Audit of information systems provides relevant and accurate data on how IP works. Based on the data obtained, it is possible to plan activities to improve the efficiency of the enterprise. The practice of conducting an audit of an information system is in comparing the standard, the real situation. They study the norms, standards, regulations and practices applicable in other firms. When conducting an audit, an entrepreneur gets an idea of how his company differs from a normal successful company in a similar area.
General view
Information technology in the modern world is extremely developed. It is difficult to imagine an enterprise that does not have information systems in service:
- global;
- local.
It is through IP that a company can function normally and keep up with the times. Such methodologies are necessary for a quick and complete exchange of information with the environment, which allows the company to adapt to changes in infrastructure and market requirements. Information systems must satisfy a number of requirements that change over time (new developments, standards are introduced, updated algorithms are applied). In any case, information technology allows you to make access to resources quick, and this problem is solved through IP. In addition, modern systems:
- scalable
- flexible;
- reliable;
- safe.
The main tasks of the audit of information systems are to identify whether the implemented IP meets the specified parameters.
Audit: types
Very often used is the so-called process audit of the information system. Example: external experts analyze implemented systems for differences from standards, including studying the production process, the output of which is software.
An audit may be conducted aimed at identifying how correctly the information system is used in the work. The practice of the enterprise is compared with the standards of the manufacturer and well-known examples of international corporations.
An audit of an enterprise’s information security system affects organizational structure. The purpose of such an event is to find thin spots in the staff of the IT department and identify problems, as well as form recommendations for their solution.
Finally, the audit of the information security system is aimed at quality control. Then the invited experts evaluate the state of the processes within the enterprise, test the implemented information system and draw some conclusions on the information received. The commonly used model is TMMI.
Audit objectives
A strategic audit of the state of information systems allows you to identify weaknesses in the implemented IP and identify where the use of technology has been ineffective. At the output of such a process, the customer will have recommendations to eliminate the shortcomings.
An audit allows you to evaluate how expensive it will be to make changes to the current structure and how long it will take. Specialists studying the current information structure of the company will help you choose the tools to implement the improvement program, taking into account the characteristics of the company. Based on the results, you can also give an accurate assessment of how much resources the company needs.They will be analyzed intellectual, monetary, production.
activity
Internal audit of information systems includes the implementation of activities such as:
- IT inventory;
- identification of the load on information structures;
- assessment of statistics, data obtained during the inventory;
- determining whether the requirements of the business and the capabilities of the implemented IP are consistent;
- report generation;
- development of recommendations;
- formalization of the NSI fund.
Audit result
A strategic audit of the state of information systems is a procedure that: allows you to identify the reasons for the lack of effectiveness of the implemented information system; to predict the behavior of IP when adjusting information flows (number of users, data volume); provide informed solutions that help increase productivity (equipment acquisition, improvement of the implemented system, replacement); give recommendations aimed at improving the productivity of company departments, optimizing investments in technology. And also to develop measures that improve the quality level of service of information systems.
It is important!
There is no such universal IP that would suit any enterprise. There are two common bases on the basis of which you can create a unique system for the requirements of a particular enterprise:
- 1C.
- Oracle
But remember that this is only the basis, no more. All improvements to make a business effective, you need to program, taking into account the characteristics of a particular enterprise. Surely you will have to enter previously missing functions and disable those that are provided for by the basic assembly. Modern technology for auditing banking information systems helps to understand exactly what features an IP should have and what needs to be excluded so that the corporate system is optimal, efficient, but not too “heavy”.
Information Security Audit
An analysis to identify threats to information security can be of two types:
- external;
- interior.
The first involves a one-time procedure. Organized by its head of the company. It is recommended to regularly practice such a measure in order to keep the situation under control. A number of joint-stock companies and financial organizations have introduced a requirement for an external audit of IT security to be implemented.
Internal - these are regularly conducted activities regulated by the local regulatory act “Regulation on Internal Audit”. An annual plan is formed for the meeting (it is prepared by the department responsible for the audit), says the CEO, another manager. IT audit - several categories of events, security audit is not the last in importance.
Goals
The main objective of the audit of information systems in terms of security is to identify IP-related risks associated with security threats. In addition, events help identify:
- weaknesses of the current system;
- compliance of the system with information security standards;
- level of security at the current time.
When conducting a security audit, recommendations will be formulated that will improve current solutions and introduce new ones, thereby making the current IP safer and protected from various threats.
If an internal audit is conducted to identify threats to information security, then it is additionally considered:
- security policy, the ability to develop new, as well as other documents that protect data and simplify their application in the production process of the corporation;
- the formation of security tasks for employees of the IT department;
- analysis of situations involving violations;
- training users of the corporate system, maintenance personnel in general aspects of security
Internal Audit: Features
The listed tasks that are set for employees when conducting an internal audit of information systems, in essence, are not audits. Theoretically conducting events only as an expert evaluates the mechanisms by which the system is secure. The person involved in the task becomes an active participant in the process and loses independence, can no longer objectively assess the situation and control it.
On the other hand, in practice, in an internal audit it is almost impossible to stay away. The fact is that to carry out the work, a specialist of the company is involved, at other times engaged in other tasks in a similar field. This means that the auditor is the same employee who has the competence to solve the tasks mentioned above. Therefore, you have to compromise: to the detriment of objectivity, involve the employee in practice in order to get a worthy result.
Security Audit: Steps
These are in many ways similar to the steps of a general IT audit. Allocate:
- start of events;
- collecting a base for analysis;
- analysis;
- formation of conclusions;
- reporting.
Initiating a procedure
An audit of information systems in terms of security begins when the head of the company gives the go-ahead, since the bosses are those people who are most interested in an effective audit of the enterprise. An audit is not possible if management does not support the procedure.
Audit of information systems is usually complex. It involves the auditor and several individuals representing different departments of the company. The collaboration of all participants in the audit is important. When initiating an audit, it is important to pay attention to the following points:
- documenting duties, rights of the auditor;
- preparation, approval of the audit plan;
- documenting the fact that employees are obliged to provide all possible assistance to the auditor and provide all the data requested by him.
Already at the time of the initiation of the audit, it is important to establish the extent to which the audit of information systems is carried out. While some IP subsystems are critical and require special attention, others are not and are quite unimportant, therefore, their exclusion is allowed. Surely there will be such subsystems, the verification of which will be impossible, since all the information stored there is confidential.
Plan and borders
Before starting work, a list of resources is formed that is supposed to be checked. It can be:
- informational;
- software;
- technical.
They identify on which sites the audit is conducted, on which threats the system is checked. There are organizational boundaries of the event, security aspects that are mandatory for consideration during the audit. A priority rating is formed indicating the scope of the audit. Such boundaries, as well as the action plan, are approved by the General Director, but are preliminarily submitted by the topic of the general working meeting, where department heads, an auditor and company executives are present.
Data retrieval
When conducting a security audit, the standards for auditing information systems are such that the stage of collecting information is the longest and most laborious. As a rule, IP does not have documentation for it, and the auditor is forced to work closely with numerous colleagues.
In order for the conclusions made to be competent, the auditor should receive a maximum of data. The auditor learns about how the information system is organized, how it functions and in what condition it is from organizational, administrative, technical documentation, in the course of independent research and application of specialized software.
Documents required in the work of the auditor:
- organizational structure of departments serving IP;
- organizational structure of all users.
The auditor interviews employees, identifying:
- Provider
- data owner;
- user data.
To do this, you need to know:
- main types of IP applications;
- number, types of users;
- services provided to users.
If the company has documents on IP from the list below, it is necessary to provide them to the auditor:
- description of technical methodologies;
- Description of methods for automating functions;
- functional diagrams;
- working, project documents.
Identification of the structure of IP
For correct conclusions, the auditor should have the fullest understanding of the features of the information system implemented at the enterprise. You need to know what are the security mechanisms, how they are distributed in the system by levels. To do this, find out:
- the presence and features of the components of the system used;
- component functions;
- graphics;
- inputs
- interaction with various objects (external, internal) and protocols, channels for this;
- platforms applied to the system.
Benefits will bring schemes:
- structural;
- data streams.
Structures:
- technical facilities;
- BY;
- information support;
- structural components.
In practice, many of the documents are prepared directly during the audit. Information can be analyzed only when collecting the maximum amount of information.
IP Security Audit: Analysis
There are several techniques used to analyze the data obtained. The choice in favor of a specific one is based on the personal preferences of the auditor and the specifics of a particular task.
The most complex approach involves analyzing risks. For the information system, security requirements are formed. They are based on the features of a particular system and its environment, as well as the threats inherent in this environment. Analysts agree that this approach requires the greatest labor costs and the maximum qualification of the auditor. How good the result will be is determined by the methodology for analyzing the information and the applicability of the selected options to the type of IP.
A more practical option is to resort to security standards for data. These are a set of requirements. This is suitable for various IPs, since the methodology is developed on the basis of the largest companies from different countries.
From the standards it follows what are the security requirements, depending on the level of protection of the system and its affiliation to a particular institution. Much depends on the purpose of the IP. The main task of the auditor is to determine correctly which set of security requirements is relevant in a given case. Choose a technique by which they evaluate whether the existing system parameters comply with the standards. The technology is quite simple, reliable, and therefore widespread. With small investments, the result can be accurate conclusions.
Neglecting is unacceptable!
Practice shows that many managers, especially small firms, as well as those whose companies have been operating for a long time and do not seek to master all the latest technologies, are rather careless about the audit of information systems, as they simply do not realize the importance of this measure. Usually, only damage to the business provokes the authorities to take measures to verify, identify risks and protect the enterprise. Others are faced with the fact that they steal customer data, others leak from the databases of counterparties or leave information about the key advantages of a certain entity. Consumers no longer trust the company as soon as the case is made public, and the company suffers more damage than just data loss.
If there is a chance of information leakage, it is impossible to build an effective business that has good opportunities now and in the future. Any company has data that is valuable to third parties, and they need to be protected. For protection to be at the highest level, an audit is required to identify weaknesses. It must take into account international standards, methodologies, the latest developments.
At the audit:
- evaluate the level of protection;
- analyze applied technologies;
- adjust security documents;
- simulate risk situations in which data leakage is possible;
- recommend the implementation of solutions to eliminate vulnerabilities.
Conduct these events in one of three ways:
- active;
- expert;
- revealing compliance with standards.
Audit forms
Active audit involves evaluating the system that a potential hacker is looking at. It is his point of view that auditors “try on” themselves - they study network protection, for which they use specialized software and unique techniques. An internal audit is also required, also conducted from the point of view of the alleged offender who wants to steal data or disrupt the system.
An expert audit checks whether the implemented system is ideal. When identifying compliance with standards, an abstract description of the standards with which the existing object is compared is taken as the basis.
Conclusion
Correctly and qualitatively conducted audit allows you to get the following results:
- minimizing the likelihood of a successful hacker attack, damage from it;
- the exception of an attack based on a change in system architecture and information flows;
- insurance as a means of reducing risks;
- minimization of risk to a level where one can be completely ignored.
