CHAPTER 4 Security Part II: Auditing Database Systems shared by all organizational users.

With access
to the full domain of entity data, changes in
The term database is used in a broad context to user information needs can be satisfied without
include two general approaches: the flat-file model and obtaining additional private data sets.
the database model

DATA MANAGEMENT APPROACHES KEY ELEMENTS OF THE DATABASE

ENVIRONMENT
Flat-File Approach - Flat files are data files that contain ❖ Database Management System
records with no structured relationships to other files. ● Program development - to create applications
The flat-file approach is most often associated with to access the database.
so-called legacy systems. ● Backup and recovery - DBMS can recover to an
earlier version that is known to be correct
The flat-file environment promotes a single-user view
● Database usage reporting - captures statistics
approach to data management whereby end users own
on what data are being used, when they are
their data files rather than share them with other users
used, and who uses them
Data redundancy - replication of essentially the same ● Database access - The most important feature
data in multiple files. It contributes to three significant of a DBMS is to permit authorized user access,
problems in the flat-file environment: data storage, data both formal and informal, to the database
updating, and currency of information
Data definition language (DDL) is a
Task-data dependency - user’s inability to obtain programming language used to define the
additional information as his or her needs change database to the DBMS. The DDL identifies the
names and the relationship of all data elements,
Database Approach - This approach centralizes the
records, and files that constitute the database.
organization’s data into a common database that is
This definition has three levels, called views: the
shared by other users. With the enterprise’s data in a
physical internal view, the conceptual view
central location, all users have access to the data they
(schema), and the user view (subschema).
need to achieve their respective objectives. Through
data sharing, the traditional problems associated with
Database Views
the flat-file approach may be overcome.
Internal View/Physical View. This is the lowest
● Elimination of Data Storage Problem - Each level of representation, which is one step
data element is stored only once, thereby removed from the physical database. This
eliminating data redundancy and reducing data internal view describes the structures of data
collection and storage costs records, the linkages between files, and the
● Elimination of Data Update Problem - Because physical arrangement and sequence of records
each data element exists in only one place, it in a file. There is only one internal view for the
requires only a single update procedure. This database.
reduces the time and cost of keeping the Database Views Internal View/Physical View.
database current. The physical arrangement of records in the
● Elimination of Currency Problem - A single database is presented through the internal view.
change to a database attribute is automatically This is the lowest level of representation, which
made available to all users of the attribute is one step removed from the physical database.
● Elimination of Task-Data Dependency Problem This internal view describes the structures of
- The most striking difference between the data records, the linkages between files, and the
database model and the flat-file model is the physical arrangement and sequence of records
pooling of data into a common database that is
 in a file. There is only one internal view or the secondary storage device, this may be either
database. sequential or random.
External View/User View (Subschema). The Data Access Methods - is the technique used to
subschema or user view, defines the user’s locate records and to navigate through the
section of the database—the portion that an database.
individual user is authorized to access Data Attribute/Field - is a single item of data,
such as customer’s name, account balance, or
address.
❖ Users
Entity - is a database representation of an
Data manipulation Language (DML) is the individual resource, event, or agent about which
proprietary programming language that a we choose to collect data.
particular DBMS uses to retrieve, process, and Record Type (Table or File) - When we group
store data. Entire user programs may be written together the data attributes that logically define
in the DML or, alternatively, selected DML an entity, they form a record type.
commands can be inserted into programs that Navigational Databases - The hierarchical data
are written in universal languages, such as JAVA, model is called a navigational database because
C++, and even older languages such as COBOL traversing the files requires following a
and FORTRAN. predefined path.
The Network Model - Like the hierarchical
A query is an ad hoc access methodology for model, the network model is a navigational
extracting information from a database. Users database with explicit linkages between records
can access data via direct query, which requires and files. The distinction is that the network
no formal user programs using the DBMS’s model permits a child record to have multiple
built-in query facility. parents.
The Relational Model - The relational model
IBM’s Structured Query Language (SQL) - portrays data in the form of two-dimensional
(often pronounced sequel or S-Q-L), has tables
emerged as the standard query language for Partitioned database approach - splits the
both mainframe and microcomputer DBMSs. central database into segments or partitions
SQL is a fourth-generation, nonprocedural that are distributed to their primary user.
language (English-like commands) with many Deadlock - is a permanent condition that must
commands that allow users to input, retrieve, be resolved by special software that analyzes
and modify data easily. each deadlock condition to determine the best
solution, can result in transactions being
Database administrator (DBA) - is responsible incompletely processed and the database being
for managing the database resource. The corrupted.
sharing of a common database by multiple users Resolving a deadlock - usually involves
requires organization, coordination, rules, and terminating one or more transactions to
guidelines to protect the integrity of the complete processing of the other transactions in
database. the deadlock.
Replicated databases - are effective in
Data structures - are the bricks and mortar of companies where there exists a high degree of
the database. data sharing but no primary user.
Database concurrency - is the presence of
Data Organization - of a file refers to the way complete and accurate data at all user sites.
records are physically arranged on the
 Transaction log feature provides an audit trail
CONTROLLING AND AUDITING DATA of all processed transactions.
MANAGEMENT SYSTEMS Checkpoint facility suspends all data processing
Access controls are designed to prevent while the system reconciles the transaction log
unauthorized individuals from viewing, and the database change log against the
retrieving, corrupting, or destroying the entity’s database.
data. Recovery module uses the logs and backup files
Backup controls ensure that in the event of data to restart the system after a failure.
loss due to unauthorized access, equipment
failure, or physical disaster the organization can
recover its database.
The user view or subschema is a subset of the
total database that defines the user’s data
domain and provides access to the database
Data base authorization table contains rules
that limit the actions a user can take
User-defined procedure allows the user to
create a personal security program or routine to
provide more positive user identification than a
single password

Audit Procedures for Testing Database Access

Controls
● Responsibility for Authority Tables and
Subschemas.
● Appropriate Access Authority
● Biometric Controls.
● Inference Controls.
● Encryption Controls.
● Backup Controls

Audit Procedures for Testing Flat-File Backup

Controls
● Sequential File (GPC) Backup - select a sample
of systems and determine from the system
documentation that the number of GPC backup
files specified for each system is adequate.
● Backup Transaction Files - verify through
physical observation that transaction files used
to reconstruct the master files are also retained
● Direct Access File Backup - should select a
sample of applications and identify the direct
access files being updated in each system
● Off-Site Storage - verify the existence and
adequacy of off-site storage.