audit Classifications Internal audit: –Conducted by a staff member of the company being audited –Purpose: Verify that all auditing objectives are met Investigate a situation prompted by an internal event or incident Investigate a situation prompted by an external request

19. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Audit Classifications External audit: –Conducted by a party outside the company that is being audited –Purpose: Investigate the financial or operational state of the company Verify that all auditing objectives are met Example: Price Waterhouse Coopers, Arthur Andersen

20. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Audit Classifications (cont.) Automatic audit: –Prompted and performed automatically (without human intervention) –Used mainly for systems and database systems –Administrators read and interpret reports; inference engine or artificial intelligence Manual audit: performed completely by humans Hybrid audit

21. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Audit Types Financial audit: ensures that all financial transactions are accounted for and comply with the law Security audit: evaluates if the system is as secure Compliance audit: system complies with industry standards, government regulations, or partner and client policies Operational audit: verifies if an operation is working according to the policies of the company Investigative audit: performed in response to an event, request, threat, or incident to verify integrity of the system Product audit: performed to ensure that the product complies with industry standards

22. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Benefits of Auditing Benefits: –Enforces company policies and government regulations and laws –Lowers the incidence of security violations –Identifies security gaps and vulnerabilities –Provides an audit trail of activities –Provides means to observe and evaluate operations of the audited entity –Provides a sense of security and confidence –Identifies or removes doubts –Makes the organization more accountable –Develops controls that can be used for purposes other than auditing

23. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Side Effects of Auditing Side effects: –Performance problems –Too many reports and documents –Disruption to the operations of the audited entity –Consumption of resources, and added costs from downtime –Friction between operators and auditor –Same from a database perspective

24. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Models Can be implemented with built-in features or your own mechanism Information recorded: –State of the object before the action was taken –Description of the action that was performed –Name of the user who performed the action

25. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Models (continued)

26. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Simple Auditing Model 1 Easy to understand and develop Registers audited entities in the audit model repository Chronologically tracks activities performed Entities: user, table, or column Activities: DML transaction or logon and off times

27. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Simple Auditing Model 1(cont.)

28. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Simple Auditing Model 1 (cont.) Control columns: –Placeholder for data inserted automatically when a record is created or updated (date and time record was created and updated) –Can be distinguished with a CTL prefix

29. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Simple Auditing Model 1 (cont.) Difference between backup & archive ?

30. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Backup, Archive explained backup - short-term insurance policy to help in disaster recovery, High media capacity High-performance read/write streaming Low storage cost per GB archive – for ongoing rapid access to decades of business information. Data authenticity Extended media longevity High-performance random read access Low total cost of ownership

31. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Simple Auditing Model 2 Only stores the column value changes There is a purging and archiving mechanism; reduces the amount of data stored Does not register an action that was performed on the data Ideal for auditing a column or two of a table

32. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Simple Auditing Model 2 (cont.)

33. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Advanced Auditing Model Called “advanced” because of its flexibility Repository is more complex Registers all entities: fine grained auditing level Can handle users, actions, tables, columns

34. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Advanced Auditing Model (cont.)

35. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Advanced Auditing Model (cont.)

36. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Historical Data Model Used when a record of the whole row is required Typically used in most financial applications

37. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Historical Data Model (cont.)

38. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Auditing Applications Actions Model

39. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing C2 Security Given to Microsoft SQL Server 2000 Utilizes DACLs (discretionary access control lists) for security and audit activities Requirements: –Server must be configured as a C2 system –Windows Integrated Authentication is supported –SQL native security is not supported –Only transactional replication is supported

40. CSIS 43100 Database Security, Dr. Guimaraes Adapted from Afyouni, Database Security and Auditing Summary Audit examines, verifies and validates documents, procedures, processes Auditing environment consists of objectives, procedures, people, and audited entities Audit makes sure that the system is working and complies with the policies, standards, regulations, and laws Auditing objectives established during development phase Objectives: compliance, informing, planning, and executing Classifications: internal, external, automatic, manual, hybrid Models: Simple Auditing 1, Simple Auditing 2, Advanced Auditing, Historical Data, Auditing Applications, C2 Security