Course Syllabus
Course Description Prepares for information systems planning and
audits with security as the focus. Students learn how to perform
planning to secure information systems deployments and conduct
audits on existing information systems to discover potential
weakness and opportunities.
Course Textbook(s) vLab Solutions. (2015). Laboratory manual
to accompany auditing IT infrastructures for compliance (Version
2.0). Burlington, MA: Jones & Bartlett Learning. Weiss, M. M.,
& Solomon, M. G. (2016). Auditing IT infrastructures for
compliance (2nd ed.). Burlington, MA: Jones & Bartlett
Learning.
Course Learning Outcomes Upon completion of this course,
students should be able to: 1. Examine procedural issues for
securing infrastructure. 2. Create documentation for planning
security procedures. 3. Develop an information systems security
auditing plan. 4. Summarize corrective measures and recommendations
for audit findings.
Prerequisite(s) No prerequisite courses are required by CSU
for enrollment in this course.
Credits Upon completion of this course, the students will
earn 3 hours of college credit.
Course Structure 1. Study Guide: Course units contain a Study
Guide that provides students with the learning outcomes, unit
lesson, required reading assignments, and supplemental resources.
2. Learning Outcomes: Each unit contains Learning Outcomes that
specify the measurable skills and knowledge students should gain
upon completion of the unit. 3. Unit Lesson: Unit Lessons, which
are located in the Study Guide, discuss lesson material. 4. Reading
Assignments: Units contain Reading Assignments from one or more
chapters from the textbook and/or outside resources. 5. Suggested
Reading: Suggested Readings are listed within the Study Guide.
Students are encouraged to read the resources listed if the
opportunity arises, but they will not be tested on their knowledge
of the Suggested Readings. 6. Learning Activities (Non-Graded):
Non-Graded Learning Activities are provided to aid students in
their course of study. 7. Journals: Students are required to submit
Journals in Units I-VIII. Journals provide students the opportunity
to reflect critically on course concepts and ideas. Specific
information about accessing the Journal rubric is provided below.
8. Unit Assessments: This course contains Unit Assessments, which
test student knowledge on important aspects of the course. These
tests may come in many different forms, ranging from multiple
choice to written response
SEC 4302, Planning and Audits
SEC 4302, Planning and Audits 1
questions. 9. Unit Assignments: Students are required to
submit for grading Unit Assignments. Specific information and
instructions regarding these assignments are provided below.
Grading rubrics are included with each assignment. Specific
information about accessing these rubrics is provided below. 10.
Ask the Professor: This communication forum provides you with an
opportunity to ask your professor general or course content related
questions. 11. Student Break Room: This communication forum allows
for casual conversation with your classmates.
CSU Online Library The CSU Online Library is available to
support your courses and programs. The online library includes
databases, journals, e-books, and research guides. These resources
are always accessible and can be reached through the library
webpage. To access the library, log into the myCSU Student Portal,
and click on “CSU Online Library.” You can also access the CSU
Online Library from the “My Library” button on the course menu for
each course in Blackboard. The CSU Online Library offers several
reference services. E-mail ([email protected]) and
telephone (1.877.268.8046) assistance is available Monday –
Thursday from 8 am to 5 pm and Friday from 8 am to 3 pm. The
library’s chat reference service, Ask a Librarian, is available
24/7; look for the chat box on the online library page. Librarians
can help you develop your research plan or assist you in finding
relevant, appropriate, and timely information. Reference requests
can include customized keyword search strategies, links to
articles, database help, and other services.
Unit Assignments Unit I Homework Assignment
The purpose of this homework assignment is to allow you to
research the Enron fraud case and the compliance requirements of
the Sarbanes-Oxley Act. You are to complete the following
components: Provide researched information and references
documenting your findings. Identify elements of fraud and
compliance laws that have been drafted as a result of Enron and
other industries. Write an executive summary describing the Enron
fraud case’s impact and the U.S. government’s reaction to it.
Complete each section of the lab by following the instructions for
the exercises in each section. You will use a text document to
develop your homework assignment by completing the sections listed
below: Lab 1.1a From your computer workstation, create a new
document called SOX Lab 1. Once you have created the document,
complete the following exercises, and save your responses as the
SOX homework assignment #1. 1. On your local computer, create the
lab deliverable files. Review the following information about the
Enron Corporation: Enron Corporation was an energy company that, at
one point, was the seventh largest company in the United States and
the largest trader of natural gas and electricity in the country.
Enron started in the mid ‘80s and, by the ‘90s, the company was
involved with trading and ownership in electric, coal, steel,
paper, water, and broadband capacity. In 2001, Enron filed for
bankruptcy, making it the largest bankruptcy in history at the
time. An accounting scandal caused the company’s collapse.
Thousands of Enron’s employees were laid off. Employees lost their
life savings because of the loss of the company’s stock.
Shareholders lost $11 billion. 2. On your local computer, open a
new Internet browser window. 3. Using your favorite search engine,
search for more information on the following topics regarding the
Enron fraud case: early history of the investigation, misleading
financial accounts, accounting scandal of 2001, and California’s
deregulation and subsequent energy crisis. 4. In your homework
assignment, summarize your findings and the differences between
governance and compliance connected to the Enron case. Lab 1.1b 1.
Using your favorite search engine, search for more information on
the following topics regarding the requirements of Sarbanes-Oxley:
Incidents that led to passage of SOX Chronology of SOX passage from
bill proposal through signing into law Pros and cons of
Sarbanes-Oxley Sarbanes-Oxley Section 302 Sarbanes-Oxley Section
401 Sarbanes-Oxley Section 404 Section 404’s consequences from
small businesses Sarbanes-Oxley Section 802 Sarbanes-Oxley Section
1107 2. In your homework assignment, describe the elements of the
fraud Enron committed that led to the creation of SOX. SEC 4302,
Planning and Audits 2
3. In your homework assignment, identify the other U.S.
compliance laws that have been drafted as a result of the Enron
case. Lab 1.2 In your homework assignment, write an executive
summary describing the impact of Enron’s fraud case, describe the
components of IT assessments and IT audits, and the U.S.
government’s reaction to it and to other industry compliance needs.
NOTE: When you submit your homework assignment, you should combine
the assignments into one document for grading. Please clearly mark
the answers for Lab 1.1a, Lab 1.1b, and Lab 1.2 within your
submission by labeling those sections within your assignment. Your
homework assignment should be a minimum of two pages in APA format.
Include a minimum of two sources with at least one source from the
CSU Online Library in addition to your textbook. Information about
accessing the grading rubric for this assignment is provided below.
Unit II Homework Assignment
The purpose of this homework assignment is to identify the
requirements and hardening guides that provide a frame to which a
government network and business should adhere. You will assess the
available sites under the Department of Defense (DoD) and identify
agencies in charge of providing security guidelines, and you will
review the hardening and best practice guidelines provided by DoD’s
Defense Information Systems Agency (DISA) and Information Assurance
Support Environment (IASE). Participate in each section of the
homework assignment and follow the instructions for the exercises
in each section. You will use a Word document to develop your
homework assignment by completing the sections listed below: Lab
2.1a 1. Review the following scenario: You work for a governmental
unit of DoD, and your manager has asked you to write a brief paper
outlining the importance of having the proper DoD-approved
frameworks in place when an organization wants to conduct business
w ith a governmental unit. Your task is to evaluate all the
available DoD, IASE, and NIST hardening guides on the Internet and
to write a brief analysis of the technical controls and hardening
guides that should be implemented as a minimum guideline for
divisions of government agencies such as yours. Launch your Web
browser and navigate to the following website:
https://allaplusessays.com/order. Review the DoD list of registered
websites and review the content of some of the information
assurance sites. In your document, list three of the DoD-registered
websites that provide guidelines and documents related to
information assurance. Lab 2.1b 1. Launch your Web browser and
navigate to the following website: https://allaplusessays.com/order
2. Review the Defense Information Systems Agency (DISA) website,
focusing on the agency’s services and capabilities. Evaluate which
services and capabilities are relevant to the task of formulating a
framework for secure government operations. 3. In your document,
note those services and capabilities that were relevant to secure
government operations. Lab 2.1c 1. Launch your Web browser and
navigate to the following website: https://allaplusessays.com/order
2. Review the DISA’s Information Assurance Support Environment.
Click the link for Security Technical Implementation Guides (STIGS)
in the left-hand column on the page. Click on the STIGs Master List
(A-Z) in the left-hand column on the page. 3. Review the STIGs
available, focusing on the following topics: Network Hardening
Guides Secure Remote Computing Windows Operating Systems
Application Security Lab 2.2 In your document, write an executive
summary that identifies two common auditing frameworks used for
DoD. sure to include a discussion of the hardening guidelines and
security checklists used by DoD. NOTE: When you submit your
homework assignment, you can combine the assignments into one
document for grading. Please clearly mark the answers for Lab 2.1a,
Lab 2.1b, Lab 2.1c, and Lab 2.2 within your submission by labeling
those sections within your assignment. Your homework assignment
should be a minimum of two pages in APA format. Include a minimum
of two sources with at least one source from the CSU Online Library
in addition to your textbook. Information about accessing the
grading rubric for this assignment is provided below. SEC 4302,
Planning and Audits 3
Unit III Homework Assignment
The purpose of this homework assignment is to allow you to
research information about the healthcare industry that addresses
the requirements a healthcare organization must comply with. You
will relate the Health Insurance Portability and Accountability Act
(HIPAA) Privacy and Security rules to NIST standards and encryption
technologies to ensure confidentiality of electronic protected
health information (ePHI) transmission. You will evaluate HIPAA
requirements, identify what ePHI data consists of, and apply HIPAA
Privacy and Security rules to ensure confidentiality, integrity,
and availability. Finally, you will relate the security
requirements for protected heath information (PHI) to an overall
privacy and security strategy for a healthcare organization. You
will use a text document to develop your homework assignment by
completing the sections listed below: Lab 3.1a Review the following
scenario: Your manager has asked you to identify information and
resources in the healthcare industry that address what laws, rules,
and guidelines your healthcare organization needs to follow. Your
healthcare organization is to have an audit so you need to gather
information for the upcoming audit, which w ill be more stringent
than any that have been done before. The healthcare organization
that employs you believes it is necessary to conduct a review of
its HIPAA compliance (or lack of compliance) and put the gathered
information into a report to show all the requirements the
organization faces. Your manager has asked you to perform this
function know ing that your work has been above reproach. He
expects a summary of the HIPAA requirements the organization needs
to comply w ith and any financial regulatory acts for which it
might also be held liable. With your previous experience
researching the financial sector and Sarbanes-Oxley, you w ill need
to dig deeper into the Health Insurance Portability and
Accountability Act of 1996 (HIPAA) Privacy Rule and Security Rule.
You can use resources from HHS.gov, the U.S. Department of Health
and Human Services’ website, to evaluate the HIPAA Privacy and
Security rules. On your local computer, open a new Internet browser
window. Na
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