KuppingerCole Report
Advisory Note
By Martin Kuppinger, Matthias Reinwarth

Enterprise role management done right

Role-based access control (RBAC) has become an important part of Access Management and Access Governance. However, defining, implementing and maintaining an enterprise role model remains a substantial task and many projects fail. This document describes best practice approaches towards the right data model, efficient processes and an adequate organization for implementing role management as the foundation for achieving administrative efficiency and maintaining regulatory compliance.

1 Management Summary

Managing access to resources within an organization is one of the essential tasks in Identity and Access Management Systems (IAM). Being able to acces ...

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2 Highlights

  • Enterprise Role Management (ERM) is a strategic approach towards structuring complex organizations, while improving administrative efficiency and co ...
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3 Why Enterprise Role Management?

Enterprise Role Management is a systematic and strategic approach for understanding an organisational structure and for describing and defining enterp ...

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3.1 Controlling access

Role-based access control is a method for controlling access to computers, devices, services, infrastructures or network resources, based on the roles ...

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3.2 Mastering complexity through abstraction

The main idea behind the design of roles is the reduction of complexity in the access management process, in two perspectives. One is relying on entit ...

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4 Embedding role management into the enterprise

Enterprise Role Management needs to be understood as on organisation-wide challenge and on ongoing process. It requires the expertise of a diverse com ...

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4.1 The corporate organisation at the core

Designing an appropriate role hierarchy both suitable for a complex organisation and efficient to deploy for RBAC has proven to be one of the most dif ...

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4.2 Involving the right people

The identification of adequate business roles and thus the structuring of complex enterprise business processes by mapping them to well-defined activi ...

Responsibilities and accountabilities need to be clearly defined, which is typically reflected by the term role ownership. As we will see later in thi ...

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4.3 Role lifecycle management and role governance

It is obvious that an enterprise role design defined at a given point in time needs to change due to changing requirements and constantly evolving sys ...

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5 Role Types: From business roles to application level entitlements

Enterprise Role Management highly relies on the abstraction process from on enterprise strategic level down to an operational system-specific layer. I ...

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5.1 System-level entitlements

The foundation for such a concept is usually the level of basic, typically system-specific permissions or entitlements. This allows to look at individ ...

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5.2 System roles

When looking at Fig.2 we see a clear dividing line between the upper end of the lower half of the image. With the depicted hierarchy going into more d ...

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5.3 Business roles

Today's organisations are complex structures. This is true for almost any type of organisations (including educational and governmental organizations) ...

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5.4 Base roles

In many cases it is useful to design a set of roles, which are not really business roles, but are rather roles that bundle basic entitlements for larg ...

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6 Approaches towards an enterprise role management process

Both bottom-up and top-down approaches at defining role catalogues are possible, but not similarly successful. Hybrid strategies with a strong focus o ...

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6.1 Top-Down approach – Actively designing and shaping roles

The main focus for this approach is on the business and organizational view at an enterprise. Business roles are identified and defined based on the t ...

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6.2 Bottom-Up approach – Mining existing roles

No role concept is built in a green field approach, so there will typically be already existing systems with roles and permissions already in place. S ...

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6.3 The right way to do it: Top-Down, Bottom-Up, mapping everything in the middle

The two main approaches towards role design, as described in the recent chapter are typically driven by different departments within the organisation. ...

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7 Dealing with complexity - Hierarchical role designs

Large organisations and enterprises with diverse, specialized and sophisticated business models require adequate role designs at a similarly adequate ...

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7.1 Requirements for system level roles and entitlements

The overall layout of the lower half of a role design is typically clear: While it is usually indisputable to have system entitlements and derived sys ...

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7.2 Business roles and their hierarchies

On the business side, however, the questions regarding the overall layout of a role design are more complex as the structure and interdependency of th ...

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7.3 Data sources for role information

One important factor for looking at potential layers within an enterprise role design is the availability of authoritative role data as it is usually ...

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7.4 Role information

A crucial aspect for understanding business roles appropriately is the quality of available descriptive information. Providing adequate, accurate and ...

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7.5 Example: Flat, 2-level role hierarchy

Real-life enterprise role designs typically deploy two or three layers of business roles. While more layers are possible they usually do not provide a ...

In many cases simple, two-layer layout for an enterprise role design are fully sufficient. This is especially the case when there is no authoritative ...

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7.6 Example: Three-tier design

This second example shows a substantially different approach: In this case there is an authoritative source for enterprise roles available, which form ...

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8 Common pitfalls

The large number of failed Enterprise Role Management projects across many organizations proves that there are many obstacles and pitfalls that need t ...

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9 Recommendations and Conclusions

Avoiding the above given issues and pitfalls is a key challenge when planning and executing a successful ERM project.

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9.1 Key recommendations

The following recommendations aim at achieving a consistent and sustainable role design:

  • Embed ERM in your organisation as an enterprise task

      ...
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9.2 Conclusion

In many organisations ERM and RBAC lay the foundation for sustainable Access Management and Access Governance frameworks. Striving for a well-defined ...

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10 Appendix A - The underlying concepts: the RBAC standard

Role Based Access Control has been standardized by publishing the American National Standard for Information Technology “Role Based Access Control€...

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10.1 A.1 RBAC0 – The basic concept

The foundation layer is RBAC0 which defines the core concepts and terms object, operation, permission, user, role and session.

Term Definiti ...
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10.2 A.2 RBAC1 – Role Hierarchies

The RBAC1 level adds role hierarchies to RBAC0. This allows to derive roles from already existing roles by adding more permissions to the set of alrea ...

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10.3 A.3 RBAC2 – Constraints, Static and Dynamic Segregation of Duties

To cover the business requirement that functions within the same business process might not be executed by the same user, RBAC2 adds the concept of Se ...

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10.4 A.4 RBAC3 – 1 plus 2 equals 3

The full standard, entitled RBAC3, combines all features of the underlying layers. This version is usually taken as the basic reference standard, alth ...

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