Auditing

1. Definition and Objectives of Database Auditing

• Definition:
  Database auditing is the systematic process of recording and reviewing activities performed on a database. It involves tracking changes, monitoring transactions, and recording access events to ensure accountability and transparency.

• Objectives:

  • Security: Identify unauthorized or anomalous activities that could indicate a breach or misuse.
  • Regulatory Compliance: Ensure that the database adheres to legal and regulatory frameworks by maintaining detailed logs.
  • Operational Monitoring: Track performance and transaction patterns to optimize database performance and diagnose issues.
  • Accountability: Create a trail of evidence for forensic analysis after a security incident.
  • Data Integrity: Validate that changes in the database occurred in a controlled and documented manner.

2. Tools and Techniques for Tracking and Logging Database Activity

• Native Database Audit Features:
  Most modern Database Management Systems (DBMSs) like Oracle, SQL Server, PostgreSQL, and MySQL come with built-in auditing capabilities. These tools allow you to:

  • Log read, write, and update operations.
  • Track changes to schema and user privileges.
  • Monitor login attempts and session details.

• Third-Party Tools:
  Tools such as IBM Guardium, Imperva SecureSphere, and McAfee Database Activity Monitoring can provide enhanced auditing features including:

  • Aggregated logs across multiple databases.
  • Real-time alerts and anomaly detection.
  • Compliance reporting and analysis.

• Techniques:

  • Synchronous vs. Asynchronous Logging: Choose between synchronous logging (immediate recording) or asynchronous logging (batch processing) based on performance considerations.
  • Granularity of Logs: Define what events are logged (e.g., DML, DDL, user logins, system errors) to balance between detailed auditing and resource consumption.
  • Centralized Logging and SIEM Integration: For large enterprises, integrating with a Security Information and Event Management (SIEM) system helps in correlating events from disparate sources.
  • Encryption and Secure Storage: Ensure audit logs are stored securely with proper encryption and access controls to prevent tampering.

3. Analyzing Audit Trails to Detect Suspicious Activities

• Regular Review Processes:
  Schedule routine reviews of logs to detect anomalies such as repeated failed login attempts, unusual IP addresses accessing the database, or unauthorized changes to sensitive tables.

• Automated Analysis:
  Utilize data analytics and machine learning tools to detect outliers and unusual patterns. For instance:

  • Setting thresholds for abnormal transaction volume.
  • Automated alerts when access patterns deviate significantly from the norm.

• Forensic Analysis:
  In case of a suspected breach, detailed audit logs form the backbone of forensic investigations. Techniques include:

  • Timeline reconstruction of events.
  • Identifying the source of anomalous transactions.
  • Correlating events across multiple systems for a comprehensive view.

Compliance Issues

1. Overview of Common Regulatory Standards

• General Data Protection Regulation (GDPR):

  • Scope: Applies to all companies handling personal data of EU residents.
  • Key Requirements:
    • Data protection by design and by default.
    • Right to access and the right to be forgotten.
    • Mandatory breach notification within 72 hours of detection.

• Health Insurance Portability and Accountability Act (HIPAA):

  • Scope: Protects sensitive patient health information.
  • Key Requirements:
    • Implementation of administrative, physical, and technical safeguards.
    • Audit controls to monitor access and ensure integrity.
    • Regular risk assessments and breach notifications.

• Sarbanes-Oxley Act (SOX):

  • Scope: Applies to financial reporting and controls in publicly traded companies.
  • Key Requirements:
    • Maintaining detailed records of financial transactions.
    • Internal controls and audit trails to prevent data manipulation.
    • Regular audits and certifications of data accuracy.

• Other Regulations:

  • PCI-DSS: For companies handling credit card data.
  • FISMA: For federal data security in government agencies.
  • Understanding the regulatory environment that applies to your organization is critical for establishing proper controls.

2. Best Practices and Technologies to Maintain Compliance

• Data Classification:
  Identify and classify data to ensure that sensitive information receives extra monitoring and protection.

• Regular Audits:
  Implement periodic internal and external audits to ensure continuous compliance with relevant laws and policies.

• Access Controls:
  Use role-based access control (RBAC) and multi-factor authentication (MFA) to ensure that only authorized users can access or modify sensitive data.

• Data Encryption:
  Encrypt data both at rest and in transit to minimize the risk of unauthorized access during a breach.

• Policy Management:
  Establish and update policies on data retention, usage, and security. Ensure that all employees and contractors are aware of these policies.

• Automated Compliance Tools:
  Leverage tools that automatically monitor compliance status and generate reports. This may include continuous monitoring solutions that immediately flag compliance drifts.

3. Reporting and Documentation Requirements

• Audit Reports:

  • Content: Should include details such as who accessed data, when, what operations were performed, and any anomalies detected.
  • Purpose: These reports are essential for internal reviews and external audits.

• Documentation:

  • Policy and Process Documentation: Clearly document auditing policies, procedures, and controls. This includes detailing how logs are collected, reviewed, and stored.
  • Incident Reports: Maintain comprehensive records of any incidents, including the steps taken for resolution.

• Compliance Documentation:

  • Regulatory Reporting: Maintain records that demonstrate compliance with laws such as GDPR, HIPAA, or SOX.
  • Access and Change Logs: Document all changes in user access, database schemas, and security configurations.

• Retention Guidelines:

  • Establish guidelines for how long audit records must be retained based on regulatory requirements. For example, SOX might require records to be kept for a minimum of seven years.

Summary

• Auditing and Compliance are essential for safeguarding databases against unauthorized access and for demonstrating adherence to regulatory standards.

• Database Auditing involves capturing detailed logs of data access, modification, and system events using both in-built tools and external solutions. It plays a critical role in identifying security incidents, operational issues, and ensuring the integrity of data.

• Regulatory Compliance requires a comprehensive understanding of laws such as GDPR, HIPAA, and SOX. Compliance involves not only protecting sensitive information but also maintaining detailed records to support audits and regulatory inquiries.

• Best Practices include implementing robust access controls, using encryption, leveraging compliance monitoring tools, and maintaining thorough documentation and audit trails.