Identity and Access Management:A Focus on Access Assurance

Infinigate IT Security Day

Kurt JohnsonVP Strategy & Corporate Development

Courion Corporation

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Sarbanes-Oxley Act (SOX) ~ PCAOB ~ SAS 94 ~ AICPA/CICA Privacy Framework ~ AICPA Suitable Trust Services Criteria ~ SEC Retention of Records, 17 CFR 210.2-06 ~ SEC Controls and Procedures, 17 CFR 240.15d-15 ~ SEC Reporting Transactions and Holdings, 17 CFR 240.16a-3 ~ Basel II ~ BIS Sound Practices for the Management and Supervision of Operational Risk ~ Gramm-Leach-Bliley Act (GLB) ~ Standards for Safeguarding Customer Info., FTC 16 CFR 314 ~ Privacy of Consumer Financial Info. Rule ~ Safety and Soundness Standards, Appendix of 12 CFR 30 ~ FFIEC Info. Security ~ FFIEC Development Acquisition ~ FFIEC Business Continuity Planning ~ FFIEC Audit ~ FFIEC Management ~ FFIEC Operations ~ NASD ~ NYSE ~ Recordkeeping rule for securities exchanges, SEC 17 CFR 240.17a-1 ~ Records to be made by exchange members, SEC 17 CFR 240.17a-3 ~ Records to be preserved by exchange members, SEC 17 CFR 240.17a-4 ~ Recordkeeping, SEC 17 CFR 240.17Ad-6 ~ Record retention, SEC 17 CFR 240.17Ad-7 ~ HIPAA (Health Insurance Portability and Accountability Act) ~ HIPAA HCFA Internet Security Policy ~ NIST Introductory Resource Guide for [HIPAA] (800-66) ~ CMS Core Security Requirements (CSR) ~ CMS Info. Security Acceptable Risk Safeguards (ARS) ~ CMS Info. Security Certification & Accreditation (C&A) ~ FDA Electronic Records; Electronic Signatures 21 CFR Part 11+D1 ~ Federal Energy Regulatory Commission (FERC) ~ North American Electric Reliability Council (NERC) ~ VISA CISP (Cardholder Info. Security Program) ~ Mastercard SDP (Site Data Protection) Program ~ American Express DSS (Data Security Standard) ~ PCI DSS (Payment Card Industry Data Security Standard) ~ FTC ESIGN (Electronic Signatures in Global and National Commerce Act) ~ Uniform Electronic Transactions Act (UETA) ~ FISMA (Federal Info. Security Management Act) ~ FISCAM (Federal Info. System Controls Audit Manual) ~ FIPS Security Requirements for Cryptographic Modules 140-2 ~ FIPS Guideline for the Analysis of LAN Security 191 ~ FIPS Application Profile for GILS 192 ~ Clinger-Cohen Act (Info. Technology Management Reform Act) ~ National Strategy to Secure Cyberspace ~ GAO Financial Audit Manual ~ DOD ...Standard for Electronic Records Management Software...5015-2 ~ CISWG Report on the Best Practices Subgroup ~ CISWG Info. Security Program Elements ~ NCUA Guidelines for Safeguarding Member Info. 12 CFR 748 ~ IRS Revenue Procedure: Retention of books and records 97-22 ~ IRS Revenue Procedure: Record retention: automatic data processing… 98-25 ~ IRS Internal Revenue Code Section 501(c)(3) ~ Federal Rules of Civil Procedure ~ Uniform Rules of Civil Procedure ~ ISO 15489-1 Info. and Documentation: Records mgmt.: General ~ ISO 15489-2 Info. and Documentation: Records management: Guidelines ~ DIRKS: A Strategic Approach to Managing Business Info. ~ Sedona Principles Addressing Elec. Document Production ~ NIST ...Principles and Practices for Securing IT Systems 800-14 ~ NIST ...Developing Security Plans for Federal Info. Systems 800-18 ~ NIST Security Self-Assessment Guide... 800-26 ~ NIST Risk Management Guide... 800-30 ~ NIST Contingency Planning Guide... 800-34 ~ NIST ...Patch and Vulnerability Management Program 800-40 ~ NIST Guidelines on Firewalls and Firewall Policy 800-41 ~ NIST Security Controls for Federal Info. Sys 800-53 ~ NIST ...Mapping...Info. and...Systems to Security Categories 800-60 ~ NIST Computer Security Incident Handling Guide 800-61 ~ NIST Security Considerations in...Info. Sys Development 800-64 ~ ISO 73:2002 Risk management -- Vocabulary ~ ISO 1335 Info. technology – Guidelines for management of IT Security ~ ISO 17799:2000 Code of Practice for Info. Security Management ~ ISO 27001:2005 ...Info. Security Management Systems -- Requirements ~ IT Info. Library (ITIL) Planning to Implement Service Management ~ IT Info. Library (ITIL) ICT Infrastructure Management ~ IT Info. Library (ITIL) Service Delivery ~ IT Info. Library (ITIL) Service Support ~ IT Info. Library (ITIL) App. Management ~ IT Info. Library (ITIL) Security Management ~ COSO Enterprise Risk Management (ERM) Framework ~ CobiT 3rd Edition ~ CobiT 4th Edition ~ ISACA IS Standards, Guidelines, and Procedures for Auditing and Control... ~ NFPA 1600 ...Disaster/Emergency Management and Business Continuity... ~ Info. Security Forum (ISF) Standard of Good Practice ~ Info. Security Forum (ISF) Security Audit of Networks ~ A Risk Management Standard, jointly issued by AIRMIC, ALARM, and IRM ~ Business Continuity Institute (BCI) Good Practice Guidelines ~ IIA Global Technology Audit Guide - Info. Technology Controls ~ ISSA Generally Accepted Info. Security Principles (GAISP) ~ CERT Operationally Critical Threat, Asset & Vulnerability Evaluation (OCTAVE) ~ Cable Communications Privacy Act Title 47 § 551 ~ Telemarketing Sales Rule (TSR) amendment 16 CFR 310.4(b)(3)(iv) ~ CAN SPAM Act ~ Children's Online Privacy Protection Act (COPPA) 16 CFR 312 ~ Children's Online Privacy Protection Act (COPPA) 16 CFR 312 ~ Driver's Privacy Protection Act (DPPA) 18 USC 2721 ~ Family Education Rights Privacy Act (FERPA) 20 USC 1232 ~ Privacy Act of 1974 5 USC 552a ~ Telemarketing Sales Rule (TSR) 16 CFR 310 ~ Video Privacy Protection Act (VPPA) 18 USC 2710 ~ Specter-Leahy Personal Data Privacy and Security Act ~ AR Personal Info. Protection Act SB 1167 ~ AZ Amendment to Arizona Revised Statutes 13-2001 HB 2116 ~ CA Info. Practice Act SB 1386 ~ CA General Security Standard for Businesses AB 1950 ~ CA Public Records Military Veteran Discharge Documents AB 1798 ~ CA OPP Recommended Practices on Notification of Security Breach ~ CO Prohibition against Using Identity Info. for Unlawful Purpose HB 1134 ~ CO Consumer Credit Solicitation Protection HB 1274 ~ CO Prohibiting Inclusion of Social Security Number HB 1311 ~ CT Requiring Consumer Credit Bureaus to Offer Security Freezes SB 650 ~ CT Concerning Nondisclosure of Private Tenant Info. HB 5184 ~ DE Computer Security Breaches HB 116 ~ FL Personal Identification Info./Unlawful Use HB 481 ~ GA Consumer Reporting Agencies SB 230 ~ GA Public employees; Fraud, Waste, and Abuse HB 656 ~ HI Exempting disclosure of Social Security numbers HB 2674 ~ IL Personal Info. Protection Act HB 1633 ~ IN Release of Social Security Number, Notice of Security Breach SB 503 ~ LADatabase Security Breach Notification Law SB 205 Act 499 ~ ME To Protect ME Citizens from Identity Theft LD 1671 ~ MN Data Warehouses; Notice Required for Certain Disclosures HF 2121 ~ MO HB 957 ~ MT To Implement Individual Privacy and to Prevent Identity Theft HB 732 ~ NJ Identity Theft Prevention Act A4001/S1914 ~ NY A4254, A3492 [no title] ~ NV SB 347 [no title] ~ NC Security Breach Notification Law (Identity Theft Protection Act) SB 1048 ~ ND Personal Info. protection act SB 2251 ~ OH Personal Info. -- contact if unauthorized access HB 104 ~ RI Security Breach Notification Law H 6191 ~ TN Security Breach Notification SB 2220 ~ TX Identity Theft Enforcement and Protection Act SB 122 ~ VT Relating to Identity Theft HB 327 ~ VA Identity theft; penalty; restitution; victim assistance HB 872 ~ WA Notice of a breach of the security SB 6043 ~ EU Directive on Privacy and Electronic Communications 2002/58/EC ~ EU Directive on Data Protection 95/46/EC ~ US Department of Commerce EU Safe Harbor Privacy Principles ~ ...Consumer Interests in the Telecommunications Market Act No. 661 ~ Directive On Privacy And Electronic Communications 2002.58.EC ~ OECD Technology Risk Checklist ~ OECD Guidelines on...Privacy and Transborder Flows of Personal Data ~ UN Guidelines for the Regulation of Computerized Personal Data Files (1990) ~ ISACA Cross-border Privacy Impact Assessment ~ The Combined Code on Corporate Governance ~ Turnbull Guidance on Internal Control, UK FRC ~ Smith Guidance on Audit Comm. Combined Code, UK FRC ~ UK Data Protection Act of 1998 ~ BS 15000-1 IT Service Management Standard ~ BS 15000-2 IT Service Management Standard - Code of Practice ~ Canada Keeping the Promise for a Strong Economy Act Bill 198 ~ Canada Personal Info. Protection and Electronic Documents Act ~ Canada Privacy Policy and Principles ~ Argentina Personal Data Protection Act ~ Mexico Federal Personal Data Protection Law ~ Austria Data Protection Act ~ Austria Telecommunications Act ~ Bosnia Law on Protection of Personal Data ~ Czech Republic Personal Data Protection Act ~ Denmark Act on Competitive Conditions and Consumer Interests ~ Finland Personal Data Protection Act ~ Finland Amendment of the Personal Data Act ~ France Data Protection Act ~ German Federal Data Protection Act ~ Greece Law on Personal Data Protection ~ Hungary Protection of Personal Data and Disclosure of Data of Public Interest ~ Iceland Protection of Privacy as regards the Processing of Personal Data ~ Ireland Data Protection Act ~ Ireland Data Protection Amendment 2003 ~ Italy Personal Data Protection Code ~ Italy Protection of Individuals with Regard to...Processing of Personal Data ~ Lithuania Law on Legal Protection of Personal Data ~ Luxembourg Data Protection Law ~ Netherlands Personal Data Protection Act ~ Poland Protection of Personal Data Act ~ Slovak Republic Protection of Personal Data in Info. Systems ~ Slovenia Personal Data Protection Act ~ South Africa Promotion of Access to Info. Act ~ Spain Organic law on the Protection of Personal Data ~ Sweden Personal Data Act ~ Swiss Federal Act on Data Protection ~ Australian Business Continuity Management Guide ~ Australia Spam Act of 2003 ~ Australia Privacy Amendment Act ~ Australia Telecommunications Act ~ Australia Spam Act 2003: A Practical Guide for Business ~ Hong Kong Personal Data (Privacy) Ordinance ~ Hong Kong Personal Data (Privacy) Ordinance ~ India Info.Privacy Act ~ Japan Guidelines for Personal Data Protection in Electronic Commerce, ECOM ~ Japan Handbook Concerning Protection of Intl’Data, MITI ~ Japan Personal Info. Protection Act ~ Korea Act on the Promotion of Info....Protection ~ Korea Act on the Protection of Personal Info....by Public Agencies ~ Korea Use and Protection of Credit Info. Act ~ New Zealand Privacy Act ~ Taiwan Computer-Processed Personal Data Protection Law

Regulation and Compliance

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Open is not a choice

Open Access is a requirement

Technology enables itCustomers demand itCompetition requires it

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The risk of “Open”

Disgruntled (ex)staff

Rogue states

Organized crime

Terrorists & Issue

hacker groups

REVENGEPROFIT

POWERCONFIDENCE

As “bad guys” attack the brand (and “system”) directly

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Evolution of Information Security

BrakesTiresDefensive driving training

Anti-lock systemRegular servicing

AirbagsRoad service protectionInsurance

Managing the risk of an accident

“Brakes are on the car not to make it go slow, but to enable it to go fast!”

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Moving from security management to risk management

Need to evolve beyond security management onlyFirst stage focused on identifying and managing riskThere is an increasing need to not only identify and manage risk, but to…

Understand riskCommunicate risk effectively to the business

Even as the risk factors are constantly changingFirst step is education of the business

In partnership with the business

Identity and access is critical part of this strategy

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Access and its impact on risk

What do you need to protect?

How do you control ACCESS?

Impa

ct

Likelihood

Accessibility = Exposure

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Is Your Critical Data at Risk?

Excessive account privilegesExposure to fraud and misuseEmployees and non-employees

Misuse of the dataDownloads, distribution, copying

Zombie accountsDisgruntled ex-employees, back-door access

Segregation of dutiesToxic combinationsDeveloper access to production data

The most sensitive data sitting on public sharesSharePoint sites, file shares, peer-to-peer networks

Privileged accessAdministrative privileges with access to most sensitive data

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Your Data in the Cloud

10. Disclaimers

THE SERVICE OFFERINGS ARE PROVIDED “AS IS.” WE … MAKE NO REPRESENTATIONS OR WARRANTIES OF ANY KIND … THAT THE SERVICE OFFERINGS OR THIRD PARTY CONTENT WILL BE UNINTERRUPTED, ERROR FREE OR FREE OF HARMFUL COMPONENTS, OR THAT ANY CONTENT, INCLUDING YOUR CONTENT …. WILL BE SECURE OR NOT OTHERWISE LOST OR DAMAGED…

Amazon Cloud Services License Agreement

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The Complexity of Access

INFRASTRUCTURE CHANGE

Cloud App AdoptionVirtualization

New App Roll outsSystem UpgradesNew Infrastructure

Credentials Privileges

AssetsEquipment

HiringPromotionsTransfersTerminationProject TeamsCustomer AcquisitionCustomer Management

ROUTINE CHANGE

ReorganizationNew Product Intro

Union StrikesMerger & Acquisitions

Geographic ExpansionNew Partnerships

LARGE SCALE CHANGE

SOXHIPAAGLBAPCIBasel II

REGULATORY CHANGE

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Top Internal/External Audit Findings

Source: 2010 Deloitte Global Security Survey, Financial Services

• Access related issues are a top audit finding

• Excessive or unmanaged access equals increased enterprise risk

• Audit findings are increasing

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Ensure the Right People…

To the Right Resources…

…and are doing the Right Things with it!

Have the Right Access…

Access Assurance

Internal & External Users

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Access Assurance Evolution

EmployeesRoles/Titles/Projects/Departments

ContractorsPartnersCustomersPrivileged accounts

Shared accountsApplication accounts

SystemsApplicationsEntitlementsCloud environmentsVirtualizationSensitive dataUnstructured dataUser activity

Focusing on the “who” and the “what” of “who has access to what”

The “Who” The “What”

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Access Assurance Components

• Translate business policy into access policy

• Manage policy lifecycle• Assess effectiveness of policy

• Discovery• Identify access risk• Evaluate risk• Prioritize action• Analyze trending

• Create access• Disable access• Remediate access• Privileged checkout

• Access certification• Access reports• For entitlements, data

access, and activity• Usage outliers

IdentityData

Entitlements

ActivityPolicy

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An IT View

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A Business View

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Connect Access to Business Policy

Access Right

FT_8743_WC

FT_2842_WS

FT_2174_WS

Audit Business People

Business Role

Branch Officer

Create Wire Transfer >$100,000

Set up wire template

Draft wire transfer >$100,000

SAPRoles

FT_1189_WB

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Automated Access Certification

Put control in the hands of the business owner

By resource owner, by staff manager

Certify/attest to accessAccountsEntitlementsRolesActivityData access

Certify operationsManagement structureSecurity policy awareness

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Enabling Access Intelligence

Identity Rights ActivityPolicy Resources

To identify where risk is….and why!

NameTitleDepartmentLocationManagerSocial Security #Employee #Customer account #Etc.

Separation of dutiesTxn approvalTime/DistanceTime of dayData accessRolesEtc.

Physical accessAccountsEntitlementsRead/WriteEtc.

Account createdLogon/LogoffSession durationTime of dayFunctionsAmountsApprovalsEtc.

PCI dataHIPAA dataHigh risk AppsKey financial appsWar roomsFile cabinetsEtc.

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Providing a View of Risk

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Periodic Review of Access

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Managing Access Risk

Be clear – you are managing risk, not eliminating it!

SETTLE

Mitigate

Accept

Insure

COMMUNICATE

Connect to business risk,

time and money

Visualized as individual and aggregate risk

UNDERSTAND

Identify

Assess

Prioritize

ACCESS RISK MANAGEMENT• Comprehensive, coordinated set of detective,

preventative & compensating controls

• Access Intelligence to make decisions