Introduction to SAP Security

Kyle BalcerzakSAP Security Consultant

Wednesday March 31, 2010

Download the presentation recording with audio from the Symmetry Knowledge Center

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Introducing

Kyle BalcerzakSAP Security Consultant

What We’ll CoverIntroduction – Why is Security Important?Legal Requirements

SOX, HIPAA, ITARRisks & ControlsWhy Unregulated Companies Should Care

Security ArchitectureUser Master RecordRoles ProfilesAuthorization ObjectsUser Buffer4 Doors to SAP Security

Managing SecuritySecurity TeamRole owners and the approval processPeriodic Access ValidationTroubleshooting and informationSecurity Tools

Why is Security Important?Security is the doorway to the SAP system.Security is a way of protecting information from unauthorized use.Security can unlock the flexibility of the system and customize it for each user.Information stored in SAP is one of your company’s most valuable business assets.

What is SAP Security?SAP application security controls who can do what in SAP.

Examples:Who can approve purchase requisitions over $10,000 (ME54N)?

Who can view other employees’ social security numbers in the system (PA20)?

Who can update vendor bank information (XK02)?

Who can create or modify users (SU01)?

Security ObjectivesConfidentiality - prevent users from viewing and disclosing confidential information.Integrity - ensure the accuracy of the information in your company’s system.Availability - prevent the accidental or deliberate loss or damage of your company’s information resources.

Security Against Whom?When people think about system security, they usually think about people outside the company

business espionagepolitical rivals

In reality, you need to protect against your own people CuriosityAccidental accessIntentional access

Factors to ConsiderHow important is your SAP system and the data stored in it to your business?

Do you have a policy requiring certain levels of security?

Do your internal or external auditors require a certain level of security for the information stored in your system?

Will you need some degree of security in the foreseeable future?

Legal RequirementsSOX, HIPAA, ITARSegregation of Duties vs. Excessive AccessControls – Preventive vs. DetectiveWhy Smaller Companies Should Care

Sarbanes-Oxley (SOX) Act

Executives are ultimately responsible for confirming the design and effectiveness of internal controls

Excessive access and Segregation of Duties issues are key points

Ultimately – data integrity is key

SOX Continued

Segregation of DutiesOne user can perform two or more conflicting actions that causes a risk.Example:

Activities: Someone can create vendor master records and then process accounts payable paymentsRisk: Gives someone the access to create a fictitious vendor and generate fraudulent payments to that vendor

Excessive AccessOne action that a user can perform that is outside their area of expertise, jurisdiction, or allows critical accessExample:

Activity: End user can use SP01 to see the spool request for all usersRisk: Users may view sensitive financial documents or payroll information for example.

HIPAA and ITARHealth Insurance Portability and Accountability Act

Personal health information can be shared with appropriate people for patient care.Typically comes into play in SAP HR systems.Data privacy concerns

If an employee has a potentially embarrassing injury at work, these details are stored in the system and should only be viewed by authorized personnel.

International Traffic in Arms RegulationsControls the import/export of defense related articles and information.Data privacy concerns

Information and material specifically about defense and military technologies must only be shared with US Persons or those who are approved.

Shipping concernsUnauthorized users should not have access to change shipping information of customer.

Controls – Preventive vs. DetectiveIn order to prevent fraud, accidental errors, and protect sensitive information we must have controls.

There are two main categories of controls:

Preventive controls: prohibit inappropriate access Authorizations, configuration, User-Exits, and so on

Detective controls: rely on other processes to identify inconsistenciesAlerts, periodic reporting, system monitoring

Why Unregulated Companies Should CareWhy should we care about segregating duties, excessive access or documenting our business processes if we are not publicly traded or subject to legal requirements?

DocumentationReduction in errorsCost of errorsLoss of customersFraud happensProtection of trade secretsPreserve confidential information

Security ArchitectureAuthorization Objects IntroUser Master RecordRoles – Single, Derived, CompositeTask-based vs. Job-based RolesProfilesAuthorization ObjectsUser Buffer4 Doors to SAP Security

Authorization Concept

UserUser Master

Record

Roles

Profiles

Authorization Objects

SAP Functionality

Authorization ObjectsAuthorization Objects are the keys to SAP security When you attempt actions in SAP the system checks to see whether you have the appropriate AuthorizationsThe same Authorization Objects can be used by different Transactions

Example – in order to display a table, a user must have the Authorization Object S_TABU_DIS with the appropriate values

User Master RecordsRequired to establish access for Users.

Created when a User is created.

User Master Records are client-dependent!

User Master RecordsUser Master Record information includes:

Name, Password, Address, Company informationUser Group (used for security administration or searching capabilities)Reference to Roles and Profiles (access capabilities are not stored directly in user master records)User type

Dialog – typical for most usersSystem – cannot be used for dialog login, can communicate between systems and start background jobsCommunications Data – cannot be used for dialog login, can communicate between systems but cannot start background jobsReference – cannot log in, used to assign additional Authorizations to UsersService – can log in but is excluded from password rules, etc. Used for Support users and Internet services

Validity dates (from/to)User defaults (logon language, default printer, date/decimal formats)

User Master Record

Roles and Profiles

Profiles contain Authorization Objects

Roles contain Profiles

Profiles that come delivered with the system or were created from scratch can be assigned directly to users

Profiles that were created for a Role are attached to that Role cannot be assigned directly. You must assign the Role and the system will then assign the user the correct Profile

UserUser Master

Record

Roles

Profiles

Authorization Objects

SAP Functionality

Users are assigned Roles and Profiles which contain Authorization Objects

RolesRoles are ‘built on top’ of Profiles and include additional components such as:

User menusPersonalizationWorkflow

In modern SAP systems, users are typically assigned the appropriate Roles by the security teamThe system will automatically add the appropriate Profile(s) for each Role assigned

****Authorization Objects only exist in Profiles (either on their own or when “nested” in roles)

A Role has several parts, including:

Description Documentation

Menu Profile

Tips for Managing Roles Roles typically do not change often It is strongly recommended that they be created in a Development client, then transported to Quality (tested, hopefully) and finally promoted to Production.Roles should originate from the same client (pick one to be your “security development” client).It is much easier to assign an existing Role to a User than to create or modify a Role.SAP’s template Roles are intended only for example.

Best practice is to have Users tell you the exact Transactions they require and build Roles from scratch.At the very least, copy them into your own namespaceBe aware that many of them contain too much access so be careful!

Roles

RolesProfile for a Role:

Roles – TypesThere are 3 types of Roles:

Single – an independent RoleDerived – has a parent and differs only in Organization Levels. Maintain Transactions, Menu, Authorizations only at the parent levelComposite – container that contains one or more Single or Derived Roles

Derived Role example:Purchaser Parent

ME21N, ME22N for all or no Purchasing Organizations

Purchaser Child 1ME21N, ME22N for Purchasing Organization 0001

Purchaser Child 2ME21N, ME22N for Purchasing Organization 0002

Roles – TypesComposite Role example:

Task-based vs. Job-based RolesTask-based

Each Role can performs one function (usually one or only a few Transactions)

Vendor master creationCreate sales order

Job-basedEach Role contains most functions that a user will need for their job in the organization

A/P ClerkBuyerWarehouse Manager

Hybrid approach

ProfilesAuthorization Objects are stored in ProfilesProfiles are the original SAP Authorization infrastructureUltimately – a user’s Authorization comes from the Profile/s that they have assignedProfiles are different from Roles.

UserUser Master

Record

Roles

Profiles

Authorization Objects

SAP Functionality

Examples of Delivered ProfilesSAP_ALL

Delivered with the systemContains almost all Authorization Objects

SAP_NEWContains the new objects in the current release that are required to keep old transactions functioning.It does NOT contain all new Authorization Objects for that release

S_A.xxxxxxxStandard BASIS Profiles for various job functions (i.e. customizing, development, administration, etc.)

Authorization ObjectsAuthorization Objects are the keys to SAP Security When you attempt actions in SAP, the system checks to see whether you have the appropriate AuthorizationsThe same Authorization Objects can be used by different Transactions

Example – in order to display a table, a user must have the Authorization Object S_TABU_DIS with the appropriate values

User BufferWhen a User logs into the system, all of the Authorizations that the User has are loaded into a special place in memory called the User Buffer As the User attempts to perform activities, the system checks whether the user has the appropriate Authorization Objects in the User Buffer.

You can see the buffer in Transaction SU56

Example of Authorization CheckWhen attempting to execute a Transaction, each instance of a required Authorization Object that a user has is checked by the system until the system finds a match.

Example: User would like to create a Sales Order of the Document Type “Standard Order” (OR). One of the Authorization Objects that the system looks for is:

V_VBAK_AATThere are two fields – Activity and Order TypeTo create a sales order for this type, the user will need:

V_VBAK_AAT with:Activity – 01 (Create)Order Type – OR (Standard Order)

Example of Authorization CheckTo create a sales order for the Standard Order type, the user will need:

V_VBAK_AAT with:Activity – 01 (Create)Order Type – OR (Standard Order)

The user might have this Object several times from several Roles. The system keeps checking until it finds a match:

Role 1V_VBAK_AAT

Activity – 03 (Display)Order Type – * (All Order Types)

V_VBAK_AATActivity – 01 (Create)Order Type – B1, B2, CS

Role 2V_VBAK_AAT

Activity – 01 (Create)Order Type – OR, RE

Authorization ChecksHow does SAP test whether the user has Authorization to execute functions? What happens when I try to start and run a Transaction?

Authorization Checks – Executing a Transaction

1. Does the Transaction Exist?

Authorization Checks – Executing a Transaction

1. Does the Transaction Exist?

2. Is the Transaction locked?

Authorization Checks – Executing a Transaction

1. Does the Transaction Exist?

2. Is the Transaction locked?

3. Can the User start the Transaction?

Authorization Checks – Executing a Transaction4. What can the User do in the Transaction?

1. Does the Transaction Exist?

2. Is the Transaction locked?

3. Can the User start the Transaction?

Authorization Checks – Executing a Transaction1) Does the Transaction exist?

All Transactions have an entry in table TSTC2) Is the Transaction locked?

Transactions are locked using Transaction SM01Once locked, they cannot be used in any client

3) Can the User start the Transaction?Every Transaction requires that the user have the Object S_TCODE=Transaction NameSome Transactions also require another Authorization Object to start (varies depending on the Transaction)

4) What can the User do in the Transaction?The system will check to see if the user has additional Authorization Objects as necessary

Managing SecuritySecurity TeamRole Owners and the Approval ProcessPeriodic Access ValidationTroubleshooting and Information

User Information System (SUIM)SU53Authorization Trace (ST01)Security Audit log (SM19/SM20)

Security ToolsCentral User AdministrationSAP NetWeaver Identity ManagementSAP GRC Access Control SuiteSymsoft ControlPanelGRC

SAP is a Complex EcosystemThere are many different SAP applications with different areas of expertise requiredSome of these require specialized security knowledge, e.g. HCM and BI/BWExamples:

ECC (Sales and Distribution (SD), Materials Management (MM), Financial and Cost Accounting (FICO), Warehouse Management (WM), Quality Management (QM), Plant Maintenance (PM), Human Capital Management (HCM))Business Information Warehouse (BI/BW)Customer Relationship Management (CRM)Supplier Relationship Management (SRM)Advanced Planner and Optimizer/Supply Chain Management (SCM/APO)Portal…And whatever else SAP dreams up!

Security TeamImportant to select an appropriate security team.Size consideration based on your organization

Auditing requirementsAmount of changesSecurity staff knowledge

Role changes should be done by the security teamUser assignments can be processed by the security team or the basis teamUnlocking Users/resetting passwords of Users can be done by the helpdesk

Security TeamOutsourcing is a good option for many companies.

Key reasons to outsourceExpert help available – it’s hard for part-time security staff to understand all of the complexities of SAP SecurityInternal staff may get overloaded and need extra help.Project workProvide coverage during vacations/sick days

Key considerations in choosing an outsourcing providerOngoing access to a team vs. consultant randomly assigned by a help desk24x7 access to supportFixed rate support vs. charge by the hour

Role Owners and the Approval ProcessThe security team may know how to make changes to access, but will need to work with the business to determine what changes should be made.Changes include making changes to Roles (modifying Authorizations, adding/removing Transactions) and assigning those Roles to users.

Have Role changes approved by the Role owner

Have User assignment changes approved by both a manager and the Role owner.

The business is often not aware of the implications of changes that are requested. Your security team should be able to point out potential risks when access is requested.

Periodic Access ValidationIt’s a good idea to have Role matrix reports generated and reviewed periodically by Role ownersEnsures that inappropriate changes were not madeAccountabilityConsider doing this quarterly or at least yearly

Periodic Access ValidationExample output of a report that was generated by ControlPanelGRC:

User Information SystemTransaction SUIMGreat place to get information about Users/Roles

TIP – has had bugs over the years. If something seems incorrect, query the appropriate table directly.

SU53Last Authorization check that failed.May or may not be the Authorization that the User actually needs. Look at context clues to determine if it is appropriate.User may need more Authorization Objects after this one is added.

Authorization TraceTransaction ST01Records all Authorization Checks performed while a User is in the system.Does not include Structural Authorizations in HR Security.

ControlPanelGRC Security Troubleshooter makes this process easier by recording the steps to recreate the issue, the Authorization Trace, and sending the output the Security Team.

Security Audit LogRecords information about what Users are doing

Logon/logoffTransactions/reports started or attempted to startPassword changesWorkstation name of UserIs not on by default.

Transactions SM19/SM20.Does not record what data was changed by the User.

Central User Administration (CUA)Manage Users from one SAP clientSimplifies User administration and can save a lot of time – especially for large environmentsIf you own SAP, you already own this. All you need is someone to configure itThere are several “gotchas” that frequently come up when installing. We recommend contacting a consultant who is CUA savvyAsynchronous! Ultimately, the Users and Roles exist in each client. CUA is only the place you log in to make changes!

SOL-100CUA Central

System

DEV-100

PRD-100

QAS-100

SAP Netweaver Identity ManagementSAP’s Identity Management SolutionCross system/cross vendor integrationSeparate landscape/installationHighly configurable, contact someone who specializes in this product.

SAP GRC Access ControlsRisk Analysis and Remediation

Find SoDs, excessive access for both Roles and UsersAlert Monitoring

Compliant User ProvisioningWorkflow for User creations/modificationsIncorporates SoD checks

Superuser Privilege ManagementEmergency, temporary accessLogs some of the user’s actions, notifies managers when used

Enterprise Role ManagementWorkflow for Role creations/modificationsIncorporates SoD checks

SymSoft ControlPanelGRC2nd generation compliance automation solution

User & Role ManagerAccelerates User and Role change management

Risk AnalyzerReal time risk analysis and mitigation of Segregation of Duties and Sensitive Authorization risks

Usage AnalyzerMonitors Transaction executions to provide

Notification of executed risksReverse Business Engineering (RBE) toolLicense Optimization tool

Transport ManagerAutomates processing of change requests with auditable workflow

Batch ManagerCross system infrastructure for compliant scheduling, monitoring and tracking of batch jobs

Emergency Access ManagerManages temporary access – access is tracked by User and reports are routed for review

AutoAuditorAllows compliance reports to be scheduled and sent to Users for documented review

Key PointsSecurity is the doorway to the SAP system

Security is a way of protecting information from unauthorized use

Security can unlock the flexibility of the system and customize it for each user

Information stored in SAP is one of your company’s most valuable business

assets.

SAP Security is complex and often difficult to manage and understand

There are legal requirements that influence SAP Security

Not all companies are required to comply with these regulations

All businesses benefit from having well defined processes

There are tools available to help manage security – but ultimately a good

security team is key

Download the presentation recording with audio from the Symmetry Knowledge Center

www.sym-corp.com/knowledge-center

Kyle Balcerzak414-732-2743kbalcerzak@sym-corp.com