Hybrid Meta-Directory for Real-Time Access Validation
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Solution Overview
Problem
Traditional audit and compliance tools are inadequate to meet the real-time assessment and monitoring requirements of the Sarbanes-Oxley Act, particularly in ensuring compliance with §404, and fail to effectively manage access validation and separation of duties across multiple job functions.
Innovation Solution
A hybrid meta-directory system that assigns privilege identifiers, stores them in a privilege repository, and uses an authoritative source domain to manage user access, enabling self-service resource provisioning with contextual workflow approval and separation of duty detection to ensure compliance with Sarbanes-Oxley Act requirements.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Reliability
If traditional audit and compliance tools are used, then the system is simple to operate, but they are inadequate to meet real-time assessment and monitoring requirements of the Sarbanes-Oxley Act
Solution Approach 1:
The access management system is segmented into multiple components: a hybrid meta-directory for privilege storage, an authoritative source domain for user information, a self-service interface for privilege requests, and a workflow approval system. This segmentation allows each component to specialize in specific functions, enabling real-time compliance monitoring while maintaining manageable complexity through modular architecture.
Solution Approach 2:
The patent introduces an intermediary validation mechanism that sits between the privilege repository and the actual resource access. This intermediary layer validates access requests against separation of duty rules and compliance policies in real-time, ensuring Sarbanes-Oxley compliance without requiring complete system redesign. The intermediary acts as a gatekeeper that enforces compliance rules while allowing legitimate access to proceed.
2Productivity
If manual access management is used, then the system is easy to implement, but it creates high administrative burden and cannot provide real-time validation
Solution Approach 1:
The patent implements a self-service interface that allows users to autonomously request privileges and view their access rights without administrative intervention. Users can submit privilege requests through the self-service portal, which automatically routes them through the workflow approval process. This eliminates the need for administrators to manually process each privilege request, significantly reducing administrative burden and time consumption while maintaining audit trails for compliance purposes.
Solution Approach 2:
The system performs preliminary validation of privilege requests against separation of duty rules and compliance policies before actual access is granted. The workflow approval process pre-validates requests, and the hybrid meta-directory pre-stores privilege information for rapid validation. This preliminary action prevents invalid access requests from proceeding, reducing the time administrators would otherwise need to spend on post-hoc validation and dispute resolution.
3Reliability
If comprehensive access tracking is implemented, then compliance monitoring is improved, but system complexity and security risks increase
Solution Approach 1:
User information and privilege information are segmented into separate storage locations: user information resides in the authoritative source domain while privileges are stored in the hybrid meta-directory. This segmentation limits the scope of potential security breaches - if one storage location is compromised, the other remains protected. It also enables specialized security measures for each storage location based on its specific requirements.
Solution Approach 2:
The patent introduces an intermediary validation mechanism that acts as a security layer between the privilege repository and resource access. This intermediary validates access requests in real-time against separation of duty rules and compliance policies, preventing unauthorized access even if privilege information is exposed. The intermediary ensures that comprehensive tracking does not compromise security by adding an additional validation layer that must be bypassed for unauthorized access to occur.
Data Source
AI summary
One or more techniques for access validation are provided. Access validation may be performed automatically or in real-time. Access validation may be at the resource level or at a sub-resource level. Techniques provided herein may be applied in a large variety of situations and industries, e.g. compliance management or inventory. Access validation reports may be generated in real-time or may link to indications of access validation in real-time. Five outcomes or options are provided, including affirmative, negative, stronger negative with larger implication, undetermined, and negative, however with temporarily granted access. A field for allowing entry of justification for access to a particular resource is provided. Reminders to validate privileges are provided. A continuous access validation process is provided. A technique for extending the hierarchy and corresponding workflow that is generated thereof is provided.