Policies, Standards, and Planning

Objectives
• Define management’s role in the development,
maintenance, and enforcement of information
security policy, standards, practices, procedures,
and guidelines
• Describe an information security blueprint, identify
its major components, and explain how it is used to
support the network security program
• discuss how an organization institutionalizes its
policies, standards, and practices using education,
training, and awareness programs
• Explain what contingency planning is and how incident
response planning, disaster recovery planning, and
business continuity plans are related to contingency
planning
 Introduction

• Creation of information security program begins with

creation and/or review of organization’s information
security policies, standards, and practices
• Then, selection or creation of information security
architecture and the development and use of a
detailed information security blueprint creates plan
for future success
• Without policy, blueprints, and planning,
organization is unable to meet information security
needs of various communities of interest
 Information Security Policy, Standards
and Practices
• Communities of interest must consider policies
as basis for all information security efforts
• Policies direct how issues should be addressed
and technologies used
• Security policies are least expensive controls to
execute but most difficult to implement
• Shaping policy is difficult
 Definitions
• Policy: course of action used by organization to
convey instructions from management to those
who perform duties
• Policies are organizational laws
• Standards: more detailed statements of what
must be done to comply with policy
• Practices, procedures and guidelines effectively
explain how to comply with policy
• For a policy to be effective, must be properly
disseminated, read, understood and agreed to
by all members of organization
Policies, Standards, and Practices
 Enterprise Information Security Policy
(EISP)
• Sets strategic direction, scope, and tone for all
security efforts within the organization
• Executive-level document, usually drafted by or
with CIO of the organization
• Typically addresses compliance in two areas
– Ensure meeting requirements to establish program
and responsibilities assigned therein to various
organizational components
– Use of specified penalties and disciplinary action
Issue-Specific Security Policy (ISSP)
• The ISSP:
– Addresses specific areas of technology
– Requires frequent updates
– Contains statement on organization’s position on
specific issue
• Three approaches when creating and managing
ISSPs:
– Create a number of independent ISSP documents
– Create a single comprehensive ISSP document
– Create a modular ISSP document
 Systems-Specific Policy (SysSP)

• SysSPs frequently codified as standards and

procedures used when configuring or
maintaining systems

• Systems-specific policies fall into two groups

– Access control lists (ACLs)

– Configuration rules
 Systems-Specific Policy (SysSP)
(continued)
• Both Microsoft Windows and Novell Netware
5.x/6.x families translate ACLs into
configurations used to control access
• ACLs allow configuration to restrict access from
anyone
and anywhere
• Rule policies are more specific to operation of a
system than ACLs
• Many security systems require specific
configuration scripts telling systems what actions
to perform on each set of information they
process
 Policy Management

• Policies must be managed as they constantly

change
• To remain viable, security policies must have:
– Individual responsible for reviews
– A schedule of reviews
– Method for making recommendations for reviews
– Specific policy issuance and revision date
 Information Classification

• Classification of information is an important

aspect of policy
• Policies are classified
• A clean desk policy stipulates that at end of
business day, classified information must be
properly stored and secured
• In today’s open office environments, may be
beneficial to implement a clean desk policy
 The Information Security Blueprint
• Basis for design, selection, and implementation of all
security policies, education and training programs,
and technological controls
• More detailed version of security framework (outline
of overall information security strategy for
organization)
• Should specify tasks to be accomplished and the
order in which they are to be realized
• Should also serve as scalable, upgradeable, and
comprehensive plan for information security needs
for coming years
 ISO 17799/BS7799

• One of the most widely referenced and often

discussed security models

• Framework for information security that states

organizational security policy is needed to
provide management direction and support
 NIST Security Models

• Another possible approach described in

documents available from Computer Security
Resource Center of NIST
– SP 800-12
– SP 800-14
– SP 800-18
– SP 800-26
– SP 800-30
 NIST Special Publication 800-14
• Security supports mission of organization; is an
integral element of sound management
• Security should be cost-effective; owners have
security responsibilities outside their own
organizations
• Security responsibilities and accountability
should be made explicit; security requires a
comprehensive and integrated approach
• Security should be periodically reassessed;
security is constrained by societal factors
• 33 Principles enumerated
 IETF Security Architecture

• Security Area Working Group acts as advisory

board for protocols and areas developed and
promoted by the Internet Society

• RFC 2196: Site Security Handbook covers five

basic areas of security with detailed discussions
on development and implementation
 VISA International Security Model
• VISA International promotes strong security
measures and has security guidelines
• Developed two important documents that improve
and regulate information systems: “Security
Assessment Process”; “Agreed Upon Procedures”
• Using the two documents, security team can
develop sound strategy the design of good security
architecture
• Only down side to this approach is very specific
focus on systems that can or do integrate with
VISA’s systems
Baselining and Best Business Practices
• Baselining and best practices are solid methods
for collecting security practices, but provide less
detail than a complete methodology
• Possible to gain information by baselining and
using best practices and thus work backwards to
an effective design
• The Federal Agency Security Practices (FASP)
site (fasp.nist.gov) designed to provide best
practices for public agencies and adapted easily
to private institutions
Hybrid Framework for a Blueprint of an
Information Security System
• Result of a detailed analysis of components of
all documents, standards, and Web-based
information described previously

• Offered here as a balanced introductory

blueprint for learning the blueprint development
process
 Hybrid Framework for a Blueprint of an
Information Security System (continued)

• NIST SP 800-26
– Management controls cover security processes
designed by the strategic planners and performed by
security administration

– Operational controls deal with operational

functionality of security in organization

– Technical controls address tactical and technical

issues related to designing and implementing security
in organization
 Design of Security Architecture

• Defense in depth
– Implementation of security in layers
– Requires that organization establish sufficient security
controls and safeguards so that an intruder faces
multiple layers of controls
• Security perimeter
– Point at which an organization’s security protection
ends and outside world begins
– Does not apply to internal attacks from employee
threats or on-site physical threats
 Key Technology Components
• Firewall: device that selectively discriminates
against information flowing into or out of
organization

• Demilitarized zone (DMZ): no-man’s land

between inside and outside networks where
some organizations place Web servers

• Intrusion Detection Systems (IDSs): in effort to

detect unauthorized activity within inner
network, or on individual machines,
organization may wish to implement an IDS
Figure 5-18 – Key Components
• Click here for Security Models detail info
 Security Education, Training, and
Awareness Program
• As soon as general security policy exist, policies
to implement security education, training and
awareness (SETA) program should follow
• SETA is a control measure designed to reduce
accidental security breaches
• Security education and training builds on the
general knowledge the employees must possess
to do their jobs, familiarizing them with the way
to do their jobs securely
• The SETA program consists of three elements:
security education; security training; and security
awareness
 Security Education
• Everyone in an organization needs to be trained
and aware of information security; not every
member needs formal degree or certificate in
information security
• When formal education for individuals in
security is needed, an employee can identify
curriculum available from local institutions of
higher learning or continuing education
• A number of universities have formal
coursework in information security
 Security Training

• Involves providing members of organization with

detailed information and hands-on instruction
designed to prepare them to perform their duties
securely
• Management of information security can develop
customized in-house training or outsource the
training program
 Security Awareness

• One of least frequently implemented but most

beneficial programs is the security awareness
program
• Designed to keep information security at the
forefront of users’ minds
• Need not be complicated or expensive
• If the program is not actively implemented,
employees begin to “tune out” and risk of
employee accidents and failures increases
 Continuity Strategies
• Incident response plans (IRPs); disaster
recovery plans (DRPs); business continuity
plans (BCPs)
• Primary functions of above plans
– IRP focuses on immediate response; if attack
escalates or is disastrous, process changes to
disaster recovery and BCP
– DRP typically focuses on restoring systems after
disasters occur; as such, is closely associated with
BCP
– BCP occurs concurrently with DRP when damage is
major or long term, requiring more than simple
restoration of information and information resources
Contingency Planning Timeline
 Continuity Strategies (continued)
• Before planning can begin, a team has to plan
effort and prepare resulting documents
• Champion: high-level manager to support,
promote, and endorse findings of project
• Project manager: leads project and makes sure
sound project planning process is used, a
complete and useful project plan is developed,
and project resources are prudently managed
• Team members: should be managers or their
representatives from various communities of
interest: business, IT, and information security
Major Steps in Contingency
Planning
 Incident Response Planning
• Incident response planning covers identification
of, classification of, and response to an incident
• Attacks classified as incidents if they:
– Are directed against information assets
– Have a realistic chance of success
– Could threaten confidentiality, integrity, or
availability of information resources
• Incident response (IR) is more reactive, than
proactive, with the exception of planning that
must occur to prepare IR teams to be ready to
react to an incident
 Incident Planning
• First step in overall process of incident response
planning
• Pre-defined responses enable organization to
react quickly and effectively to detected incident
if:
– Organization has IR team
– Organization can detect incident
• IR team consists of individuals needed to handle
systems as incident takes place
• Planners should develop guidelines for reacting
to and recovering from incident
 Incident Detection

• Most common occurrence is complaint about

technology support, often delivered to help desk

• Careful training needed to quickly identify and

classify an incident

• Once attack is properly identified, organization

can respond
 Incident Reaction

• Consists of actions that guide organization to

stop incident, mitigate impact of incident, and
provide information for recovery from incident

• In reacting to an incident there are actions that

must occur quickly:

– Notification of key personnel

– Documentation of incident
 Incident Containment Strategies

• Before incident can be contained, areas

affected must be determined

• Organization can stop incident and

attempt to recover control through a
number or strategies
 Incident Recovery

• Once incident has been contained, and control

of systems regained, the next stage is recovery
• First task is to identify human resources needed
and launch them into action
• Full extent of the damage must be assessed
• Organization repairs vulnerabilities, addresses
any shortcomings in safeguards, and restores
data and services of the systems
 Damage Assessment
• Several sources of information on damage,
including system logs; intrusion detection logs;
configuration logs and documents;
documentation from incident response; and
results of detailed assessment of systems and
data storage
• Computer evidence must be carefully collected,
documented, and maintained to be acceptable in
formal proceedings
• Individuals who assess damage need special
training
 Recovery

• Once extent of damage determined,

recovery process can begin

• Process involves much more than simple

restoration of stolen, damaged, or
destroyed data files
 Automated Response

• New systems can respond to incident threat

autonomously

• Downsides of current automated response

systems may outweigh benefits

• Entrapment is luring an individual into

committing a crime to get a conviction

• Enticement is legal and ethical, while

entrapment is not
 Disaster Recovery Planning
• Disaster recovery planning (DRP) is planning the
preparation for and recovery from a disaster
• The contingency planning team must decide which
actions constitute disasters and which constitute
incidents
• When situations classified as disasters, plans
change as to how to respond; take action to secure
most valuable assets to preserve value for the
longer term
• DRP strives to reestablish operations at the primary
site
 Crisis Management
• Actions taken during and after a disaster
focusing on people involved and addressing
viability of business
• Crisis management team responsible for
managing event from an enterprise perspective
and covers:
– Supporting personnel and families during crisis
– Determining impact on normal business operations
and, if necessary, making disaster declaration
– Keeping the public informed
– Communicating with major customers, suppliers,
partners, regulatory agencies, industry organizations,
the media, and other interested parties
 Business Continuity Planning

• Outlines reestablishment of critical business

operations during a disaster that impacts operations
• If disaster has rendered the business unusable for
continued operations, there must be a plan to allow
business to continue functioning
• Development of BCP somewhat simpler than IRP or
DRP; consists primarily of selecting a continuity
strategy and integrating off-site data storage and
recovery functions into this strategy
 Continuity Strategies
• There are a number of strategies for planning for
business continuity
• Determining factor in selecting between options
usually cost
• In general there are three exclusive options: hot
sites; warm sites; and cold sites
• Three shared functions: time-share; service
bureaus; and mutual agreements
 Off-Site Disaster Data Storage

• To get sites up and running quickly, organization

must have ability to port data into new site’s
systems
• Options for getting operations up and running
include:
– Electronic vaulting
– Remote journaling
– Database shadowing
Model For a Consolidated Contingency
Plan

• Single document set approach supports

concise planning and encourages smaller
organizations to develop, test, and use IR
and DR plans

• Model is based on analyses of disaster

recovery and incident response plans of
dozens of organizations
 The Planning Document

• Six steps in contingency planning process

– Identifying mission- or business-critical functions
– Identifying resources that support critical functions
– Anticipating potential contingencies or disasters
– Selecting contingency planning strategies
– Implementing contingency strategies
– Testing and revising strategy
 Law Enforcement Involvement
• When incident at hand constitutes a violation of
law, organization may determine involving law
enforcement is necessary
• Questions:
– When should organization get law enforcement
involved?
– What level of law enforcement agency should be
involved (local, state, federal)?
– What happens when law enforcement agency is
involved?
• Some questions are best answered by
organization’s legal department
 Benefits and Drawbacks of Law
Enforcement Involvement

• Involving law enforcement agencies has

advantages:
– Agencies may be better equipped at processing
evidence
– Organization may be less effective in convicting
suspects
– Law enforcement agencies prepared to handle
warrants and subpoenas needed
– Law enforcement skilled at obtaining witness
statements and other information collection
 Benefits and Drawbacks of Law
Enforcement Involvement (continued)

• Involving law enforcement agencies has

disadvantages:
– Once a law enforcement agency takes over case,
organization loses complete control over chain of
events
– Organization may not hear about case for weeks or
months
– Equipment vital to the organization’s business may be
tagged evidence
– If organization detects a criminal act, it is legally
obligated to involve appropriate law enforcement
officials
 Summary

• Management has essential role in development,

maintenance, and enforcement of information
security policy, standards, practices, procedures,
and guidelines

• Information security blueprint is planning

document that is basis for design, selection, and
implementation of all security policies, education
and training programs, and technological
controls