Transcript Optimizing User Administration in SAP -ISACA ATL Chapter (8

Optimizing User
Administration in SAP
ISACA Geek Week - Atlanta
August 13, 2014
Today's Presenters
Aric Quinones
Protiviti
Managing Director
ERP Solutions Practice
Chris Aramburu
Protiviti
Senior Consultant
ERP Solutions Practice
Connor Hammersmith
Protiviti
Senior Consultant
ERP Solutions Practice
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Who We Are
Protiviti (www.protiviti.com) is a global consulting firm that helps companies solve problems in finance,
technology, operations, governance, risk and internal audit, and has served more than 35 percent of
FORTUNE 1000® and 40 percent of FORTUNE Global 500® companies. Protiviti and its independently
owned Member Firms serve clients through a network of more than 70 locations in over 20 countries.
The firm also works with smaller, growing companies, including those looking to go public, as well as
with government agencies.
Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI). Founded in 1948, Robert Half is a
member of the S&P 500 index.
• 3,100
professionals
• Over 20
countries in
the Americas,
Europe, the
Middle East
and AsiaPacific
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
• 70+ offices
• Our
revenues: US
$ 528.3
million in
2013
The Risk Universe of SAP Security
GRC and ERM framework
* SAP Security Risks
General IT Risks
Security Standards
Segregation of Duties and Sensitive Access
Powerful Users Access Management
User and Role Provisioning Process
Application Interface Controls
IT Infrastructure Controls
Change Management
Security Administration
Backup and Recovery
Steering Committee
Board of Directors
Compliance
(Regulatory Requirements)
* SAP Business Process and
Transactional Data Risks
Configurable Application Controls
Detective / Monitoring Controls / Reports
Procedural Business Process Controls
SOX Controls (compliance purposes)
External / Internal
Audit
Other Project / Implementation Risks
Project Cost Identification
Transaction and Master Data Conversion
Go/No Go Decision Criteria
Testing and Training Strategy
Post Go-Live Support Requirements
* Continuous Monitoring Applications and Processes
Control Documentation Update, Compliance and Risk Management Optimization and
GRC Software Configuration
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© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
What We’ll Cover
Common Issues with User Administration in SAP
Solutions to Common Issues with User Administration in SAP
Recap of Session Takeaways
Case Study
Wrap-up
5
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
A Few Questions
6
•
How many people use one of the major ERP systems (SAP, Oracle or MS
Dynamics)?
•
How many people actually use SAP?
•
How many people use a GRC tool for Segregation of Duties (SoD) Analysis
– such as SAP GRC, Oracle GRC, or Fastpath?
•
What is an SoD Analysis?
•
How many people know what a t-code is?
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Common Issues with User Administration
Standardized Role Architecture
Security
Related
Change Management
Development of Custom Transactions, Objects, Programs, & Tables
Backend System Configurations
User Provisioning
GRC
Related
Segregation of Duties (SoD)
Management of Temporary / Emergency Access
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© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Standardized Role Architecture
Key Risks
•
Role-level SoD issues
•
Inappropriate organizational level restrictions
•
Duplicative transaction assignments
•
Powerful roles with unnecessary access
•
Excessive number of transactions granting
unintended access to end users
•
Increased efforts of the Security Team for
role maintenance and user provisioning
Root-Causes
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•
Inconsistent role standards
•
Lack of role governance
•
Roles not managed globally
•
Unintuitive role naming convention
•
Lack of role documentation
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
B. Smith, Finance Manager
• Assigned 114 active roles
•
Providing access to 6,636 unique
transactions (919 duplicate via
multiple role assignment)
•
Of the 6,636 transactions only
6,328 transactions are executable
Transactional History Analysis
•
115 executable transactions were
executed a total of 12,946 times
•
The top 25 transactions accounted
for 89% of the activity
Choosing the Appropriate Role Architecture
• Derived versus Enabler
• Job Based versus Task Based
• Ensuring the Architecture is
Scalable
• Aligns with SAP Resource
Skillset & Compliance Culture
• Standardized Role Naming
convention
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© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Change Management
The lack of Change Management can impact role maintenance which is critical to
maintaining a secure SAP environment and standardized role architecture.
Key Risk: Roles unaligned with the new and existing global business processes
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© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Development of Custom Transactions,
Objects, Programs & Tables
Key Risks
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•
Lack of functionality knowledge
•
Circumventing security & gaining
unauthorized access to sensitive data
•
Bypass organizational level security
restrictions
•
Excessive privileges within the scope
of the specific transaction
•
Unauthorized execution of programs
•
•
•
•
•
Absence of SAP customizing governance processes
Poor design documentation and/or lack of communication
Custom program coded to call powerful transactions (i.e. SE38, SA38, SM30, etc.)
Authorization checks not coded in custom program
Not assigning custom programs to custom transactions
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Root-Causes
Backend System Configurations
There are several security related backend tables and configuration that are critical to
maintaining a controlled security environment that are often overlooked or maintained which
could become a significant security risk.
Company
Code 1000
Plant 100
Purchasing
Group 1
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CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Purchasing
Group 2
Purchasing
Org 1900
Purchasing
Group 3
Governance: Policies & Procedures
• A security governance policy contains
standards for the SAP ECC production
environments to ensure consistency and
minimize significant risk to the environment.
The should be designed to create standards
around the following key areas:
‒ User Access Management
‒ Custom Program and Table Security
Requirements
‒ Backend System Configurations
‒ Role Creation and Maintenance
Standards
‒ Password Management
‒ Security Parameters
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© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
SAP solutions for Governance, Risk, and Compliance
SAP Access
Control
SAP Process
Control
SAP Risk
Management
Manage access risk
and prevent fraud
Ensure effective
controls and ongoing
compliance
Preserve and
grow value
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
GRC Access Control Overview
Primary GRC Risks to be discussed today:
User Provisioning
SoD / Sensitive Access Monitoring
User Provisioning
Management
of Temporary / Emergency Access
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
User Provisioning
Key Risks
•
Assignment of excessive and/or
sensitive access
•
Documenting appropriate approvals
for compliance purposes
•
Delay in provisioning or deprovisioning
•
Selection of correct roles
•
User access reviews
Root-Causes
•
•
•
•
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The user does not know the appropriate role to select due to current naming convention
User provisioning is a manual process
Approvals are documented offline or via email
Master data has not been maintained appropriately
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
User Provisioning
GRC automates the SAP access request and provisioning
process by providing customizable workflow options that
integrate seamlessly with the SoD Risk Analysis
Solution Enhancements
Key Benefits
• User Provisioning:
− Integrates with SAP to prevent
SoD Violations
− Customizable access request
workflows
− Template based access requests
− Complete audit trail to satisfy
compliance requirements
− Eliminates manual provisioning
to end users
• Workflows also available for:
− User Access Reviews
− FF Log Review
− SoD Remediation
− Mitigating Control Assignment /
Review
• Standardized on SAP Business
Workflow Technology
• Business workflow reduces
manual tasks and streamlines
access request processing
• Gain visibility of User Access
Risks before entering a production
environment
• Faster and easier for users to
request the roles they need
• Leverage existing resources for
workflow administration and
configuration
• Utilize existing HR structure for
automated and compliant position
based role assignment
• Improved security and richer
request context
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Segregation of Duties (SoD)
Key Risks
•
A user with excessive or sensitive
access within the system has the
ability to perform fraudulent activity
•
Internal controls may be circumvented
by excessive access
Root-Causes
•
•
•
•
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Over the course of time a user may switch job functions
It may be necessary for the user to have the access within SAP to perform both business
functions during the transition period
After the transition period is over the user may still retain this excessive access
SoD violations can quickly spiral out of control because in some organizations users submit
access requests by replicating a user performing the same job function
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
SoD / Sensitive Access Monitoring
SoD / Sensitive Access Monitoring
• Products such as SAP Access Control can be used to monitor
SoD Violations, as well as Sensitive Access.
• A custom “rule set” containing function conflicts (e.g., Create
Vendor vs. Manual Payments), as well as sensitive
transactions/objects can be tailored to your specific risk
environment.
• Simulations and “what if” analyses can be run before actual
security changes are made.
• Can be integrated into the user provisioning and role creation
process.
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Customizing Your Ruleset
It is import to customize your own ruleset by reviewing with all of
the key stakeholders:
–
Risk Relevance - Inactive vs. active
–
Criticality Level - Low, medium, high, or critical
–
Modify Rules – There are authorizations which need to be
adjusted to ensure accuracy for your organization and to
remove false positives
–
Review Custom Transactions and Tables – All new custom
transactions and programs should be reviewed for inclusion in
the ruleset
Define SoD
Ruleset
Ruleset Analysis
Against Leading
Practices
Incorporate
Feedback from
Internal Audit
Communicate
Proposed Ruleset
to Business
Controllers
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Update SoD
Ruleset with
Feedback
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Finalize SoD
Ruleset
Management of Temporary / Emergency Access
Key Risks
•
Superuser or privileged access should
be approved and reviewed in a timely
manner
•
A user can perform critical actions
either accidentally or maliciously to
interrupt system availability
Root-Causes
•
•
•
•
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Certain sensitive or critical transactions are necessary to keep the system running smoothly
Restricting and monitoring sensitive access within the system is a top audit concern
Log review is a very tedious and time consuming process
Some users are assigned the profile SAP_ALL granting unrestricted access
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Management of Temporary / Emergency Access
Emergency Access Management
• SAP Access Control or Firefighter, can be used to effectively handle
temporary and elevated system access.
• All activity and the changes performed within Firefighter are logged for
review/signoff.
• Log review can be integrated into workflow to automatically route and
track Firefighter log approvals.
• Provisioning of Firefighter IDs can be integrated into Access Request
(ARQ).
• Centrally managed across all systems (end-user does not need an ID
in the target system, only the GRC system).
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
How Firefighter Works?
The workflow functionality within SAP GRC can provide an automated and auditable process for:
–
–
–
–
Requesting elevated access
Routing request for approval
Automatically assigning approved access for the specified time period
Logging and routing the activity logs to the Firefighter Controller for review.
• Reduces the effort required to grant and provision emergency access to multiple systems. Provides a structured,
documented process around emergency access
• Enables documented account of the controller’s review
Administered
Centrally on GRC
System
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Control Optimization
•
Sometimes we cannot avoid certain risks within the ERP systems we manage.
•
Luckily, SAP has many configurable controls that can be enabled to help mitigate some of these risks.
•
For example:
–
Check for duplicate invoices
–
3-Way Match
Protiviti’s Control Library:
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
SAP Access Control – Sample Roadmap
Start
Solution
Design
Quick Wins
Access Request
Management
Access Risk
Analysis
SoD
Technical
Installation /
Upgrade
Enhanced Functionality
SAP PC/RM
Integration
Integration with
Non-SAP
Applications
Emergency
Access
Business Role
Management
Data
Migration
Ruleset
Optimization
& Reporting
Upgrade
Solution Components
Process Improvement
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Optimization
Streamlined
super user
process
Automated
SAP
Provisioning
Change
Mgmnt. for
users & roles
SAP Security Remediation
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Risk
Mitigation
End to end
Provisioning
Recap of Session Takeaways
Common Issues with User Administration in SAP
Solutions to Common Issues with User Administration in SAP
Recap of Session Takeaways
Case Study
Wrap-up
26
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Key Points to Take Home
Remember:
1. A standardized role architecture
simplifies user administration in SAP
2. A strong change management policy is
vital when maintaining good SAP
Security practices
3. There are many tools available to
assess the security in your SAP
environment
4. Achieve buy-in & sponsorship across
organization
5. Strong Security & Governance policies
are crucial to maintaining a secure ERP
environment
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© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
What We’ll Cover
Common Issues with User Administration in SAP
Solutions to Common Issues with User Administration in SAP
Recap of Session Takeaways
Case Study
Wrap-up
28
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Results - Other Role Redesign Project Metrics
Before Security and GRC Redesign
New User to be provisioned
# of transactions per role
Average transactions per user
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After Security and GRC Redesign
15 days
77
2,281
Number of detailed SoD
violations
13,054,616
Intra Role SoD Conflicts
94,458
New User to be provisioned
% Reduction
4 hours
98.889%
# of transactions per role
7.3
90.519%
Average transactions per user
371
83.735%
3,149
99.976%
3
99.997%
Number of detailed SoD violations
Intra Role SoD Conflicts
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Questions?
30
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Thank You!
Aric Quinones
3343 Peachtree Road, NE
Suite 600
Atlanta, GA 30326
Direct: +1 404.240.8376
[email protected]
Powerful Insights. Proven Delivery.®
Chris Aramburu
Connor Hammersmith
3343 Peachtree Road, NE
Suite 600
Atlanta, GA 30326
3343 Peachtree Road, NE
Suite 600
Atlanta, GA 30326
Direct: +1 404.443.8221
Direct: +1 404.926.4315
[email protected]
[email protected]
Powerful Insights. Proven Delivery.®
31
Powerful Insights. Proven Delivery.®
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.
Confidentiality Statement and Restriction for Use
This document contains confidential material proprietary to Protiviti Inc. ("Protiviti"), a wholly-owned subsidiary of Robert Half International Inc.
("RHI"). RHI is a publicly-traded company and as such, the materials, information, ideas, and concepts contained herein are non-public, should be
used solely and exclusively to evaluate the capabilities of Protiviti to provide assistance to your Company, and should not be used in any
inappropriate manner or in violation of applicable securities laws. The contents are intended for the use of your Company and may not be
distributed to third parties.
© 2014 Protiviti Inc. An Equal Opportunity Employer.
CONFIDENTIAL: This document is for your company's internal use only and may not be copied nor distributed to any third party.