Security Awareness Training

CJIS SECURITY POLICY V5.7

POLICY AREA 5.2
What When
 The protection of Criminal Justice  Basic security awareness training shall be
Information (CJI) originating from the required within six months of initial
Department of Justice (FBI CJIS data). assignment, and biennially thereafter, for all
personnel who have access to CJI.
Who Why
 All authorized personnel with access to  Not only is it required per CJIS Security
(physical or logical) CJI. This includes Policy, it is each individual’s responsibility to
vendors and anyone who works on and or protect CJI with all due diligence. Even the
maintains a technical component that is used most technically and physically secure
to send, receive, process or route a transaction environments are subject to threats due to lack
to or from systems that process or maintains of due diligence and or inappropriate conduct
FBI CJIS data. from the insider.
 Training Levels

 Level 1: Baseline security awareness training for all personnel who have unescorted
assess to a physically secure location.
 Level 2: Security awareness training for all authorized personnel with physical access to
Criminal Justice Information (CJI).
 Level 3: Security awareness training for all authorized personnel with both physical and
logical access to CJI.
 Level 4: Security awareness training for all Information Technology personnel (system
administrators, security administrators, and network administrators, etc.).

**Note – to complete a level of training the previous level(s) also needs to be completed. Example, for level 3 training you must complete
levels 1, 2, and 3.
Level 1
BASELINE SECURITY AWARENESS TRAINING FOR ALL PERSONNEL WHO HAVE
UNESCORTED ASSESS TO A PHYSICALLY SECURE LOCATION.
 Level 1 Key Points

 Rules that describe responsibilities and expected behavior with regard to CJI usage.
 Implications of noncompliance.
 Incident response (Points of contact; Individual actions).
 Visitor control and physical access to spaces—discuss applicable physical security policy
and procedures, e.g., challenge strangers, report unusual activity.
  FBI CJIS data is any data derived from the national
CJIS Division systems.
 Many state CJIS systems (they include state hot file and
criminal history data) contain FBI CJIS data and must
be afforded the same security as national systems. 

What are we  Criminal History Record Information (CHRI) is arrest-

based data and any derivative information from that
protecting? record.
1. Descriptive Data
Rules that describe responsibilities
2. Sentencing Data
and expected behavior with regard
to CJI usage. 3. FBI Number
4. Conviction Status
5. Incarceration
6. Probation & Parole Information
The Interstate Identification Index (III) is also, known as “Triple I” provides for the decentralized
interstate III provides for the decentralized interstate exchange of Criminal History Record
Information (CHRI) and functions as part of the FBI’s CJIS Division’s Integrated Automated
Fingerprint Identification System (IAFIS). All 50 states return automated CCH information to users
based on an inquiry and each state may format their record response differently.
 Under the III, the FBI maintains an index of persons
arrested for felonies or serious misdemeanors
under state or federal law.

III includes identification data such as the name, birth date, race, sex and
FBI/State identification numbers (SIDS) from each state that has information
What are we about an individual.
protecting? Information obtained from the III is considered CHRI and sensitive data and
should be treated as such.
Rules that describe responsibilities
and expected behavior with regard III may only be accessed for an authorized purpose, and may only be used for
to CJI usage. (continued) the purpose for which it was originally accessed.

All users are required to provide a reason for all III inquiries.

A criminal justice agency is defined as the courts, State & federal Inspector
General Offices, and a governmental agency or any subunit thereof that performs
the administration of criminal justice pursuant to a statute or executive order and
that allocates a substantial part of its annual budget to the administration of
criminal justice.
 Voice transmission of a criminal history should be limited, and
details of a criminal history should only be given over a radio or cell
phone when an officer’s safety is in danger or the officer determines
What are we that there is a danger to the public.
protecting? Most of the files/data obtained from the National Crime Information
Center (NCIC) system are considered restricted files.
Rules that describe responsibilities
and expected behavior with regard There are several files that contain CHRI/CCH information and the
to CJI usage. (continued)
dissemination of information should be protected as such:
 Gang File
 Known or Appropriately Suspected Terrorist (KST) File
 Convicted Persons on Supervised Release File
 Immigration Violator File
 National Sex Offender Registry File
 Historical Protection Order File
 Identity Theft File
 What are we protecting?
Rules that describe responsibilities and expected behavior with regard to CJI usage. (continued)

Criminal history record information acquired via CJI Systems is for use by law enforcement and criminal justice agencies for
official criminal justice purposes, consistent with purpose for which the information was requested. Each agency is
responsible for maintaining a set of current written policies and procedures that include how the misuse of the NCIC and
CCH information will be handled. <local agency note these here>

Administration of criminal justice means performing functions of detection, apprehension, detention, pretrial release, post trial
release, prosecution, adjudication, correctional supervision, or rehabilitation of accused persons or criminal offenders by
governmental agencies. The administration of criminal justice includes criminal identification activities and the collection,
processing, storage, and dissemination of criminal justice information by governmental agencies.”

An agency may use a facsimile machine to send a criminal history providing both the sending and receiving agencies have an
ORI and are authorized to receive criminal history information.

Unauthorized requests, receipt, release, interception, dissemination or discussion of FBI CJIS Data/CHRI could result in
criminal prosecution and/or termination of employment.
  Any access of these systems and or dissemination of
information obtained for non-criminal justice
purposes are considered a misuse of the system.
 Of the misuse cases that are investigated, most will stem
from one of the following categories: affairs of the
heart, political motivations, monetary gain, or idle
Implications of curiosity. Many past cases involved an operator trying
to “help out a friend”.
Noncompliance  Unauthorized request, receipt or release of CJI
material can and has resulted in criminal
proceedings.
 Improper use of information obtained from any CJI
System and/or related applications and devices may
be unlawful, violate federal, state and local policies
and may result in prosecution.
 <Placeholder for State/Agency input>
 Incident Response

 A security incident is a violation or possible violation of the technical aspects of the CJIS
Security Policy that threatens the confidentiality, integrity or availability of state/FBI
CJIS data.
 Discuss Agency Policy/Procedures here:
 How, who, and when to contact.
 What is applicable to the local agency for level 1 training?
Unsecured areas that are designated controlled areas
(areas that CJI resides to include communications closets).
 Visitor Control and Physical Access

 All employees are subject to the agency physical protection policy to ensure that the security of CJI is
maintained.
 All employees need to remain cognizant of the designated physically secure areas and ensure that all
personnel abide by access control points, entrance and exit procedures, visitor control and handling
procedures. Employees must ensure that CJI, whether in physical or electronic form, remain in the
secured areas unless they have specific authorization and procedures for taking that information out of
the physically secure area.
 Employees are obligated to report violations and/or suspected violations. Furthermore, employees
should report areas of sensitive access that may be unsecure such as emergency exit doors which may
have been left propped open. Employees need to maintain vigilance in recognizing individuals who
may not have appropriate access and may have been left unescorted.
 <Placeholder for State/Agency input>
Level 2
SECURITY AWARENESS TRAINING FOR ALL AUTHORIZED PERSONNEL WITH
PHYSICAL ACCESS TO CRIMINAL JUSTICE INFORMATION (CJI).
 Level 2 Key Points

 Media Protection
 Protect Information Subject to confidentiality concerns – hardcopy through destruction.
 Proper handling and marking of CJI.
 Threats, vulnerabilities, and risks associated with handling of CJI.
 Social engineering.
 Dissemination and destruction.
 Media Protection

Per CJIS Policy, “Media protection policy and procedures shall be documented and implemented to ensure that access to
electronic and physical media in all forms is restricted to authorized individuals. Procedures shall be defined for securely
handling, transporting and storing media.” All personnel should be trained and familiar with local policy and procedures.

• Media Storage and Access: shall securely store electronic and physical media within physically secure locations or controlled areas. The agency shall restrict
access to electronic and physical media to authorized individuals. (exceptions can be made for encrypted media via consultation with Security Personnel).

• Media Transport: shall protect and control electronic and physical media during transport outside of controlled areas and restrict the activities associated with
transport of such media to authorized personnel.

• Electronic Media in Transit: “Electronic media” means electronic storage media including memory devices in laptops and computers (hard drives) and any
removable, transportable digital memory media, such as magnetic tape or disk, optical disk, flash drives, external hard drives, or digital memory card. Controls
shall be in place to protect electronic media containing CJI while in transport (physically moved from one location to another) to help prevent compromise of the
data. Encryption, as defined in section 5.10.1.2 of this policy, is the optimal control during transport; however, if encryption of the data isn’t possible then each
agency shall institute other controls to ensure the security of the data.
 Media Protection

•Physical Media in Transit: The controls and security measures also apply to CJI in physical
(printed documents, printed imagery, etc.) form. Physical media shall be protected at the
same level as the information would be protected in electronic form.

• Electronic Media Sanitization and Disposal: shall sanitize, that is, overwrite at least three
times or degauss electronic media prior to disposal or release for reuse by unauthorized
individuals. Inoperable electronic media shall be destroyed (cut up, shredded, etc.). The
agency shall maintain written documentation of the steps taken to sanitize or destroy
electronic media. Agencies shall ensure the sanitization or destruction is witnessed or
carried out by authorized personnel .

•Disposal of Physical Media: Physical media shall be securely disposed of when no longer
required, using formal procedures. Formal procedures for the secure disposal or
destruction of physical media shall minimize the risk of sensitive information compromise
by unauthorized individuals. Physical media shall be destroyed by shredding or incineration.
Agencies shall ensure the disposal or destruction is witnessed or carried out by authorized
personnel.
 Protect information subject to confidentiality concerns
(hardcopy through destruction).

 All agencies are required per CJIS Policy to document and implement policy and procedures to ensure that
access to electronic and physical media in all forms is restricted to authorized individuals.
 All agencies shall securely store electronic and physical media within physically secure locations or
controlled areas. If physical and personnel restrictions are not feasible then data shall be encrypted per
section 5.10.1.2 of the CJIS Policy.
 Electronic media consists of memory devices such as hard drives (removable and resident) and transportable
media (flash drives, back-up tapes, optical disks, memory cards). In addition, security measures must ensure
that CJI in physical (printed documents, printed imagery, etc.) form be protected at the same level.
 While encryption is the most optimum form of protection, other measures such as layered physical security
should be implemented and can include tampering proofing, locked cabinets, and secure transport procedures
utilizing vetted personnel such as Law Enforcement Officers. Encryption is the only approved method for
email traffic (outside the control of the CJA) containing CJI.
 Protect information subject to confidentiality concerns
(hardcopy through destruction).

 When media is no longer required, proper sanitization or destruction must be carried out.
 Paper media must be destroyed utilizing approved procedures such as shredding or incineration. Destruction
of electronic media shall be carried out by approved methodologies such as degaussing or drive destruction
involving shredding or other satisfactory means of destruction.
 Sanitization of physical media is accomplished by using approved wiping software ensuring a minimal of a
3-pass wipe.
 It is important to note that sanitization may not be possible for hard drives which fail, therefore, they must
be physically destroyed. Degaussing devices must be periodically tested to ensure operability.
 All sanitization and destruction procedures must be witnessed or carried out by authorized personnel.
 <Placeholder for State/Agency input> (reference destruction procedures/policy)
 Proper Handling and Marking of CJI

 CJI can be leaked inadvertently outside the confines of controlled areas when proper handling and
marking procedures are not followed.
 All physical forms of CJI should be clearly marked and labeled ensuring documents are maintained
according to policy and procedures. It is highly recommended that documents, at a minimum be
clearly labeled. Coversheets designating the sensitive nature of the data and user responsibility in
handling that data should also be considered as an appropriate measure.
 Electronic forms of media can become mishandled rather quickly due to the hidden nature of the
data. Optical media and flash drives should be clearly labeled especially given those forms of
media that are not protected by encryption. Lastly, when email contains sensitive information, it
should be standard practice to label those items as well and to ensure transmission is encrypted
when applicable.
 <Placeholder for State/Agency input>
 Physical Security ~ Increases in Risks to Systems
and Data

 Physical Security basically involves the necessary implementations and methods to enforce access
control to secure areas where CJI is processed, stored and transmitted. Since no one agency is the same,
local policy and procedures are established to ensure that the established security boundaries are not
compromised. This includes not only threats from outsiders but insiders as well.

 CJIS Policy addresses key areas such as:

 5.9.1.6 Monitoring Physical Access

 The agency shall monitor physical access to the information system to detect and respond to physical security incidents.
Terminal areas, Communications Closets/Rooms, Unencrypted communication lines, physical records, etc.

 5.9.1.7 Visitor Control

 The agency shall control physical access by authenticating visitors before authorizing escorted access to the physically secure
location (except for those areas designated as publicly accessible). The agency shall escort visitors at all times and monitor
visitor activity.
 Physical Security ~ Increases in Risks to Systems
and Data (continued)

 5.9.2 Controlled Area

 If an agency cannot meet all of the controls required for establishing a physically secure location, but
has an operational need to access or store CJI, the agency shall designate an area, a room, or a storage
container, as a controlled area for the purpose of day-to-day CJI access or storage. The agency shall, at a
minimum:

1. Limit access to the controlled area during CJI processing times to only those personal authorized by the
agency to access or view CJI.
2. Lock the area, room, or storage container when unattended.
3. Position information system devices and documents containing CJI in such a way as to prevent
unauthorized individuals from access and view.
4. Follow the encryption requirements found in Section 5.10.1.2 for electronic storage (i.e. data “at rest”) of CJI.

 <Placeholder for State/Agency input>

 Social Engineering

 Social Engineering is the art of manipulating people into performing actions or divulging
confidential information. Social Engineering can be accomplished via Pretexting: the
act of creating and using an invented scenario (the pretext) to engage a targeted victim
in a manner that increases the chance the victim will divulge information or perform
actions that would be unlikely in ordinary circumstances… or via Phishing: e-mail that
appears to come from a legitimate business—a bank, or credit card company—
requesting "verification" of information and warning of some dire consequence if it is
not provided. The e-mail usually contains a link to a fraudulent web page that seems
legitimate—with company logos and content—and has a form requesting everything f
from a home address to an ATM card's PIN. Phishing can also be facilitate over the
phone and Interactive Voice Response.
 Dissemination and Destruction

 Information obtained from the III is considered CHRI. Rules governing the access, use,
and dissemination of CHRI are found in Title 28, Part 20, CFR. The III shall be accessed
only for an authorized purpose. Further, CHRI shall only be used for an authorized
purpose consistent with the purpose for which III was accessed. Dissemination to another
agency is authorized if (a) the other agency is an Authorized Recipient of such
information and is being serviced by the accessing agency, or (b) the other agency is
performing personnel and appointment functions for criminal justice employment
applicants.
 Dissemination and Destruction
continued
 The NCIC hosts restricted files and non-restricted files. NCIC restricted files are distinguished from NCIC non-restricted files
by the policies governing their access and use. Proper access to, use, and dissemination of data from restricted files shall be
consistent with the access, use, and dissemination policies concerning the III described in Title 28, Part 20, CFR, and the
NCIC Operating Manual. The restricted files, which shall be protected as CHRI, are as follows:
1. Gang Files
2. Known or Appropriately Suspected Terrorist Files
3. Supervised Release Files
4. National Sex Offender Registry Files
5. Historical Protection Order Files of the NCIC
6. Identity Theft Files
7. Protective Interest Files
8. Person With Information (PWI) data in the Missing Person Files
9. Violent Person File
10. NICS Denied Transactions File
The remaining NCIC files are considered non-restricted files.
 Dissemination and Destruction
continued

 Physical media shall be securely disposed of when no longer required, using formal
procedures. Formal procedures for the secure disposal or destruction of physical media
shall minimize the risk of sensitive information compromise by unauthorized individuals.
Physical media shall be destroyed by shredding or incineration. Agencies shall ensure the
disposal or destruction is witnessed or carried out by authorized personnel.
Level 3
SECURITY AWARENESS TRAINING FOR ALL AUTHORIZED PERSONNEL WITH
BOTH PHYSICAL AND LOGICAL ACCESS TO CJI.
 Level 3 Key Points

 Rules that describe responsibilities and expected behavior with regard to information system usage.
 Password usage and management—including creation, frequency of changes, and protection.
 Protection from viruses, worms, Trojan horses, and other malicious code.
 Unknown e-mail/attachments.
 Web usage—allowed versus prohibited; monitoring of user activity.
 Spam
 Physical Security—increases in risks to systems and data.
 Handheld device security issues—address both physical and wireless security issues.
 Use of encryption and the transmission of sensitive/confidential information over the Internet—address agency policy,
procedures, and technical contact for assistance.
 Level 3 Key Points (continued)

 Laptop security—address both physical and information security issues.

 Personally owned equipment and software—state whether allowed or not (e.g., copyrights).
 Access control issues—address least privilege and separation of duties.
 Individual accountability—explain what this means in the agency.
 Use of acknowledgement statements—passwords, access to systems and data, personal use and gain.
 Desktop security—discuss use of screensavers, restricting visitors’ view of information on screen
(mitigating “shoulder surfing”), battery backup devices, allowed access to systems.
 Protect information subject to confidentiality concerns—in systems, archived, on backup media, and until
destroyed.
 Threats, vulnerabilities, and risks associated with accessing CJIS Service systems and services.
Rules that describe responsibilities and expected behavior with
regard to CJI usage.

Per baseline training, “Criminal history record information acquired via CJI Systems is for
use by law enforcement and criminal justice agencies for official criminal justice
purposes, consistent with purpose for which the information was requested. Each agency
is responsible for maintaining a set of current written policies and procedures that include
how the misuse of the NCIC and CCH information will be handled.”

<Placeholder for State/Agency input>

 Password usage and management—including creation, frequency of
changes and protection.

Password usage shall, at the very least, conform to CJIS policy which currently states the following:
Agencies shall follow the secure password attributes, below, to authenticate an individual’s unique ID. Passwords shall:
1. Be a minimum length of eight (8) characters on all systems.
2. Not be a dictionary word or proper name.
3. Not be the same as the Userid.
4. Expire within a maximum of ninety (90) calendar days.
5. Not be identical to the previous ten (10) passwords.
6. Not be transmitted in the clear outside the secure location.
7. Not be displayed when entered.
 CJIS Policy Section 5.6.2.1: Standard Authentication (Password)
 Users will protect their passwords accordingly, not sharing their individual account access or allowing for the
possibility of compromise.
 Protection from Viruses, Worms, Trojan Horses
and Other Malicious Code, Unknown
E-mail/Attachments.

Per NIST Special Publication 800-83 Revision 1 (Draft) :

“Malware, also known as malicious code, refers to a program that is covertly inserted into another program with the
intent to destroy data, run destructive or intrusive programs, or otherwise compromise the confidentiality, integrity,
or availability of the victim’s data, applications, or operating system. Malware is the most common external threat to
most hosts, causing widespread damage and disruption and necessitating extensive recovery efforts within most
organizations. Organizations also face similar threats from a few forms of non-malware threats that are often
associated with malware. One of these forms that has become commonplace is phishing, which is using deceptive
computer-based means to trick individuals into disclosing sensitive information.”
 Protection from Viruses, Worms, Trojan Horses
and Other Malicious Code, Unknown
E-mail/Attachments.
Viruses. A virus self-replicates by inserting copies of itself into host programs or data files. Viruses are often triggered through user interaction,
such as opening a file or running a program. Viruses can be divided into the following two subcategories:
• Compiled Viruses. A compiled virus is executed by an operating system. Types of compiled viruses include file infector viruses, which attach
themselves to executable programs; boot sector viruses, which infect the master boot records of hard drives or the boot sectors of removable
media; and multipartite viruses, which combine the characteristics of file infector and boot sector viruses.
• Interpreted Viruses. Interpreted viruses are executed by an application. Within this subcategory, macro viruses take advantage of the
capabilities of applications’ macro programming language to infect application documents and document templates, while scripting viruses
infect scripts that are understood by scripting languages processed by services on the OS.

Worms. A worm is a self-replicating, self-contained program that usually executes itself without user intervention. Worms are divided into two
categories:
• Network Service Worms. A network service worm takes advantage of a vulnerability in a network service to propagate itself and infect other
hosts.
• Mass Mailing Worms. A mass mailing worm is similar to an email-borne virus but is self-contained, rather than infecting an existing file.
 Protection from Viruses, Worms, Trojan Horses
and Other Malicious Code, Unknown
E-mail/Attachments.

Trojan Horses. A Trojan horse is a self-contained, non-replicating program that, while appearing to be benign, actually has a
hidden malicious purpose. Trojan horses either replace existing files with malicious versions or add new malicious files to
hosts. They often deliver other attacker tools to hosts.

Malicious Mobile Code. Malicious mobile code is software with malicious intent that is transmitted from a remote host to a
local host and then executed on the local host, typically without the user’s explicit instruction. Popular languages for malicious
mobile code include Java, ActiveX, JavaScript, and VBScript.

Blended Attacks. A blended attack uses multiple infection or transmission methods. For example, a blended attack could
combine the propagation methods of viruses and worms.
 Protection from Viruses, Worms, Trojan Horses
and Other Malicious Code, Unknown
E-mail/Attachments.
• All users should remain cognizant that their workstations and portable devices are
actively being protected with Antivirus/Malicious Code Protection software (per the
implementation of the IT staff and local policy and procedures). While this can be
mainly automated (via auto update features) for internal systems, end-users play a
crucial part in validating that AV definitions remain current on their systems. Of
particular interest are portable devices which may have challenges in being
updated.

• In addition, end-users play a vital role in following safe practices. Safe practices
consist of ensuring any removable devices (CDs, DVDs, Flash Drives) are scanned for
virus/malware before introduction to the users system. Users should not download
unauthorized content and especially not permit the installation of any software on
their systems unless directed by IT staff. Web-based pop-ups should be carefully
scrutinized and reported before clicking those windows which may introduce
malware. Emails should be screened very carefully and reported if necessary for
unsolicited attachments or other embedded objects. Official email and web usage
should only be conducted in accordance with official duties so as to limit system
interaction with untrusted web sites.
Web Usage - Allowed versus Prohibited; Monitoring of User
Activity; SPAM, Social Engineering

• Users should consult local policy and/or consult their chain of command for guidance
on web usage rules. Users should understand that monitoring of systems and
subsequent user activities may be monitored and if necessary investigated .

• SPAM is unsolicited email traffic which often times occurs due to the unofficial use of
email, forwarding of unofficial email, subscribing to mailing lists, and the leak of
official email address to those parties responsible for SPAM.

• Social Engineering is the art of manipulating people into performing actions or divulging
confidential information. Social Engineering can be accomplished via Pretexting: the
act of creating and using an invented scenario (the pretext) to engage a targeted victim
in a manner that increases the chance the victim will divulge information or perform
actions that would be unlikely in ordinary circumstances… or via Phishing: e-mail that
appears to come from a legitimate business—a bank, or credit card company—
requesting "verification" of information and warning of some dire consequence if it is
not provided. The e-mail usually contains a link to a fraudulent web page that seems
legitimate—with company logos and content—and has a form requesting everything f
from a home address to an ATM card's PIN. Phishing can also be facilitate over the
phone and Interactive Voice Response.
 As electronic handheld devices continue to become more
integrated into the mobile workforce, additional measures
Handheld Device Security must be employed since such devices may be used outside
of the physical secure locations and may cross

Issues ~ nontraditional forms of communication such as

commercial wireless and broadband networks.

Physical and Wireless All agencies are to develop, provide and enforce local
policies and procedures that
Security Issues should address areas such as authentication, encryption,
security related updates, accountability, official use
guidance and incident response measures. These local
policies and procedures should be understood by device
users.
 Factors to consider in developing local policy and

Handheld Device Security procedures are possible loss of the device itself and the
technical measures in place to prevent data compromise
such as Data at Rest (DAR) encryption. Wireless devices,
Issues ~ even in physically secure areas, are susceptible to
penetration, eavesdropping and malware. Furthermore,
Physical and Wireless compromised wireless devices may introduce risk to the
overall network security of an agency providing
Security Issues unwarranted access.

continued <local agency note these here>

 Use of encryption and the transmission of
sensitive/confidential information

 Commonly available encryption tools often use a key to unlock the cipher to allow data access; this key is called
a passphrase. While similar to a password, a passphrase is not used for user authentication. Additionally, the
passphrase contains stringent character requirements making it more secure and thus providing a higher level of
confidence that the passphrase will not be compromised.
 1. Encryption shall be a minimum of 128 bit.
 2. When CJI is transmitted outside the boundary of the physically secure location, the data shall be immediately protected via
cryptographic mechanisms (encryption).
 3. When CJI is at rest (i.e. stored digitally) outside the boundary of the physically secure location, the data shall be protected via
cryptographic mechanisms (encryption).
 Use of encryption and the transmission of
sensitive/confidential information
continued

 4. When encryption is employed, the cryptographic module used shall be certified to meet FIPS 140-2 standards.
 Note 1: Subsequent versions of approved cryptographic modules that are under current review for FIPS 140-2 compliancy can be used in the interim
until certification is complete.
 Note 2: While FIPS 197 (Advanced Encryption Standard) certification is desirable, a FIPS 197 certification alone is insufficient as the certification is
for the algorithm only vs. the FIPS 140-2 standard which certifies the packaging of an implementation.
 EXCEPTION: When encryption is used for CJI at rest, agencies may use encryption methods that are FIPS 197 certified, 256 bit as
described on the National Security Agency (NSA) Suite B Cryptography list of approved algorithms.
 5. For agencies using public key infrastructure technology, the agency shall develop and implement a certificate policy and certification
practice statement for the issuance of public key certificates used in the information system. Registration to receive a public key
certificate shall:
 a) Include authorization by a supervisor or a responsible official.
 b) Be accomplished by a secure process that verifies the identity of the certificate holder.
 c) Ensure the certificate is issued to the intended party.
 Laptop Security

 Laptop Devices – Laptop devices are mobile devices with a full-featured operating system (e.g. Microsoft
Windows, Apple OS X, LINUX/UNIX, etc.). Laptops are typically intended for transport via vehicle mount or
portfolio-sized carry case, but not on the body. This definition does not include pocket/handheld devices (e.g.
smartphones), or mobile devices that feature a limited feature operating system (e.g. tablets).
 The risks associated with this device type are similar to a standard desktop computer at the technical level, but are
increased due to the potential to connect directly to the internet without the benefit of organizational network
security layers (e.g. network firewall, IDS/IPS, network monitoring devices). There is also an increased risk of
intentional device theft from vehicles or unsecure locations as these devices are too large to be carried on the
authorized user’s body. There may be increased risk from the limited technical ability to wipe or track a lost/stolen
device depending on the particular technical means used for remote device connectivity (e.g. cellular or WiFi).
 Laptop Security continued

 In general, the technical configurations for compliance with most of the CJIS Security Policy that is accomplished
via the operating system (e.g. auditing, access control, etc) will remain consistent with normal fixed location
computing systems for laptop devices, but some functions may operate in an unexpected manner due to lack of
constant connectivity. Thorough testing of applied security policy elements within the expected mobile
environments will help ensure the applied policy configurations remain effective and appropriate when applied to
mobile laptop devices.
 Some newer devices running multi-function operating systems (e.g. Windows 8 or similar multi-mode operating
systems) may exhibit technical features associated with both laptop and tablet device categories based on their
current operating mode which may be reconfigured by the user on demand. If this is the case, it will be necessary
to assess and configure multiple operating modes to be compliant with CJIS Security Policy on the device, or
restrict the operating mode to one category of operation.
 Personally Owned Equipment and Software

Personally owned equipment and software  Manageability of those devices by the user’s agency:
introduce numerous issues that must be Security and software updates.
addressed when utilizing that equipment for  Threat of data being released into the cloud (lack of
processing, storing, or transmitting CRI. control, proper procedures and technical
implementation).
 That equipment shall meet all the  Devices are not likely to be locked down by a Systems
requirements set forth in CJIS Policy. Administrator, due to being a privately owned device,
and thus very likely susceptible to penetration,
 Properly licensed hardware and eavesdropping and malware.
software/Copyright and intellectual property  Sanitization procedures of the device if employee no
rights.
longer carry out LE duties (whether on good or bad
terms).
 Access Control Issues Least Privilege and
Separation of Duties

When provided access via an authentication mechanism  While CSAs may control access adequately,
(login), least privilege, means giving a user account only local agencies may need to employ additional
those privileges which are essential to perform measures to ensure that individuals do not abuse
individually assigned duties. The user account is privileges. Employees should be thoroughly
afforded access to information that is strictly on a need briefed on their particular environment and
to know basis for that individual to perform their duties. consent to abide by roles of behavior to prevent
unauthorized access to data.

 While many LE applications restrict access to content

based upon an individual’s role, many LE applications  Physically secure areas and areas where data
may not distinguish an individual thus enabling access resides, electronic or physical, should be
to information that is not relevant to the duties assigned. protected by access control measures as well.
 Individual Accountability
(What Does This Mean to the Agency)

 Individual’s must be held accountable for their actions. CSAs should clearly define standards and
roles of behavior for access to CJIS Systems and data. Locals in turn should provide guidance
within their own areas of operations and ensure all employees are held accountable for their
actions.
 Individual’s must be held accountable for their actions. CSAs should clearly define standards and
roles of behavior for access to CJIS Systems and data. Locals in turn should provide guidance
within their own areas of operations and ensure all employees are held accountable for their
actions.
 Consequences for breaking agreements should be clearly established and carried out when
necessary. Leadership and stakeholders should be in agreement as to the conditions of the
agreement and standards of enforcement.
 <local agency note these here>
 Use of Acknowledgement Statements
~ Passwords, Access to Systems and Data, Personal Use
and Gain.

 Acknowledgement statements should be clear, concise, applicable and enforceable.

Before being granted access, user should be trained and formally sign an
acknowledgement statement for their particular access granted.
 With access being granted to sensitive information, it is imperative that agencies address
the legal ramifications for using that access for personal use and gain.
 <local agency note these here>
 Desktop Security

 Per the CJIS Policy section on “Session Lock” (5.5.5), “The information system shall prevent further access to the
system by initiating a session lock after a maximum of 30 minutes of inactivity, and the session lock remains in effect
until the user reestablishes access using appropriate identification and authentication procedures. Users shall directly
initiate session lock mechanisms to prevent inadvertent viewing when a device is unattended. A session lock is not a
substitute for logging out of the information system. In the interest of officer safety, devices that are: (1) part of a
police vehicle; or (2) used to perform dispatch functions and located within a physically secure location, are exempt
from this requirement. Note: an example of a session lock is a screen saver with password.
 Of importance is restricting visitors’ view of information on screen (mitigation of shoulder surfing). Computer
screens shall be employed in such a manner so that only authorized individuals are able to view computer screens
displaying CJI.
 Only authorized and cleared personnel should have access to those systems that process CJI. Physical access to
systems, although logically secure, can be compromised by an insider threat (custodial personnel, maintenance,
visitor).
 Battery backup devices should be employed to prevent loss of data.
Protect Information Subject to Confidentiality
Concerns

Sensitive Information can reside in systems, devices archives, backup media, portable media
and hard copy forms. Unless encrypted per CJIS Policy all media shall be stored in a
physically secure area under the management control of the CJA. Only those personnel
vetted in accordance with CJIS policy may be responsible for protecting information residing
in those areas noted above. Upon end of life or other circumstances, media containing
sensitive information must be properly sanitized or destroyed according to CJIS Policy and
thus in accordance with the method of choice by the local agency.
 Threats, Vulnerabilities, and Risks Associated with
Accessing CJIS Systems and Services.

Groups, Individuals, devices, systems and services are increasingly being targeted by both
foreign and domestic malefactors based upon association with the Law Enforcement
Community. As indicated in previous training, social engineering is one means by which
parties may engage an individual in order to carry out illicit activities. Hardware and
applications may become compromised therefore personnel operating CJIS Service systems
and services require vigilance and need to quickly identify, respond and report incidents per
their training.
Level 4
SECURITY AWARENESS TRAINING FOR ALL INFORMATION TECHNOLOGY PERSONNEL
(SYSTEM ADMINISTRATORS, SECURITY ADMINISTRATORS, AND NETWORK
ADMINISTRATORS, ETC.).

* Consult NIST Publications @ http://csrc.nist.gov/publications/PubsTC.html

Level 4 Key Points

 Protection from viruses, worms, Trojan horses, and other malicious code—scanning, updating
definitions.
 Data backup and storage—centralized or decentralized approach.
 Timely application of system patches—part of configuration management.
 Access control measures.
 Network infrastructure protection measures.

* Consult NIST Publications @ http://csrc.nist.gov/publications/PubsTC.html

 Protection from Viruses, Worms, Trojan Horses, and Other
Malicious Code—Scanning, Updating Definitions.

5.10.4.2 Malicious Code Protection

The agency shall implement malicious code protection that includes automatic updates for
all systems with Internet access. Agencies with systems not connected to the Internet shall
implement local procedures to ensure malicious code protection is kept current (i.e. most
recent update available).
The agency shall employ virus protection mechanisms to detect and eradicate malicious code
(e.g., viruses, worms, Trojan horses) at critical points throughout the network and on all
workstations, servers and mobile computing devices on the network. The agency shall ensure
malicious code protection is enabled on all of the aforementioned critical points and
information systems and resident scanning is employed.

References:

SP 800-83 Rev. 1 DRAFT Guide to Malware Incident Prevention and Handling for Desktops and Laptops
SP 800-124 Rev 1 DRAFT Guidelines for Managing and Securing Mobile Devices in the Enterprise
 Protection from Viruses, Worms, Trojan Horses, and Other
Malicious Code—Scanning, Updating Definitions.

5.10.4.3 Spam and Spyware Protection

The agency shall:
1. Employ spam protection mechanisms at critical information system entry points (e.g.
firewalls, electronic mail servers, remote-access servers).
2. Employ spyware protection at workstations, servers and/or mobile computing devices on
the network.
3. Use the spam and spyware protection mechanisms to detect and take appropriate action
on unsolicited messages and spyware/adware, respectively, transported by electronic
mail, electronic mail attachments, Internet accesses, removable media (e.g. diskettes or
compact disks) or other removable media as defined in this policy document.
 Protection from Viruses, Worms, Trojan Horses, and Other
Malicious Code—Scanning, Updating Definitions.

5.13.4.3 Personal Firewall

A personal firewall shall be employed on all devices that are mobile by design (i.e. laptops, handhelds,
personal digital assistants, etc.). For the purpose of this policy, a personal firewall is an application that
controls network traffic to and from a computer, permitting or denying communications based on
policy. At a minimum, the personal firewall shall perform the following activities:

1. Manage program access to the Internet.

2. Block unsolicited requests to connect to the PC.
3. Filter incoming traffic by IP address or protocol.
4. Filter incoming traffic by destination ports.
5. Maintain an IP traffic log.

SP 800-41 Guidelines on Firewalls and Firewall Policy

 Protection from Viruses, Worms, Trojan Horses, and Other
Malicious Code—Scanning, Updating Definitions.

5.10.4.4 Security Alerts and Advisories

The agency shall:

1. Receive information system security alerts/advisories on a regular basis.

2. Issue alerts/advisories to appropriate personnel.
3. Document the types of actions to be taken in response to security alerts/advisories.
4. Take appropriate actions in response.
5. Employ automated mechanisms to make security alert and advisory information available
throughout the agency as appropriate.
 Protection from Viruses, Worms, Trojan Horses, and Other
Malicious Code—Scanning, Updating Definitions.

5.10.4.6 Information Input Restrictions

The agency shall restrict the information input to any connection to FBI CJIS services to
authorized personnel only.
Restrictions on personnel authorized to input information to the information system may
extend beyond the typical access controls employed by the system and include limitations
based on specific operational/project responsibilities.
 Data Backup and Storage - Centralized or Decentralized
Approach.

5.9.2 Controlled Area

If an agency cannot meet all of the controls required for establishing a physically secure location, but has an operational need to access
or store CJI, the agency shall designate an area, a room, or a storage container, as a “controlled area” for the purpose of day-to-day CJI
access or storage. The agency shall, at a minimum:

1. Limit access to the controlled area during CJI processing times to only those personnel authorized by the agency to access or view
CJI.
2. Lock the area, room, or storage container when unattended.
3. Position information system devices and documents containing CJI in such a way as to prevent unauthorized individuals from access
and view.
4. Follow the encryption requirements found in section 5.10.1.2 for electronic storage (i.e. data “at rest”) of CJI.
 Data Backup and Storage - Centralized or Decentralized
Approach.

Example:
A local police department implemented a replacement CAD system that integrated to their state’s CSA and was
authorized to process CJI. The police department contracted with an off-site media manager to store backups of their
data in the contractor’s vaults, but the contractor was not authorized to process or store CJI. To ensure the confidentially
of the police department’s data while outside its perimeter, they encrypted all data going to the contractor with an (FIPS
140-2 compliant) Advanced Encryption Standard (AES)-256 bit. The police department rotated and reused media
through the contractor’s vaults periodically, and when it required destruction, the police department incinerated the
media to irreversibly destroy any data on it.
 Timely Application of System Patches - Part of Configuration
Management.

5.10.4.1 Patch Management

 The agency shall identify applications, services, and information systems containing software or components
affected by recently announced software flaws and potential vulnerabilities resulting from those flaws.
 The agency (or the software developer/vendor in the case of software developed and maintained by a
vendor/contractor) shall develop and implement a local policy that ensures prompt installation of newly
released security relevant patches, service packs and hot fixes. Local policies should include such items as:
1. Testing of appropriate patches before installation.
2. Rollback capabilities when installing patches, updates, etc.
3. Automatic updates without individual user intervention.
4. Centralized patch management.

Patch requirements discovered during security assessments, continuous monitoring or incident response activities
shall also be addressed expeditiously.
*SP 800-40 Creating a Patch and Vulnerability Management Program
 Access Control Measures

Access control provides the planning and implementation of

mechanisms to restrict reading, writing, processing and transmission
of CJIS information and the modification of information systems,
applications, services and communication configurations allowing
access to CJIS information.
 Access Control Measures

5.5.1 Account Management

The agency shall manage information system accounts, including establishing, activating,
modifying, reviewing, disabling, and removing accounts. The agency shall validate information
system accounts at least annually and shall document the validation process. The validation and
documentation of accounts can be delegated to local agencies.
Account management includes the identification of account types (i.e., individual, group, and
system), establishment of conditions for group membership, and assignment of associated
authorizations. The agency shall identify authorized users of the information system and specify
access rights/privileges. The agency shall grant access to the information system based on:
1. Valid need-to-know/need-to-share that is determined by assigned official duties.
2. Satisfaction of all personnel security criteria.
 Access Control Measures (continued)

5.5.1 Account Management (continued)

The agency responsible for account creation shall be notified when:
1. A user’s information system usage or need-to-know or need-to-share changes.
2. A user is terminated or transferred or associated accounts are removed, disabled, or
otherwise secured.
 Access Control Measures (continued)

5.5.2 Access Enforcement

The information system shall enforce assigned authorizations for controlling access to the system and
contained information. The information system controls shall restrict access to privileged functions (deployed
in hardware, software, and firmware) and security-relevant information to explicitly authorized personnel.
Explicitly authorized personnel include, for example, security administrators, system and network
administrators, and other privileged users with access to system control, monitoring, or administration
functions (e.g., system administrators, information system security officers, maintainers, system
programmers).
Access control policies (e.g., identity-based policies, role-based policies, rule-based policies) and associated
access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) shall be
employed by agencies to control access between users (or processes acting on behalf of users) and objects
(e.g., devices, files, records, processes, programs, domains) in the information system.
 Access Control Measures (continued)

5.5.2.1 Least Privilege

The agency shall approve individual access privileges and shall enforce physical and logical access
restrictions associated with changes to the information system; and generate, retain, and review records
reflecting all such changes.

The agency shall enforce the most restrictive set of rights/privileges or access needed by users for the
performance of specified tasks. The agency shall implement least privilege based on specific duties,
operations, or information systems as necessary to mitigate risk to CJI. This limits access to CJI to only
authorized personnel with the need and the right to know.

Logs of access privilege changes shall be maintained for a minimum of one year or at least equal to the
agency’s record retention policy – whichever is greater.
 Access Control Measures (continued)

5.5.2.2 System Access Control

Access control mechanisms to enable access to CJI shall be restricted by object (e.g., data
set, volumes, files, records) including the ability to read, write, or delete the objects.
Access controls shall be in place and operational for all IT systems to:
1. Prevent multiple concurrent active sessions for one user identification, for those
applications accessing CJI, unless the agency grants authority based upon operational
business needs. Agencies shall document the parameters of the operational business
needs for multiple concurrent active sessions.
2. Ensure that only authorized personnel can add, change, or remove component
devices, dial-up connections, and remove or alter programs.
 Access Control Measures (continued)

5.5.2.3 Access Control Criteria

Agencies shall control access to CJI based on one or more of the following:
1. Job assignment or function (i.e., the role) of the user seeking access.
2. Physical location.
3. Logical location.
4. Network addresses (e.g., users from sites within a given agency may be permitted
greater access than those from outside).
5. Time-of-day and day-of-week/month restrictions.
 Access Control Measures (continued)

5.5.2.4 Access Control Mechanisms

When setting up access controls, agencies shall use one or more of the following
mechanisms:
1. Access Control Lists (ACLs). ACLs are a register of users (including groups, machines,
processes) who have been given permission to use a particular object (system
resource) and the types of access they have been permitted.
2. Resource Restrictions. Access to specific functions is restricted by never allowing
users to request information, functions, or other resources for which they do not have
access. Three major types of resource restrictions are: menus, database views, and
network devices.
 Access Control Measures (continued)

5.5.2.4 Access Control Mechanisms (continued)

3. Encryption. Encrypted information can only be decrypted, and therefore read, by
those possessing the appropriate cryptographic key. While encryption can provide
strong access control, it is accompanied by the need for strong key management. If
encryption of stored information is employed as an access enforcement mechanism, the
cryptography used is Federal Information Processing Standards (FIPS) 140-2 (as
amended) compliant (see section 5.10.1.2 for encryption requirements).
4. Application Level. In addition to controlling access at the information system level,
access enforcement mechanisms are employed at the application level to provide
increased information security for the agency.
 Access Control Measures (continued)

5.5.3 Unsuccessful Login Attempts

Where technically feasible, the system shall enforce a limit of no more than 5
consecutive invalid access attempts by a user (attempting to access CJI or systems with
access to CJI). The system shall automatically lock the account/node for a 10 minute time
period unless released by an administrator.
 Access Control Measures (continued)

5.5.4 System Use Notification

The information system shall display an approved system use notification message, before
granting access, informing potential users of various usages and monitoring rules. The system
use notification message shall, at a minimum, provide the following information:

1. The user is accessing a restricted information system.

2. System usage may be monitored, recorded, and subject to audit.
3. Unauthorized use of the system is prohibited and may be subject to criminal and/or civil
penalties.
4. Use of the system indicates consent to monitoring and recording.
 Access Control Measures (continued)

5.5.4 System Use Notification (continued)

The system use notification message shall provide appropriate privacy and security notices (based on
associated privacy and security policies or summaries) and remain on the screen until the user
acknowledges the notification and takes explicit actions to log on to the information system.
Privacy and security policies shall be consistent with applicable laws, Executive Orders, directives,
policies, regulations, standards, and guidance. System use notification messages can be implemented
in the form of warning banners displayed when individuals log in to the information system. For
publicly accessible systems: (i) the system use information is available and when appropriate, is
displayed before granting access; (ii) any references to monitoring, recording, or auditing are in
keeping with privacy accommodations for such systems that generally prohibit those activities; and
(iii) the notice given to public users of the information system includes a description of the
authorized uses of the system.
 Access Control Measures (continued)

5.5.5 Session Lock

The information system shall prevent further access to the system by initiating a session
lock after a maximum of 30 minutes of inactivity, and the session lock remains in effect
until the user reestablishes access using appropriate identification and authentication
procedures. Users shall directly initiate session lock mechanisms to prevent inadvertent
viewing when a device is unattended. A session lock is not a substitute for logging out of
the information system. In the interest of officer safety, devices that are: (1) part of a
police vehicle; or (2) used to perform dispatch functions and located within a physically
secure location, are exempt from this requirement. Note: an example of a session lock is
a screen saver with password.
 Access Control Measures (continued)

5.5.6 Remote Access

The agency shall authorize, monitor, and control all methods of remote access to the information system.
Remote access is any temporary access to an agency’s information system by a user (or an information
system) communicating temporarily through an external, non-agency-controlled network (e.g., the
Internet).
The agency shall employ automated mechanisms to facilitate the monitoring and control of remote access
methods. The agency shall control all remote accesses through managed access control points. The agency
may permit remote access for privileged functions only for compelling operational needs but shall
document the rationale for such access in the security plan for the information system.

*SP 800-12 Guide to General Server Security

*SP 800-11 User's Guide to Securing External Devices for Telework and Remote Access
 Access Control Measures (continued)

5.5.6.1 Personally Owned Information Systems

A personally owned information system shall not be authorized to access, process, store or transmit CJI
unless the agency has established and documented the specific terms and conditions for personally owned
information system usage.
This control does not apply to the use of personally owned information systems to access agency’s
information systems and information that are intended for public access (e.g., an agency’s public website
that contains purely public information).
 Access Control Measures (continued)

5.5.6.2 Publicly Accessible Computers

Utilizing publicly accessible computers to access, process, store or transmit CJI is prohibited. Publicly
accessible computers include but are not limited to: hotel business center computers, convention center
computers, public library computers, public kiosk computers, etc.

5.13. Mobile Devices

The agency shall: (i) establish usage restrictions and implementation guidance for wireless technologies;
and (ii) authorize, monitor, control wireless access to the information system. Wireless technologies, in the
simplest sense, enable one or more devices to communicate without physical connections—without
requiring network or peripheral cabling.
 Access Control Measures (continued)

5.13.1 Wireless Communications Technologies

Examples of wireless technologies include, but are not limited to: 802.11x, cellular networks, Bluetooth, satellite and
microwave. Wireless technologies require at least the minimum security applied to wired technology and, based upon the
specific technology, may require some additional security controls as described below.

5.13.1.1 All 802.11x Wireless Protocols

Agencies shall:

1. Perform validation testing to ensure rogue APs (Access Points) do not exist in the 802.11 Wireless Local Area Network
(WLAN) and to fully understand the wireless network security posture.
2. Maintain a complete inventory of all Access Points (APs) and 802.11 wireless devices.
3. Place APs in secured areas to prevent unauthorized physical access and user manipulation.
4. Test AP range boundaries to determine the precise extent of the wireless coverage and design the AP wireless coverage to
limit the coverage area to only what is needed for operational purposes.
 Access Control Measures (continued)

5.13.1.1 All 802.11x Wireless Protocols (Continued)

Agencies shall:

5. Enable user authentication and encryption mechanisms for the management interface of the AP.
6. Ensure that all APs have strong administrative passwords and ensure that all passwords are changed in accordance
with section 5.6.2.1.
7. Ensure the reset function on APs is used only when needed and is only invoked by authorized personnel. Restore the
APs to the latest security settings, when the reset functions are used, to ensure the factory default settings are not
utilized.
8. Change the default service set identifier (SSID) in the APs. Disable the broadcast SSID feature so that the client SSID
must match that of the AP. Validate that the SSID character string does not contain any agency identifiable information
(division, department, street, etc.) or services.
9. Enable all security features of the wireless product, including the cryptographic authentication, firewall, and other
privacy features.
 Access Control Measures (continued)

5.13.1.1 All 802.11x Wireless Protocols (Continued)

Agencies shall:

10. Ensure that encryption key sizes are at least 128-bits and the default shared keys are replaced by unique keys.
11. Ensure that the ad hoc mode has been disabled unless the environment is such that the risk has been assessed and is
tolerable. Note: some products do not allow disabling this feature; use with caution or use different vendor.
12. Disable all nonessential management protocols on the APs and disable hypertext transfer protocol (HTTP) when not needed
or protect HTTP access with authentication and encryption.
13. Enable logging (if supported) and review the logs on a recurring basis per local policy. At a minimum logs shall be reviewed
monthly.
14. Segregate, virtually (e.g. virtual local area network (VLAN) and ACLs) or physically (e.g. firewalls), the wireless network from
the operational wired infrastructure. Limit access between wireless networks and the wired network to only operational needs.
15. When disposing of access points that will no longer be used by the agency, clear access point configuration to prevent
disclosure of network configuration, keys, passwords, etc.
 Access Control Measures (continued)

5.13.3.1 Legacy 802.11 Protocols

Wired Equivalent Privacy (WEP) and Wi-Fi Protected Access (WPA) cryptographic algorithms, used by all
pre-802.11i protocols, do not meet the requirements for FIPS 140-2 and shall not be used.

SP 800-120 Recommendation for EAP Methods Used in Wireless Network Access Authentication
SP 800-97 Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i
SP 800-127 Guide to Securing WiMAX Wireless Communications
 Access Control Measures (continued)
5.13.1.2 Cellular
Cellular telephones, smartphones (i.e. Blackberry, iPhones, etc.), personal digital assistants (PDA), and “air cards” are examples
of cellular handheld devices or devices that employ cellular technology. Additionally, cellular handheld devices typically include
Bluetooth, infrared, and other wireless protocols capable of joining infrastructure networks or creating dynamic ad hoc
networks. Cellular devices are at risk due to a multitude of threats and consequently pose a risk to the enterprise.
Threats to cellular handheld devices stem mainly from their size, portability, and available wireless interfaces and associated
services. Examples of threats to cellular handheld devices include:
1. Loss, theft, or disposal.
2. Unauthorized access. 3. Malware.
4. Spam.
5. Electronic eavesdropping.
6. Electronic tracking (threat to security of data and safety of law enforcement officer).
7. Cloning (not as prevalent with later generation cellular technologies).
8. Server-resident data.
 Access Control Measures (continued)

5.13.1.2.2 Voice Transmissions Over Cellular Devices

Any cellular device used to transmit CJI via voice is exempt from the encryption and authentication
requirements when an officer determines there is an immediate need for the CJI to further an
investigation or situations affecting the safety of an officer or the general public.

*SP 800-124 Rev 1 Jul 10, 2012 DRAFT Guidelines for Managing and Securing Mobile Devices in the Enterprise
 Access Control Measures (continued)

5.13.1.3 Bluetooth
Bluetooth is an open standard for short-range radio frequency (RF) communication and is used primarily to
establish wireless personal area networks (WPAN), commonly referred to as ad hoc networks or pico nets. A
pico nets is composed of two or more Bluetooth devices in close physical proximity that operate on the same
channel using the same frequency hopping sequence and can scale to include up to seven active slave devices
and up to 255 inactive slave devices. Bluetooth voice and data transfer technology has been integrated into
many types of business and consumer devices, including cellular phones, personal digital assistants (PDA),
laptops, automobiles, printers, and headsets.
Bluetooth does not provide end-to-end, audit, or non-repudiation security services. If such services are needed,
they shall be provided through additional, higher-layer means in addition to the Bluetooth specification and
802.11 standards.
The cryptographic algorithms employed by the Bluetooth standard are not FIPS approved. When
communications require FIPS-approved cryptographic protection, this can be achieved by employing
application-level
*SP 800-121 Rev. FIPS-approved encryption
1 June 2012 Guide over the
to Bluetooth native Bluetooth encryption.
Security
 Access Control Measures (continued)

5.13.1.3 Bluetooth
Agencies shall:
1. Provide users with a list of precautionary measures they should take to better protect handheld Bluetooth devices from
theft. The organization and its employees should be responsible for its wireless technology components because theft of
those components could lead to malicious activities against the organization’s information system resource.
2. Maintain a complete inventory of all Bluetooth-enabled wireless devices and addresses (BD_ADDRs). A complete
inventory of Bluetooth-enabled wireless devices can be referenced when conducting an audit that searches for
unauthorized use of wireless technologies.
3. Change the default setting of the Bluetooth device to reflect the organization’s security policy. Because default settings
are generally not secure, a careful review of those settings should be performed to ensure that they comply with the
organization’s security policy..
4. Set Bluetooth devices to the lowest necessary and sufficient power level so that transmissions remain within the secure
perimeter of the organization. Setting Bluetooth devices to the lowest necessary and sufficient power level ensures a
secure range of access to authorized users. The use of Class 1 devices should be avoided due to their extended range
(approximately 100 meters).
 Access Control Measures (continued)

5.13.1.3 Bluetooth (continued)

Agencies shall:
5. Choose personal identification number (PIN) codes that are sufficiently random and long. Avoid static and weak PINs, such as all
zeroes. PIN codes should be random so that they cannot be easily reproduced by malicious users. Longer PIN codes are more
resistant to brute force attacks. For Bluetooth v2.0 (or earlier) devices, an eight-character alphanumeric PIN shall be used.
6. For v2.1 devices using Secure Simple Pairing, avoid using the “Just Works” model. The “Just Works” model does not provide
protection against man-in-the-middle (MITM) attacks. Devices that only support Just Works should not be procured if similarly
qualified devices that support one of the association models (i.e. Numeric Comparison, Out of Band, or Passkey Entry) are available.
7. Bluetooth devices should be configured by default as, and remain, undiscoverable except as needed for pairing. Bluetooth interfaces
should be configured as non-discoverable, which prevents visibility to other Bluetooth devices except when discovery is specifically
needed. Also, the default self-identifying or discoverable names provided on Bluetooth devices should be changed to anonymous
unidentifiable names.
8. Invoke link encryption for all Bluetooth connections regardless of how needless encryption may seem (i.e. no Security Mode 1). Link
encryption should be used to secure all data transmissions during a Bluetooth connection; otherwise, transmitted data is vulnerable
to eavesdropping.
 Access Control Measures (continued)

5.13.1.3 Bluetooth (continued)

Agencies shall:
9. If multi-hop wireless communication is being utilized, ensure that encryption is enable on every link in the
communication chain. Every link should be secured because one unsecured link results in compromising the entire
communication chain.
10. Ensure device mutual authentication is performed for all accesses. Mutual authentication is required to provide
verification that all devices on the network are legitimate.
11. Enable encryption for all broadcast transmission (Encryption Mode 3). Broadcast transmissions secured by link
encryption provide a layer of security that protects these transmissions from user interception for malicious purposes.
12. Configure encryption key sizes to the maximum allowable. Using maximum allowable key sizes provides protection
from brute force attacks.
13. Establish a “minimum key size” for any negotiation process. Establishing minimum key sizes ensures that all keys are
long enough to be resistant to brute force attacks. See Section 5.10.1.2 for minimum key encryption standards.
 Access Control Measures (continued)

5.13.1.3 Bluetooth (continued)

Agencies shall:
14. Use Security Mode 3 in order to provide link-level security prior to link establishment.
15. Users do not accept transmissions of any kind from unknown or suspicious devices. These types of transmissions
Include messages, files, and images. With the increase in the number of Bluetooth enabled devices, it is important
that users only establish connections with other trusted devices and only accept content from these trusted
devices.
 Access Control Measures (continued)

Example
A Local Police Department’s Access Controls A local police department purchased a new computer-
assisted dispatch (CAD) system that integrated with their state CSA’s CJI interfaces. In doing so, the police
department employed least-privilege practices to ensure that its employees were only given those
privileges needed to perform their jobs, and as such, excluding IT administrators, employees had only non-
administrative privileges on all equipment they used. The police department also used ACLs in the
operating systems to control access to the CAD client’s executables. The CAD system used internal role-
based access controls to ensure only those users that needed access to CJI were given it. The police
department performed annual audits of user accounts on all systems under their control including remote
access mechanisms, operating systems, and the CAD system to ensure all accounts were in valid states.
The police department implemented authentication-failure account lockouts, system use notification via
login banners, and screen-saver passwords on all equipment that processes CJI.
Network Infrastructure Protection Measures

5.10.1 Information Flow Enforcement

The network infrastructure shall control the flow of information between interconnected systems.
Information flow control regulates where information is allowed to travel within an information system
and between information systems (as opposed to who is allowed to access the information) and
without explicit regard to subsequent accesses to that information. In other words, controlling how
data moves from one place to the next in a secure manner.
Examples of controls that are better expressed as flow control than access control (see section 5.5) are:
1. Prevent CJI from being transmitted unencrypted across the public network.
2. Block outside traffic that claims to be from within the agency.
3. Do not pass any web requests to the public network that are not from the internal web proxy.
Specific examples of flow control enforcement can be found in boundary protection devices (e.g. proxies,
gateways, guards, encrypted tunnels, firewalls, and routers) that employ rule sets or establish
configuration settings that restrict information system services or provide a packet filtering capability.
 Network Infrastructure Protection Measures
(continued)
5.10.1.1 Boundary Protection
The agency shall:
1. Control access to networks processing CJI.
2. Monitor and control communications at the external boundary of the information system and at key internal
boundaries within the system.
3. Ensure any connections to the Internet, other external networks, or information systems occur through controlled
interfaces (e.g. proxies, gateways, routers, firewalls, encrypted tunnels). See Section 5.10.4.4 for guidance on
personal firewalls.
4. Employ tools and techniques to monitor network events, detect attacks, and provide identification of unauthorized
use.
5. Ensure the operational failure of the boundary protection mechanisms do not result in any unauthorized release of
information outside of the information system boundary (i.e. the device shall “fail closed” vs. “fail open”).
6. Allocate publicly accessible information system components (e.g. public Web servers) to separate sub networks with
separate, network interfaces. Publicly accessible information systems residing on a virtual host shall follow the
guidance in section 5.10.3.2 to achieve separation.
 Network Infrastructure Protection Measures
(continued)
 5.10.1.2 Encryption
1. Encryption shall be a minimum of 128 bit.
2. When CJI is transmitted outside the boundary of the physically secure location, the data shall be
immediately protected via cryptographic mechanisms (encryption).
EXCEPTIONS: See section 5.10.2.
3. When CJI is at rest (i.e. stored electronically) outside the boundary of the physically secure
location, the data shall be protected via cryptographic mechanisms (encryption).
4. When encryption is employed, the cryptographic module used shall be certified to meet FIPS
140-2 standards.
Note 1: Subsequent versions of approved cryptographic modules that are under current review for FIPS 140-2 compliancy
can be used in the interim until certification is complete.
Note 2: While FIPS 197 (Advanced Encryption Standard) certification is desirable, a FIPS 197 certification alone is insufficient
as the certification is for the algorithm only vs. the FIPS 140-2 standard which certifies the packaging of an implementation.
 Network Infrastructure Protection Measures
(continued)
5.10.1.2 Encryption (continued)
5. For agencies using public key infrastructure technology, the agency shall develop and
implement a certificate policy and certification practice statement for the issuance of public
key certificates used in the information system. Registration to receive a public key certificate
shall:
a) Include authorization by a supervisor or a responsible official.
b) Be accomplished by a secure process that verifies the identity of the certificate holder.
c) Ensure the certificate is issued to the intended party.

*SP 800-15 MISPC Minimum Interoperability Specification for PKI Components

*SP 800-96 PIV Card to Reader Interoperability Guidelines
*SP 800-111 Guide to Storage Encryption Technologies for End User Devices
 Network Infrastructure Protection Measures
(continued)
5.10.1.3 Intrusion Detection Tools and Techniques
The agency shall implement network-based and/or host-based intrusion detection tools.
The CSA/SIB shall, in addition:
1. Monitor inbound and outbound communications for unusual or unauthorized activities.
2. Send individual intrusion detection logs to a central logging facility where correlation and
analysis will be accomplished as a system wide intrusion detection effort.
3. Employ automated tools to support near-real-time analysis of events in support of
detecting system-level attacks.

*SP 800-94 Rev. 1 DRAFT Guide to Intrusion Detection and Prevention Systems (IDPS)
 Network Infrastructure Protection Measures
(continued)
5.10.1.4 Voice over Internet Protocol
Voice over Internet Protocol (VoIP) has been embraced by organizations globally as an addition to, or
replacement for, public switched telephone network (PSTN) and private branch exchange (PBX) telephone
systems. The immediate benefits are lower costs than traditional telephone services and VoIP can be
installed in-line with an organization’s existing Internet Protocol (IP) services. Among VoIP’s risks that have
to be considered carefully are: myriad security concerns, cost issues associated with new networking
hardware requirements, and overarching quality of service (QoS) factors .
In addition to the security controls described in this document, the following additional controls shall be
implemented when an agency deploys VoIP within a network that contains unencrypted CJI:
1. 1. Establish usage restrictions and implementation guidance for VoIP technologies.
2. Change the default administrative password on the IP phones and VoIP switches.
3. Utilize Virtual Local Area Network (VLAN) technology to segment VoIP traffic from data traffic.
Appendix G.2 outlines threats, vulnerabilities, mitigations, and NIST best practices for VoIP.
 Network Infrastructure Protection Measures
(continued)
5.10.3 Partitioning and Virtualization
As resources grow scarce, agencies are increasing the centralization of applications, services, and
system administration. Advanced software now provides the ability to create virtual machines that
allows agencies to reduce the amount of hardware needed. Although the concepts of partitioning and
virtualization have existed for a while, the need for securing the partitions and virtualized machines has
evolved due to the increasing amount of distributed processing and federated information sources now
available across the Internet.

*SP 800-125 Guide to Security for Full Virtualization Technologies

 Network Infrastructure Protection Measures
(continued)
5.10.3.1 Partitioning
The application, service, or information system shall separate user functionality (including
user interface services) from information system management functionality.
The application, service, or information system shall physically or logically separate user
interface services (e.g. public web pages) from information storage and management services
(e.g. database management). Separation may be accomplished through the use of one or
more of the following:
1. Different computers.
2. Different central processing units.
3. Different instances of the operating system.
4. Different network addresses.
5. Other methods approved by the FBI CJIS ISO.
 Network Infrastructure Protection Measures
(continued)
5.10.3.2 Virtualization
Virtualization refers to a methodology of dividing the resources of a computer (hardware and
software) into multiple execution environments. Virtualized environments are authorized for
criminal justice and noncriminal justice activities. In addition to the security controls described
in this policy, the following additional controls shall be implemented in a virtual environment:
1. Isolate the host from the virtual machine. In other words, virtual machine users cannot
access host files, firmware, etc.
2. Maintain audit logs for all virtual machines and hosts and store the logs outside the
hosts’ virtual environment.
3. Virtual Machines that are Internet facing (web servers, portal servers, etc.) shall be
physically separate from Virtual Machines that process CJI internally.
4. Device drivers that are “critical” shall be contained within a separate guest.
 Network Infrastructure Protection Measures
(continued)
5.10.3.2 Virtualization (continued)
The following are additional technical security control best practices and should be implemented
wherever feasible:

1. Encrypt network traffic between the virtual machine and host.

2. Implement IDS and IPS monitoring within the virtual machine environment.
3. Virtually firewall each virtual machine from each other (or physically firewall each virtual
machine from each other with an application layer firewall) and ensure that only allowed protocols
will transact.
4. Segregate the administrative duties for the host.

Appendix G of the FBI CJIS 5.4 Policy provides some reference and additional background information
on virtualization.
 Network Infrastructure Protection Measures
(continued)
Network diagrams, i.e. topological drawings, are an essential part of solid network security. Through graphical
illustration, a comprehensive network diagram provides the “big picture” – enabling network managers to quickly
ascertain the interconnecting nodes of a network for a multitude of purposes, including troubleshooting and
optimization. Network diagrams are integral to demonstrating the manner in which each agency ensures criminal
justice data is afforded appropriate technical security protections and is protected during transit and at rest. The
following diagrams, labeled Appendix C.1-A through C.1-D, are examples for agencies to utilize during the
development, maintenance, and update stages of their own network diagrams. By using these example drawings
as a guideline, agencies can form the foundation for ensuring compliance with Section 5.7.1.2 of the CJIS Security
Policy.
The purpose for including the following diagrams in this policy is to aid agencies in their understanding of diagram
expectations and should not be construed as a mandated method for network topologies. It should also be noted
that agencies are not required to use the identical icons depicted in the example diagrams and should not
construe any depiction of a particular vendor product as an endorsement of that product by the FBI CJIS Division.