Pass SOX security audits and Improve XA security

CISTECH Security Solutions

Belinda Daub, Senior Consultant Technical ServicesBelinda Daub, Senior Consultant Technical Servicesbelinda.daub@cistech.net

704-814-0004704-814-0004

1. Introduction to Enhanced Security

2. Implementing a Security Model

3. Advanced Analysis and Testing

4. Auditing and Reporting

5. Prerequisites

6. Coming Enhancements

7. Related Security Services

Agenda

Why is it necessary?

• SOX Requirement for public companies• Documented security policy• Documented procedures • Formal approval for security rights to be assigned• Regular auditing and monitoring

Private Companies• Are also addressing these requirements • Protects investors, employees, community

Enhanced Security for XA

Why is it necessary?

• CAS Security• Green Screen interface• Difficult to determine how user has access to tasks• Reports are massive• No auditing capability • Risk to productivity when policy changes are made

Enhanced Security for XA

How can it help?

• Add-on application written using Integrator • Implemented by environment• Three Components:

• Security Modeling and Planning• Advanced Analysis and testing• Routine Auditing and reporting

Enhanced Security for XA

Power and Flexibility of the XA Client architecture:– Create views and subsets– Export to Excel

Add-on Application using Integrator

• Install in each environment• Manage users for separate environments• Includes all CAS tasks (if assigned to an area)• Auditing for each environment

Implemented by environment

• Security Model• Create and finalize a new security model

• Security Audits• Review security changes for validity or breaches

• Current Environment • View security and user authorities in the current

environment

Enhanced Security Application Card

• Provides for implementation of new plan– Import users, groups, areas, and tasks from CAS files– Decide what you want to lock– Create groups and authorize to tasks– Assign users to groups– View current and planned authorities for users

Note: this is all done in the model – not the live environment

Security Modeling and Planning

• Import from the current environment:– Users

– Groups

– Areas and tasks

– Group Authorities

– Private Authorities

You don’t have

to start from scratch!

1. Import Security Components

• Subsets– Unlocked

– Application

– Type

• Mass Change

• Model Template

It’s Easy!

2. Decide what you want to lock

• Subsets

• Views

• Mass Change

• R7– Quick Change

– Append subsets

• Model Template

Piece of Cake!

3. Create groups and assign to tasks

• Validation

• Subsets– User Groups

– Group members

• Templates

• Return-to-create

Your model

is almost ready!

4. Assign users to groups

Current and planned authorities

A. User being reviewedB. Tasks the user is granted

C. How access was granted•Private (user id)

•Group (group id)

•Not locked (blank)

A BC

5. View authorities for users

• View tasks user will no longer have access to• View tasks user could not do before• Final Adjustments to the model• Export files to a test environment for user testing and

acceptance

Benefits– Reduce risk of affecting user productivity at go live– Resolve issues quickly after plan is implemented

Advanced Analysis and Testing

Rights Revoked:

If users need any of these rights to do their jobs, they will be adversely affected when the plan is implemented.

Enhanced Security lets you make sure this won’t happen.

Advanced Analysis

Rights Granted:

SOX requires that all access be reviewed by authorizing manager.

With Enhanced Security, you can export user rights to standard forms for management

approval.

Advanced Analysis

Testing is critical to ensure users are not affected by the new plan.

•Users from every group

•Formal test plan

Enhanced Security provides an export process for moving user rights from the model to an XA environment on the same or different iSeries.

•Validation stamps generated

•No re-keying

Testing

SOX requires regular review of changes to security authorizations

Enhanced Security provides:• Detailed Transaction History• Security Change Audit• Conflicting Task Authorities• Regular Audit Reports

Security Auditing and Reporting

• Freeze the Plan– Saves an image of the model – Triggers are activated on the XA security

files– Changes in user rights begin to be written to a

transaction file

Routine Auditing and Reporting

•Customize views, subsets, and sorts•View or Host Print•Determine how a user has gained access to a task•Quickly identify the area(s) where changes need to be made

Detailed Transaction History

•Net Changes only (compared to last run or when model frozen)•Navigate to Detailed Transactions that resulted in the change•View or Print Report

Security Change Audits

Schedule regular Auditor reports

Set Audit Options

Regular Reporting – Scheduled Job

Summarize authority granted to users for the reporting period

•From last run date (monthly changes)

•From date that the plan was frozen

Security Audit Report

Users who have authority for tasks that SOX defines as conflicting, for example:

•Create a purchase order

•Generate an AP check

Security Audit ReportsHigh-Risk Authority Conflicts

• IFM Security

• iSeries User Security

• CAS security maintenance

• XA Menu inquiry (where tasks are used)

Coming Enhancements

• Integrator (R6 or R7)– R6 requires new business objects created at installation

• OS V5R1 or higher • All functions to be secured must be set up in CAS as

tasks and assigned to an area

Prerequisites

Enhanced Security <P30 $6,500

License P30+ $9,500

Implementation R6 (3 days) * $3600

and Training R7 (2 days) $2400

Annual License Fees none

And the cost for ES…

• Conference call and demo to address your specific areas of interest

• Purchase the software and schedule implementation and training

• Start with a Security Audit

• Select other related services to help you meet your SOX requirements

Interested?

Security Audit

• Objective review of your iSeries and XA security configuration• Typically 2 to 3 days (single XA environment)• Review Security Settings

– iSeries security configuration– iSeries User Profiles and environment access– XA Profiles and task authorities

• Risk Assessment and Recommendations (deliverable)• Typical results

– Estimate that 80% of companies need some improvements in Security – Security Policy not sufficient to protect unauthorized access to the

system– XA security configuration is not optimized

CISTECH Security Services

• Security Planning Assistance– XA Security Policy

– iSeries Security Policy

– Documented Plan and Procedures

– Change Management and Environment Standards for Customizations

Related Security Services

Thank you!

Questions?