Patent Grant
9123024
1. Technical Field
This application relates to security compliance. In particular, this application relates to a system for building a security compliance framework customized to a business offering.
2. Related Art
The Unified Compliance Framework™ (UCF) is a compliance database that harmonizes controls from hundreds of international regulatory requirements, standards, and guidelines (such as HIPAA, ISO 17799, PCI, FDA, SOX, etc.) into a single, hierarchal framework. Each of these regulations publishes a list of standards or controls that affected companies must comply with. These lists (also referred to as “authority documents”) contain thousands of statements stating how information should be protected, monitored, or presented. Accurately determining which of the hundreds of requirements, standards, and guidelines of the UCF are applicable to a particular business offering can be challenging and time consuming.
The system may be better understood with reference to the following drawings and description. The elements in the figures are not necessarily to scale, emphasis instead being placed upon illustrating the principles of the type model. In the figures, like-referenced numerals designate corresponding features throughout the different views.
The system obtains scope selections 102 from a user that defines the scope of a business offering (e.g., location and geography, line of business, etc). Based on the scope selections, the system generates a custom set of questions to be presented to the user. The system generates a query 104 based on the scope selections and answers to the custom set of questions. The query is submitted to a database 106 to extract relevant security regulations, relevant leading practices, and other compliance requirements corresponding to the business offering. The database includes linked data imported from the UCF. The database may also include regulations that are internal to the business linked with the UCF data. The system may implement a SQL Server Reporting Services (SSRS) mechanism 108 to report the query results 110 to the user. In this manner, the system effectively analyzes a business offering to determine the relevant industry and internal regulations, standards, and leading practices for the specific business offering. The applicable data that is fetched from the database may be stored on a file system 110, or intermediate storage, at an instance where authentication is required to process a final report, such as a report generated in an Excel® format. For generated reports the database may be integrated to a front end UI.
The disclosed methods, processes, programs, and/or instructions may be encoded in a signal-bearing medium, a computer-readable medium such as a memory, programmed within a device such as on one or more integrated circuits, or processed by a controller or a computer processor. If the methods are performed by software, the software may reside in a memory resident to or interfaced to a communication interface, or any other type of non-volatile or volatile memory. The memory may include an ordered listing of executable instructions for implementing logical functions. A logical function may be implemented through digital circuitry, through source code, through analog circuitry, or through an analog source such as that occurring through an analog electrical, audio, or video signal. The software may be embodied in any computer-readable or signal-bearing medium, for use by, or in connection with, an instruction executable system, apparatus, or device. Such a system may include a computer-based system, a processor-containing system, or another system that may selectively fetch instructions from an instruction executable system, apparatus, or device that may also execute instructions.
The data tier 206 may include a SQL database server that executes the query received from the server tier 204 and/or procedures stored in the SQL database server and that sends the process results to the server tier 204. The data tier 206 stores data imported from the Unified Compliance Framework™ (UCF). The UCF data reflect information found in hundreds of authority Documents used to create the UCF. Data from the UCF is populated into tables stored on the SQL database server with details of authority documents and related control requirements. The UCF data, which is available in XML format, may be imported to the SQL database server using a batch file (.bat). The tables stored in the SQL database server include data related to authority documents, assets lists, citations lists, roles lists, metrics lists, etc. With knowledge from the UCF data, appropriate tables stores in the database are linked together.
On selection of a specific region from the region list on a Client Regions page, region specific questions along with multi regional questions are populated in two different pages on the user interface and on the user response. A particular question is mapped to the right regulation in the regulation table of the database.
The tables in the database include regions, countries, states, questionnaires, and regulations tables. When user selects a particular region corresponding table(s) are retrieved from the database; the server tier runs a SQL query as all the countries of that particular region will be selected from the countries table and on selecting a particular country, all the states of that particular country will get populated from the state table.
The questionnaire table and regulation table are mapped on the unique ID's corresponding to the imported UCF data. Questions are displayed for the user to select the response to each of the questions listed to determine the set of regulations that are applicable. The analysis system may implement a decision tree structure that links the questions with possible answers such that subsequent questions are based on the answer given. In this manner the system is able to define the business offering and hone in on the relevant regulations, standards, requirements, leading practices, etc. among the large amount of UCF data.
Returning to
Based on scope selections obtained from the client tier 202 that define a scope of a business offering (e.g., location and geography, line of business, etc.), the server tier 204 generates a query and submits the query to the data tier 206. Based on the query, the applicable regulations are identified from the tables in the database and provided to the client tier 202. As shown in
The Create New Report 402 option is described below with respect to
A user that selects the “create new report” option in the interface 400 may be presented with the interface shown in
After the applicable locations are selected and the user selects the ‘next’ option, the security compliance analysis system security compliance analysis system presents the user with a ‘Region Specific Regulations’ interface 700, shown in
After responding to the questionnaire rendered to the ‘Region-Specific Regulations’ interface 700, the security compliance analysis system presents the user with a ‘Leading Practices’ interface 800, shown in
After the user selects the ‘Submit’ option at the bottom of the interface 900, the security compliance analysis system generates and presents to the user a report page 900, shown in
The report page 900 includes a button ‘Download Excel Report’ 902 which, if selected, generates a report including all of the applicable regulations and controls in Excel® format. While the security compliance analysis system is described as generating the report in Excel® format for the sake of explanation, it will be understood that the security compliance analysis system may generate reports in other spreadsheet and document formats.
The Excel® document may include two sheets: a report summary sheet and detailed requirements sheet.
The detailed requirements sheet 1100 includes the applicable control IDs, control description, control hierarchy (control level), security offerings, and applicable leading practices. As shown in
The report page 1100 also includes an ‘email report’ option 1104. If selected, the security compliance analysis system generates a report include a summary of the report along with an attachment of the detailed excel report.
Referring back to the interface shown in
After the expert user makes and submits the authority document selections, the security compliance analysis system brings the user to the report page 900, shown in
Through the interface 1500 the user may upload the UCF database to the SQL database of the security compliance analysis system. After uploaded, the security compliance analysis system may integrate the UCF data contained in the UCF database with the existing UCF data stored on the SQL database.
The process 1600 runs a batch file, ‘Backupdb.bat’ for generating a backup of the existing database used by the security compliance analysis system and saved as, for example, ‘ucfdbbackup’ with ‘.bak’ extension. (Step 1606). C# code is written to copy three (UCF_Authority_Documents_List, UCF_CE_List, UCF_Citation_List) XML files to the xml folder of the UCF import. To delete all the remaining XSLT files except the three mentioned above from the SQL server import XSLT folder.
The process runs a UCF import batch file that move the above-mentioned three SQL files and their tables to UCF SQL file. (Step 1608). These three SQL files will run through a batch file named, for example, ‘Run sql script. Bat’, which is under a batch file folder.
The process 1600 executes a SQL stored procedure to compare the contents of the three above-referenced tables from the UCF database import with the existing database based on four conditions—SNED (S-same, N-new, E-edit, D-deprecated). The records that are same in both the databases are left untouched where we insert all the new records into the security compliance analysis system database.
In particular, the process 1600 identifies any records in the imported UCF database that are new. (Step 1610) For any imported database record determined to be new, the process 1600 causes the security compliance analysis system to insert each of the new records into the database. (Step 1612). The process 1600 identifies any records in the imported UCF database that are marked to be edits. (Step 1614). The records that are to be edited are updated. (Step 1616). The process 1600 identifies any records marked with ‘ID’, i.e., any records that have deprecated and which are hidden from the display to the users. (Step 1618). A depreciated record may correspond to a record that is no longer valid. For example when a law is repealed, the related regulations, standards, leading practices, etc. may no longer be valid. The process 1600 then updates the records according to the records identified as deprecated (Step 1620), such as by suppressing the deprecated record in the SQL database, or removing the record.
The disclosed methods, processes, programs, and/or instructions may be encoded in a signal-bearing medium, a computer-readable medium such as a memory, programmed within a device such as on one or more integrated circuits, or processed by a controller or a computer processor. If the methods are performed by software, the software may reside in a memory resident to or interfaced to a communication interface, or any other type of non-volatile or volatile memory. The memory may include an ordered listing of executable instructions for implementing logical functions. A logical function may be implemented through digital circuitry, through source code, through analog circuitry, or through an analog source such as that occurring through an analog electrical, audio, or video signal. The software may be embodied in any computer-readable or signal-bearing medium, for use by, or in connection with, an instruction executable system, apparatus, or device. Such a system may include a computer-based system, a processor-containing system, or another system that may selectively fetch instructions from an instruction executable system, apparatus, or device that may also execute instructions.
The security compliance analysis system may provide the interfaces 1800 and 1900 in
A question may be associated with a regulation, leading practice, law, security requirement, etc. If a definition exists for that particular regulation it is displayed in ‘Definition’ box. The administrator can add the definition to a regulation if there exists and can also modify it. For a given AD ID, the region and country that a particular regulation belongs to may be seen in the interface 1700. From drop down lists provided in the interface 1700, the administrator can change both the region and country of a regulation.
If the regulation will be identified as a leading practice and the option is made ‘yes’, then only URL, leading practices name and leading practices category fields will be displayed. The URL of that regulation in the window may be fetched from the database. If the leading practice option is made ‘yes,’ the security compliance analysis system may provide fields, as shown in
As part of the manage controls option 1506, the security compliance analysis system may render the interface 2100 which provides the administrator with the option to delete or edit each company security offering. The edit option allows the administrator to edit the existing security offering. If the administrator selects the edit options for a particular offering, the security compliance analysis system may render an ‘Edit Offerings’ pop-up window 2200 (shown in
In the same window 2200, the administrator can edit the ‘Regional SME Contacts’ details also. As shown in
The interface 2100 also provides the following additional options: Add New Offering, and Add/Edit Contacts. Upon selecting the ‘Add New Offering’ option, the security compliance analysis system may render the pop-up window shown in
Upon selecting the ‘Add/Edit Contacts’ option, the security compliance analysis system may render the pop-up window 2400 shown in
In the interface 2500 security compliance analysis system displays the reports generated between a particular period based on ‘from’ and ‘to’ dates that may be selected by the administrator. The security compliance analysis system may display a consolidated list of all the reports for that selected period along with a status of each report, including whether it is in progress or completed. The interface 2500 also provides a pane zoom option along with refresh, print and export options. To export the report list, the administrator may select a preferred format (Excel or Pdf) and click on ‘Export’: the security compliance analysis system will then generate the list in the selected format. The interface 2500 also provides a ‘print’ option to print the consolidated report.
In the interface 2600 shown in
The user that is going to be assigned as an administrator may have privileges for data mapping and report generation. A security expert may be authorized to access the expert interface and a super administrator will have control to all user interfaces rendered by the system. A ‘Save’ button is provided to save the newly added list to the database. In some embodiments, only the ‘Super Admin’ will have the rights to delete the users with the ‘delete’ button provided against each user.
Exemplary aspects, features, and components of the system are described above. However, the system may be implemented in many different ways. For example, although some features are shown stored in computer-readable memories (e.g., as logic implemented as computer-executable instructions or as data structures in memory), all or part of the system and its logic and data structures may be stored on, distributed across, or read from other machine-readable media. The media may include hard disks, floppy disks, CD-ROMs, a signal, such as a signal received from a network or received over multiple packets communicated across the network.
The system may be implemented with additional, different, or fewer components. As one example, a processor may be implemented as a microprocessor, a microcontroller, a DSP, an application specific integrated circuit (ASIC), discrete logic, or a combination of other types of circuits or logic. As another example, memories may be DRAM, SRAM, Flash or any other type of memory. The processing capability of the system may be distributed among multiple components, such as among multiple processors and memories, optionally including multiple distributed processing systems. Parameters, databases, and other data structures may be separately stored and managed, may be incorporated into a single memory or database, may be logically and physically organized in many different ways, and may implemented with different types of data structures such as linked lists, hash tables, or implicit storage mechanisms. Logic, such as programs or circuitry, may be combined or split among multiple programs, distributed across several memories and processors, and may be implemented in a library, such as a shared library (e.g., a dynamic link library (DLL)). The DLL, for example, may store code that prepares intermediate mappings or implements a search on the mappings. As another example, the DLL may itself provide all or some of the functionality of the system, tool, or both.
While various embodiments of the invention have been described, it will be apparent to those of ordinary skill in the art that many more embodiments and implementations are possible within the scope of the invention. Accordingly, the invention is not to be restricted except in light of the attached claims and their equivalents.
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