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HIPPA and SOX compliance

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Subject Author Date
HIPPA and SOX compliance Patrick Matthews 05-08-2007
Posted by Patrick Matthews on May 8, 2007, 2:16 pm
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I am looking for a good, quality 3rd party software that will monitor our
primary files servers. We have 4 file servers, averageing about 25TB of data
on each. We have roughly 6000 users. All servers are Win2K3 R2, all
workstations are Windows XP Pro. We need to be able to audit when files and
folders have been created, modified, deleted, restored and by who at any
given time. Also need to be able monitor any form of security changes that
occur on any files or folders. Accuracy and performance are of utmost
importance, in that order. Any suggestions are greatly welcomed. Thanks



Posted by S. Pidgorny on May 9, 2007, 4:39 am
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Patrick, whatever you do will rely on the file system's in-built access
audit capability. If your file servers are using NTFS on Windows then you
are looking basically at enabling NTFS audit and managing Windows event
logs. Other operating systems and filesystems work differently.

In order to achieve SOX compliance you need to identify the risk, implement
the control and produce evidence that the control is enforced. Practically
you need to create a number of what-if scenarios planning your
implementation - just to make sure what you're planning satisfies SOX
auditors. Not sure is HIPAA is more specific with their requirements.

--
Svyatoslav Pidgorny, MS MVP - Security, MCSE
-= F1 is the key =-

* http://sl.mvps.org * http://msmvps.com/blogs/sp *

>I am looking for a good, quality 3rd party software that will monitor our
>primary files servers. We have 4 file servers, averageing about 25TB of
>data on each. We have roughly 6000 users. All servers are Win2K3 R2, all
>workstations are Windows XP Pro. We need to be able to audit when files
>and folders have been created, modified, deleted, restored and by who at
>any given time. Also need to be able monitor any form of security changes
>that occur on any files or folders. Accuracy and performance are of utmost
>importance, in that order. Any suggestions are greatly welcomed. Thanks
>



Posted by Flash3200 on May 9, 2007, 9:03 am
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Take a look at NetPro... (www.netpro.com). This company has some
software that we've been trying to get a project together to purchase
to help us with our own auditing for SOX and is one of the few that
does both AD Security auditing as well as File Server change audits.
Also, Microsoft has purchased Winternals and looks like it might start
doing a good portion of the same types of auditing.


> Patrick, whatever you do will rely on the file system's in-built access
> audit capability. If your file servers are using NTFS on Windows then you
> are looking basically at enabling NTFS audit and managing Windows event
> logs. Other operating systems and filesystems work differently.
>
> In order to achieve SOX compliance you need to identify the risk, implement
> the control and produce evidence that the control is enforced. Practically
> you need to create a number of what-if scenarios planning your
> implementation - just to make sure what you're planning satisfies SOX
> auditors. Not sure is HIPAA is more specific with their requirements.
>
> --
> Svyatoslav Pidgorny, MS MVP - Security, MCSE
> -= F1 is the key =-
>
> *http://sl.mvps.org*http://msmvps.com/blogs/sp*
>
>
>
>
>
> >I am looking for a good, quality 3rd party software that will monitor our
> >primary files servers. We have 4 file servers, averageing about 25TB of
> >data on each. We have roughly 6000 users. All servers are Win2K3 R2, all
> >workstations are Windows XP Pro. We need to be able to audit when files
> >and folders have been created, modified, deleted, restored and by who at
> >any given time. Also need to be able monitor any form of security changes
> >that occur on any files or folders. Accuracy and performance are of utmost
> >importance, in that order. Any suggestions are greatly welcomed. Thanks- Hide
quoted text -
>
> - Show quoted text -



Posted by Danny Sanders on May 9, 2007, 12:49 pm
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I would suggest a preliminary audit of the files on the server. Divide them
up into at least 3 categories. One would be "If this information got out it
would ruin the company" Information in this category would include info that
a competitor could use to get an advantage over your company. It would
include information that would cause negative press (loss of business
because of damage to the company reputation).

You would audit the files on the server by asking questions to the
department heads. The main question would be "what would happen if this
folder somehow got released to the public?"

The second category would be information that needs to be kept secure
between departments in the same company. Payroll information, user's
personal information etc..

The third category would be made up of information that is public knowledge.
Website content, press releases, etc...

This would allow you to refine and target your auditing to get the most
benefit. One possible solution would be to move all the folders in category
1 to a single server, tighten it down and audit it properly.

hth
DDS




>I am looking for a good, quality 3rd party software that will monitor our
>primary files servers. We have 4 file servers, averageing about 25TB of
>data on each. We have roughly 6000 users. All servers are Win2K3 R2, all
>workstations are Windows XP Pro. We need to be able to audit when files
>and folders have been created, modified, deleted, restored and by who at
>any given time. Also need to be able monitor any form of security changes
>that occur on any files or folders. Accuracy and performance are of utmost
>importance, in that order. Any suggestions are greatly welcomed. Thanks
>



Posted by Michael D. Ober on May 9, 2007, 1:10 pm
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You can have Windows itself do the auditing. What you really need is a tool
to read the windows security logs.

Mike.

>I would suggest a preliminary audit of the files on the server. Divide them
>up into at least 3 categories. One would be "If this information got out it
>would ruin the company" Information in this category would include info
>that a competitor could use to get an advantage over your company. It would
>include information that would cause negative press (loss of business
>because of damage to the company reputation).
>
> You would audit the files on the server by asking questions to the
> department heads. The main question would be "what would happen if this
> folder somehow got released to the public?"
>
> The second category would be information that needs to be kept secure
> between departments in the same company. Payroll information, user's
> personal information etc..
>
> The third category would be made up of information that is public
> knowledge. Website content, press releases, etc...
>
> This would allow you to refine and target your auditing to get the most
> benefit. One possible solution would be to move all the folders in
> category 1 to a single server, tighten it down and audit it properly.
>
> hth
> DDS
>
>
>
>
>>I am looking for a good, quality 3rd party software that will monitor our
>>primary files servers. We have 4 file servers, averageing about 25TB of
>>data on each. We have roughly 6000 users. All servers are Win2K3 R2, all
>>workstations are Windows XP Pro. We need to be able to audit when files
>>and folders have been created, modified, deleted, restored and by who at
>>any given time. Also need to be able monitor any form of security changes
>>that occur on any files or folders. Accuracy and performance are of utmost
>>importance, in that order. Any suggestions are greatly welcomed. Thanks
>>
>
>




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