Security Audit: Lafleur Trading Company - Essay Example

 Conducting audit Lafleur has a complicated network of information systems in place, with various remote offices and centralized IT functions. Therefore, to evaluate this complex system, detailed audit procedures were planned including manual as well as automated assessments.

Manual assessments mainly comprised interviewing procedures, performing physical checks and security scans, and reviewing the effectiveness of application and logical controls at different levels of the organization. We prepared system notes after developing a comprehensive understanding of the company’s business activities. Thereafter, we conducted meetings with IT personnel to identify weaker areas requiring more attention and discuss IT policies and procedures. An exhaustive review of the organogram was conducted to ensure proper segregation of duties was in place between employees holding influential or connected positions such as COO and CIO or programmer and end-user.

Automated assessments were computer-aided techniques whereby software was used to assess reporting and change management capabilities of the system. All operating systems, physical equipment, and applications were appraised for their technical specifications and development capabilities. Contingency and disaster recovery planning for each office was reviewed for effectiveness, physically inspecting for any alternate site and analyzing backup procedures for critical data. Physical security controls, including key cards and biometric devices to different offices, were checked for any loopholes allowing unauthorized access.

Moreover, environmental controls were also verified to be in place, regulating appropriate temperature and providing adequate fire-fighting equipment and uninterrupted power supply. Additional physical security checks were checked and recommendations were made accordingly, such as bodyguards, locks, single entry points, and surveillance systems. Due to remote offices and the presence of wireless networking, interception during the transmission of data was a crucial issue and was tested through procedures.

It was ensured that networks are accessible and available at all times to all offices since there is a centralized IT function. (http://www.aurco.com/images/security_audit.png) Recommendations Based on findings and observations noted during fieldwork, we made some voluntary and mandatory recommendations to improve information system controls. We recommended that encryption be adopted to avoid intrusion of sensitive data during transmission on wireless networks. Often malware limits the passage of traffic allowed on the network.

To combat this, we recommended that firewalls, intrusion detection systems, and antivirus applications must be installed promptly. We highlighted more focus on protecting information flowing on enterprise systems, mail servers, intranet networks, and host applications that are accessed by customers. Since this company relies heavily on wireless networks, we suggested that dual-control access keys must be designed, maintaining them on a system that is exclusively accessible to authorized personnel only (Saint-Germain, 2005).