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10-Plan-a-Security-Audit.md

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Plan a Security Audit

Introduction

  • Objective: Understand how frameworks, controls, principles, and compliance regulations work together through security audits.
  • Key Concept: Security audits review an organization's controls, policies, and procedures against established standards and expectations.

Types of Security Audits

1. External Security Audits

  • Performed by: Third-party entities.
  • Purpose: Provide an unbiased evaluation of an organization's security posture.
  • Scope: Often comprehensive, covering a wide range of security areas.

2. Internal Security Audits

  • Performed by: Internal teams, including compliance officers, security managers, and security staff.
  • Focus: Improve security posture, ensure compliance, and prevent regulatory fines.
  • Relevance: Entry-level analysts are typically involved in internal audits.

Purpose of Internal Security Audits

  • Objectives:
    • Enhance the organization's security posture.
    • Help avoid fines from regulatory bodies.
    • Identify and mitigate organizational risks.
    • Assess controls and ensure compliance with security standards.

Common Elements of Internal Security Audits

1. Establishing the Scope and Goals

  • Scope: Defines the criteria and areas of the audit.
    • Components: Identify people, assets, policies, procedures, and technologies affecting security posture.
  • Goals: Outline specific security objectives to improve the organization's security posture.
    • Example Scope Elements:
      • Assessing user permissions.
      • Identifying existing controls, policies, and procedures.
      • Accounting for current technology usage.
    • Example Goals:
      • Implementing core functions of frameworks like the NIST CSF.
      • Establishing policies and procedures for compliance.
      • Strengthening system controls.

2. Conducting a Risk Assessment

  • Purpose: Identify potential threats, risks, and vulnerabilities.
  • Focus: Determine necessary security measures to protect assets.
  • Process:
    • Review and analyze existing controls and processes.
    • Assess the adequacy of security measures for protecting assets.
  • Example Risk Assessment Findings:
    • Inadequate controls, processes, and procedures for asset protection.
    • Lack of proper management of physical and digital assets, including employee equipment.
    • Insufficient security for equipment storing data.
    • Weak controls over access to sensitive information on the internal network.

Next Steps in the Audit Process

  • Elements Covered:
    • Establishing scope and goals.
    • Conducting a risk assessment.
  • Upcoming Elements:
    • Completing a controls assessment.
    • Assessing compliance.
    • Communicating results to stakeholders.

Conclusion

  • Importance of Understanding Audit Elements:
    • Helps entry-level analysts contribute effectively.
    • Ensures alignment with security frameworks and compliance requirements.