Critical function monitoring and compliance auditing system

• US 20070136814A1
• Filed: 12/12/2005
• Published: 06/14/2007
• Est. Priority Date: 12/12/2005
• Status: Abandoned Application

• Current Assignee: Bruce Hatfax, Jeffrey Wingad, Michael G. Lee
• Original Assignee: Bruce Hatfax, Jeffrey Wingad, Michael G. Lee
• Inventors: Lee, Michael, Hatfax, Bruce, Wingad, Jeffrey
• Application Number:
  US11/299,049
• Publication Number:
  US 20070136814A1
• Time in Patent Office: Days
• US Class Current: 726/25
• CPC Class Codes: G06F 21/552 involving long-term monitoring or reporting

Abstract

A system and method for monitoring, auditing and flagging compliance issues or other user defined exceptions with user defined systems for internal monitoring of adherence to critical functions and operations or systems such as ISO-9000 and other government mandated requirements such as HIPPA and other mandated security provisions as defined in federal and state legislative acts and derivative rules as defined by government agencies under authority of such legislative acts.

Claims

1. A system for monitoring, auditing and flagging exceptions or compliance issues comprising the following process steps and apparatus:

a. A computer processor means for identifying and tracking a plurality of business processes and comparative data requirements, and

b. computer storage means for storing data on a storage medium, and

c. a first executable method for processing comparative data for matching required entries and their parameters and for flagging specified exceptions, inconsistencies and anomalies to a secondary portion of said storage medium or history log files, and

d. a second executable method and means for output of the data and exception reports as required on the local computer processor or by authorized LAN or WAN remote access, and

e. a means of providing security of data and allowing local and LAN or WAN remote access or query of said data to only pre-authorized servers or personnel, and

2. The system of claim 1, wherein a means to upload updated versions of the executables and new system requirement specifications and data reporting fields can be accomplished either manually or automatically locally or by remote server, and

3. The system of claim 1, wherein a means to apply a time and date stamp on the data, compliance status, exceptions, system network configuration, identity and number of computers and access log files, and

4. The system of claim 1, wherein a means to apply history log files for a plurality of data fields for checking user defined fields, ISO-9000 fields or HIPPA fields or other critical system function fields including but not limited to fields such as;

1 Anti Virus 2 Anti Virus Product Installed 3 Anti Virus Product Configuration 4 Anti Virus Running Tasks 5 Data Backup 6 Number of Drives To Scan 7 Number of Drives Scanned 8 Number of Fixed Media Devices 9 Number of Removable Media Devices 10 Number of File Folders 11 Number of Files 12 Number of System and Application Program Files 13 Number of “

User”

Files 14 Number of Encrypted Files 15 Number of “

User”

Files Never Backed-Up 16 Number of “

User”

Files Changed Since Back-Up 17 Number of “

User”

Files Changed Today 18 Number of “

User”

Files to Back-Up Tonight 19 File Security 20 Device Network Shares 21 Registry Keys 22 Windows Registry Hive “

CLASSES_ROOT”

23 Users 24 Machine 25 Security Policy 26 Sample Applications 27 Parent Paths 28 IIS Logging Enabled 29 Local Account Password Test 30 Windows File System 31 Windows File System 32 Password Expiration 33 User Has Administrator Authority 34 Internet Connection Firewall 35 Windows Services 36 Minimum Password Length 37 Minimum Password Age 38 Require Logon To Change Password 39 Number of Failed Login Attempts before User Account is Locked Out 40 Force Windows User LogOff outside of scheduled working hours 41 New Administrator Name 42 New Guest Name 43 Enable Admin Account 44 Reset User Account Lockout Count 45 Set Time/Duration How Long is Locked-Out Account Disabled 46 Maximum Log Size 47 Audit Log Retention Period 48 Maximum Log Size 49 Audit Log Retention Period 50 Retention Days 51 Maximum Log Size 52 Audit Log Retention Period 53 Audit Windows User Logon Events 54 Audit Privilege Use 55 Audit Changes Made to Windows Policies 56 Audit Changes Made to Windows User Accounts 57 Audit Access Attempts to Windows Directory Services 58 Audit Windows User Logon Attempts 59 Remove Option 60 Windows “

clt-alt-del”

Disabled (i.e. If enabled, Windows User Login is NOT Required) 61 Permit Laptop to Undock Without Logon 62 Incompatibility Level 63 LAN Manager Hash Not Required 64 Restrict Anonymous 65 Authority to Add Printer Drivers 66 enable security signature 67 Require Digital Signature or Digital Seal 68 Parameters 69 Refuse Password Change 70 Null Session Shares 71 Null Session Pipes 72 Windows Batch Submit Authority 73 No Default Admin Owner 74 Force Guest 75 FIPS Algorithm Policy 76 Allow Windows Shutdown Without Logon 77 Macro Security 78 Security Updates 79 Security Updates for Windows 80 Microsoft Windows NT 4.0 81 Microsoft Windows 2000 82 Microsoft Windows XP 83 Microsoft Windows Server 2003 84 Microsoft Internet Information Server (IIS) 85 Microsoft SQL Server 86 Microsoft Exchange Server 2003 87 Microsoft BizTalk Server 2000, 2002, and 2004 88 Microsoft Commerce Server 2000 and 2002 89 Microsoft Content Management Server 2001 and 2002 90 Microsoft Host Integration Server 2000, 2004 91 Microsoft SNA Server 4.0 92 Microsoft Windows Components 93 Microsoft Data Access Components (MDAC) 94 Microsoft Data Access Components (MDAC) 2.5, 2.6, 2.7, and 2.8 95 Microsoft Virtual Machine 96 MSXML 2.5, 2.6, 3.0, and 4.0 97 Internet Connection Firewall configuration check 98 Automatic Updates configuration check 99 IE zone configuration checks (including custom) 100 IE Enhanced Security Configuration checks for Windows Server 2003 101 Microsoft Access 2000 102 Microsoft Access 2000 Runtime 103 Microsoft Access 2002 104 Microsoft Access 2002 Runtime 105 Microsoft Access 2003 106 Microsoft Access 2003 Runtime 107 Microsoft Business Contact Manager for Outlook 2003 108 Microsoft Excel 2000 109 Microsoft Excel 2002 110 Microsoft FrontPage 2002 111 Microsoft FrontPage 2003 112 Microsoft FrontPage 

®

2000 113 Microsoft InfoPath 2003 114 Microsoft Internet Explorer 115 Microsoft Visio 2002 116 Microsoft Office Web Components 2000 117 Microsoft Office Web Components 2002 118 Microsoft Office Web Components 2003 119 Microsoft OneNote 

®

2003 120 Microsoft Outlook 

®

2002 121 Microsoft Outlook 

®

2003 122 Microsoft Outlook 

®

2000 123 Microsoft PhotoDraw 

®

2000 124 Microsoft PowerPoint 

®

2002 125 Microsoft PowerPoint 

®

2003 126 Microsoft PowerPoint 

®

2000 127 Microsoft Project 

®

2002 128 Microsoft Project 

®

2003 129 Microsoft Publisher 

®

2000 130 Microsoft Publisher 

®

2002 131 Microsoft Publisher 

®

2003 132 Microsoft Visio 

®

2003 133 Microsoft Word 

®

2000 134 Microsoft Word 

®

2002 135 Microsoft Word 

®

2003 136 Microsoft Works 

®

Suite 2000, 2001, 2003 137 Windows Media Player 138 SpyWare 139 SpyWare Memory Scan 140 SpyWare Registry Scan 141 SpyWare Program Scan 142 SpyWare Cookie Scan 143 User Rights 144 Users UserGroup 145 Guests UserGroup 146 Administrators UserGroup 147 Network Logon Right 148 Tcb Privilege 149 Machine Account Privilege 150 Backup Privilege 151 Change Notify Privilege 152 Windows System Time Privilege (allowed to change system time) 153 Create Pagefile Privilege 154 CreateToken Privilege 155 Create Permanent Privilege 156 Debug Privilege 157 Remote Shutdown Privilege 158 Audit Privilege 159 Increase Quota Privilege 160 Increase Base Priority Privilege 161 Load Driver Privilege 162 Lock Memory Privilege 163 Batch Logon Right 164 Windows Service Logon Right 165 Interactive Logon Right 166 Security Privilege 167 Windows System Environment Privilege (allowed to modify Windows environment) 168 Profile Single Process Privilege 169 Windows System Profile Privilege (allowed to change user profile) 170 Assign Primary Token Privilege 171 Restore Privilege 172 Windows Shutdown Privilege 173 Windows User Allowed to “

Take Ownership”

of a Resource (e.g. file, folder) 174 Deny Network Logon Right 175 Deny Batch Logon Right 176 Deny Service Logon Right 177 Deny Interactive Logon Right 178 Laptop “

Undock”

Privilege 179 Windows SyncAgent Privilege (Intelli-mirror) 180 Enable Delegation Privilege 181 Manage Volume Privilege 182 Remote Interactive Logon Right 183 Deny Remote Interactive Logon Right

and

5. The system of claim 1 and claim 4, wherein a system compliance status can be checked or simulated prior to going live on the network or submission to internal or external auditing regulatory bodies or agencies for gap system analysis and system deficiency reporting and corrective action, and

6. The system of claim 5, wherein resulting system violations or exceptions can be displayed visually or printed to a user or systems administrator, and

7. The system of claim 1, wherein said system is useable remotely by having means to transmit data to a central processing computer located elsewhere by data communications means and means for returning the processed data, and

8. The means of claim 1 whereby an interface with other remote communication devices can be immediately notified or integrated.