Monday, March 8, 2021

Audit Trail

We do a much better job of designing our access controls than we do designing our audit trail.  We should start by identifying what an audit trail should do for us.  It should enable management to determine:

  • how every record or object (e.g. program, file, record) got to look the way it looks currently,
  • how every record or object looked at any given time in the past,
  • and enable us to fix accountability for every significant event or change to a single process or individual.  
The result should be reliable and resistant to fraudulent modification. 

This requires that, not only must there be logs and journals of every relevant event, but that they be related in such a way as to support each other.  There should be logs or journals on both sides of any interface where control passes from one process or person to another.  For example, an application should log every request that it makes of the database manager and of the result that it gets back.  The database manager should record every request that it receives and what response it returned. 

Logs and journals should be protected from late, or potentially fraudulent, modification.  Consider reconciliation of the results of the independent processes on both sides of the interface, "write-only" processes or storage, or blockchains.  The correction of errors should be memorialized by new correcting entries, never by changing earlier entries.  

Log and journal records should include the action taken, the user or process on whose behalf it was taken, the date and time, and a reference or sequence number to make the entry unique.  In order to be able to establish how any record looked in the past, the record of the current change to a record should include reference by time, date, and sequence number of the next most recent change.  

Finally, the logs or journals should include images of the object both before and after the change.  While in some cases it may be sufficient to keep only the after image, since the after image in the record of the previous change is the same as the before image, keeping both improves integrity and further resists fraudulent change.  

1 comment:

  1. One of the fundamental weaknesses of the logging/monitoring needed by audit procedures is the "monitoring" piece... many companies understand that logging is necessary for compliance, but fail to put sufficient processes or resources in place to actually look at the logs, comprehend anomalous behaviors and report. Instead they rely on ML software and automation to do that for them, which allows the "low and slow" attacks to bypass scrutiny.