cse4482_02_securitymanagement

CSE 4482CSE 4482Computer Security Management:Computer Security Management:

Assessment and ForensicsAssessment and Forensics

Instructor: N. Instructor: N. VlajicVlajic, Fall 2010, Fall 2010

Management of Information Security

Required reading:Required reading:

Management of Information Security (MIS), by Whitman & Management of Information Security (MIS), by Whitman & MattordMattord

Chapter 1, pages 1 Chapter 1, pages 1 –– 1414

Chapter 4, all pagesChapter 4, all pages

Chapter 5, pages 163 Chapter 5, pages 163 -- 188188

Learning ObjectivesLearning ObjectivesUpon completion of this material, you should be able to:

• List the key managerial roles and the main types of managerial positions in an organization.

• Describe the POLC project management model.

• List and describe organizational/structural approaches to information security.

• Explain the difference between security policy, standardand procedure.

• Enlist different types of security policy that can be found in an organization.

Management Management -- DefinitionsDefinitions• Management – process of achieving objectives

using a given set of resources

• Manager – person assigned to handle followingroles necessary to complete a desired objective(s)

informational role: collect, process and provide informationthat can affect the completion of the objective

interpersonal role: coordinate and interact with superiors, subordinates, outside stakeholders and other parties thatinfluence or are influenced by the completion of the task

decisional role: select among alternative approaches andand resolve conflicts, dilemmas or challenges

Examples: teacher, student, politician, your mom

Management Management –– DefinitionsDefinitions

Example: 3 (10) managerial roles

http://www.flatworldknowledge.com/node/28989#webhttp://www.flatworldknowledge.com/node/28989#web--2898928989

represent organizationrepresent organizationexternallyexternally

provide leadership toprovide leadership tohis grouphis group

interact with peers interact with peers and people outsideand people outside

receive and collect receive and collect information information

disseminate special disseminate special information into information into organization/grouporganization/group

disseminate disseminate organization’s/group’sorganization’s/group’sinformation outsideinformation outside

initiate the changeinitiate the change

deal with problems anddeal with problems andthreatsthreats

decide where/how decide where/how organization’s/group’s organization’s/group’s resources will be resources will be allocatedallocated

manage organization’s/manage organization’s/group’s main operationgroup’s main operation

Management Management –– DefinitionsDefinitions

Different managerial positions require differentbalance of the 3/10 managerial roles.

At the top-level managerial positions interpersonal roles(e.g. figurehead and leader) are preformed more often.

At the lower-level managerial/supervisory positionsdecisional roles (e.g. disturbance handler and negotiator)are preformed more often.

Basic Management FunctionsBasic Management Functions• Four key managerial functions / responsibilities

include: POLC Model

Strategy Strategy FormulationFormulation

StrategyStrategyImplementationImplementation

1) Planning: deciding what needs to happen in the futureand generating adequate plans for action

strategic planning – occurs at the highest levels of organizationand for a long period of time (5 or more years)tactical planning – focuses on production planning and integratesorganizational resources for an intermediate duration (1 – 5 years)operational planning – focuses on day-to-day operations oflocal resources, and occurs in the present or the short term

Planning process begins with creation of strategic plan forentire organization/group. The resulting plan is then dividedup into planning elements for each sub-unit.

In planning, goals and objectives must be adequately set.goal – ultimate (end) result of a planning processobjective – intermediate point that allows us to measure progresstowards the goal

Basic Management Functions (cont.)Basic Management Functions (cont.)

2) Organizing: (optimum) structuring and using of resourcesto enable successful carrying out of the plan (i.e. successfulaccomplishment of objectives); may include

structuring of departments and their staff

(new) staffing

purchase and storage of raw materials

collection of additional/specialized information

3) Leading / Directing: determining what needs to be doneand getting people to do it; may include

developing direction and motivation for employees

supervising employee behavior, attendance, performance, attitude

Basic Management Functions (cont.)Basic Management Functions (cont.)

4) Monitoring / Controlling: monitoring progress towardsachieving the goal (plan implementation) and makingnecessary adjustments to achieve desired objectives;may include:

making sure sufficient progress is made at each stage

making sure impediments to task completion are resolved

making sure additional resources are acquired, when neccessary

Should the plan be found invalid in light of operationalreality of the organization, the manager should takecorrective actions.

• Three common groups of managers:

Information Security Managers – protect organization’sinformation assets from many threats they face

IT Managers – support organization’s business objectivesby supplying and supporting appropriate IT

Non-technical General Business Managers – articulateand communicate organizational policy and objectives

Information Security ManagementInformation Security Management

Information Security Management (cont.)Information Security Management (cont.)

Information Security management operates like all other management units, through common management(POLC) functions.

However, specific goals and objectives of Info. Sec. management differ from those of IT and generalmanagement.

Certain characteristics of Info. Sec. management are unique to this community!

• Goals of Info. Sec. vs. Goals of IT – not always incomplete alignment; sometimes in conflict

IT professionals focus on:cost of system creation & operation [ freeware vs. paid-softw. ]timelines of system creating [ web-server with no DMZ ]ease of system use for end-user [ no encryption ]quality of system performance (speed, delay, …) [ no firewall ]

Info. Sec. professionals focus on:protection of organization’s information systems and stored information

Example: placing Information Security within an organization – Option 1

Example: placing Information Security within an organization – Option 1 (cont.)

Most common organizational structure: Info. Sec. under IT.Info. Sec. reports to (and shares budget with) IT department.

pros:to whomever Info. Sec. manager reports to, understandstechnological issues

security staff and IT staff collaborate on day-to-day basis

there is only ‘one person’ between Info. Sec. manager and CEO

cons:CEO are likely to discriminate against Info. Sec. function, asother IT objectives (e.g. computer performance ⇒ time to market)often take precedence

Info. Sec. reports to Administrative Services Dep. – performs services for workers throughout the organization, much like HR.

pros:acknowledges that info. and info. systems are found everywhere throughout the organization – all employees are expected to‘work with’ Info. Sec. department

supports efforts to secure information no matter its form (paper,verbal, etc.) rather than viewing info. sec. function as strictlycomputer- & network- related issues

cons:Administrative Services VP often does not know much about ITand Info. Sec. – may not be effective in communicating with CEO

often subject to cost-cutting measures

Info. Sec. reports to Insurance & Risk Management Department.This approach typically involves assessing the extent/likelihoodof potential losses in case of weakened info. Sec. function.

pros:brings greater resources and management attention to Info. Sec.

Chief Risk Manager (CRM) is likely to be prevention oriented andadopt a longer-term viewpoint

cons:CRM are often not familiar with information system technology

may over-emphasize strategic issues, and overlook operationaland administrative aspects of info. sec. (e.g. change of access privileges when people change jobs)

Example: Info. Sec. in different companies

Which of the three discussed organizational models would you deploy in which of the three companies?

Research/UniversityResearch/University HospitalHospital BankBank

Info. Sec.Info. Sec.within ITwithin IT

Info. Sec.Info. Sec.within Risk within Risk

ManagementManagement

Info. Sec.Info. Sec.within Admin. within Admin.

ServicesServicesshould be employed when should be employed when

companycompany’’s revenues critically s revenues critically depend on CIA of information depend on CIA of information –– if if information CIA gets jeopardized, information CIA gets jeopardized,

company looses moneycompany looses money

should be employed in companies should be employed in companies that are not highly that are not highly ‘‘technology technology

intensiveintensive’’ –– may not worry about may not worry about using the latest technology, but using the latest technology, but rather about properly securing rather about properly securing

existing data and whatever existing data and whatever technology (info. infrastructure) is technology (info. infrastructure) is

currently in placecurrently in place

should be employed in companies should be employed in companies where it is critical to obtain/use where it is critical to obtain/use latest technology, and bulk of latest technology, and bulk of

work done by Info. Sec. work done by Info. Sec. department is related to that department is related to that

(new) technology (new) technology

Policy

Structure

Protection Mechanisms

Standards and Legislation

Risk Analysis

Standards and Legislation

Risk Analysis

input forinput for

Information Security ModelInformation Security Model• Components of Information Security System

OrganizationOrganization

Security Organization

IS Organization / Structure / ProgramIS Organization / Structure / Program

• Factors Impacting Info. Sec. Organization:

Organization Culture:if upper management & staff believe that info. sec. is wasteof time and resources, the info. sec. program will remain small, poorly supported and have difficulty operating

Organization Size (and Budget):large organizations tend to have large(r) information securityprograms; smaller organizations may have a single securityadministrator

Although the size of an organization determines the Although the size of an organization determines the makeup of its information security program, certainmakeup of its information security program, certain

basic functions should be found in every organization.basic functions should be found in every organization.

IS Organization / Structure / Program (cont.)IS Organization / Structure / Program (cont.)

• Functions Related to Info. Sec. Program:

software software testingtesting

• Functions Related to Info. Sec. Program (cont.):

http://ciso.washington.edu/abouthttp://ciso.washington.edu/about--us/informationus/information--securitysecurity--program/program/

• Security in Large Organizations – with morethan 1000 devices requiring security management

functions performed by non-technology business units:legaltraining

functions performed by IT groups outside Info. Sec. depart.:systems security administrationnetwork security administrationcentralized authentication

functions performed by Info. Sec. department - technical:risk managementsystems testingincident responseplanningmeasurementvulnerability assessment

functions performed by Info. Sec. department – complianceenforcement obligation:

policycompliance / auditrisk assessment

performed by different people performed by different people to avoid ‘conflict of interest’ !!!to avoid ‘conflict of interest’ !!!

• Security in Mid- to Small- size Organizations –under 1000 devices

some of identified functions are ignored, and multiplefunctions are assigned to the same group/person

More on different specific security roles More on different specific security roles later …later …

http://academy.delmar.edu/Courses/ITSY2430/Labs/SecurityPolicyQuhttp://academy.delmar.edu/Courses/ITSY2430/Labs/SecurityPolicyQuiz.htmliz.html

Example: General knowledge of security system …

Security Policy

Policy, Standard, GuidelinePolicy, Standard, Guideline

http://mindfulsecurity.com/2009/02/03/policieshttp://mindfulsecurity.com/2009/02/03/policies--standardsstandards--andand--guidelines/guidelines/

Why?Why?

What?What?

How?How?

• Security Policy – foundation of an effective information security system

broad statements of vision that expresses company’s keysecurity values and principles

usually very concise – 1-2 paragraphs – cannot givedetails as environment and technology keep changing

intended to guide lower/user level activities

although least expensive security protection, policiesare often most difficult to implement

Policy, Standard, Guideline (cont.)Policy, Standard, Guideline (cont.)

Failure to comply with a PolicyFailure to comply with a Policy(should) imply disciplinary action.(should) imply disciplinary action.

Example: Organization without policy

Consider scenario:An employee behaves inappropriately at the work place, by viewing unsuitable Web pages or reading another employee’s email.Another employee is aggrieved by this behavior andsues the company. The company does not have policythat prohibits the behavior, hence no legal action against offender cannot be taken …What happens next?

Policy is not just a management tool to Policy is not just a management tool to accomplish security function.accomplish security function.

It is necessary to protect organization It is necessary to protect organization and the jobs of its employees.and the jobs of its employees.

• Security Standard – more specific directives that are mandatory

designed to support and conform to a policy

example:require centrally managed antivirus program on all employeehome/mobile computers that access the firm’s internal network

it is important to audit adherence to standards to ensuretheir implementation

• Security Procedure – specify actual steps of what needs to be done to comply with a standard

example:specific instructions on how to download and install centrallymanaged antivirus software

• Security Guideline – discretionary set of directionsdesigned to achieve a policy/security objectives

needed in complex & uncertain situations for which rigidstandards cannot be specifiedexamples:

company might have a guideline that each new employee shouldhave a background checkhowever, in an emergency, department head might be allowed tohire a person before a background check is completed

• Security Best Practices – descriptions of what bestfirms in the industry are doing about security

• Security Recommended Practices – set of policies /standards / procedures /guidelines recommendedby trade associations and government agencies

Security PoliciesSecurity Policies

• For policies to be effective, they must be:A. Developed using industry-accepted practices.

B. Formally agreed to by act or affirmation.

C. Distributed and disseminated to all employees using all appropriate means.

D. Uniformly applied and enforced.

• Important rule to follow when shaping a policy:Policy should never conflict with law.

Properly defined and enforced policies function in an organizationthe same way as laws - complete with penalties and sanctions.

Thus, policies must be carefully crafted so as not to conflict withthe ‘outside’ (actual) laws.

Security Policies (cont.)Security Policies (cont.)

A. Development of Security Policy: 5 stage process

Investigation Phase.

Assemble the right policy design team consisting of properrepresentatives from groups that will be affected by the newpolicy (e.g. representatives from the legal department, HR,end users of various IT systems covered by the policy)

Make an outline of the scope and goals of the policy,as well as the cost and scheduling of its implementation.

Obtain general support from senior management. Withoutenough attention, any policy has a reduced chance of success –mid-management and users not likely to implement it.

Analysis Phase.Obtain all recent & relevant information (risk assessment,IT audits), as well as other references (e.g. past law suits)concerning negative outcome of similar policies.

Why is Analysis Phase performedWhy is Analysis Phase performedafter Investigation Phase?after Investigation Phase?

WouldnWouldn’’t it be beneficial to approach the t it be beneficial to approach the management with already gatheredmanagement with already gatheredlegal/audit (reference) information?legal/audit (reference) information?

Sometimes policy documents that affect information Sometimes policy documents that affect information security is housed in the HR department, as well as security is housed in the HR department, as well as

accounting, finances, legal, or corporate accounting, finances, legal, or corporate security departments.security departments.

A. Development of Security Policy: 5 stage process (cont.)

Design (Distribution Planning) Phase.Create a plan on how to distribute and verify the distributionof the policy (e.g. by a written hard-copy consent or a bannerscreen with a warning).

Implementation Phase.Design team actually writes the policy.Can rely on existing policies found on the Web, Government Sites, Professional Literature.Policy has to be written in a way to be understood by everybodyin the company: with minimal technical jargon and managementterminology, and if required in more than one language.

Maintenance Phase.Monitor, maintain, and modify the policy to ensure that it remains effective as a tool against ever changing threats.

Example: Policy templates

http://http://www.sans.orgwww.sans.org/security/security--resources/policies/resources/policies/

B. Policy Compliance

Failure to agree to or follow a policy may jeopardize organization’s interests and, thus, be sufficient to decideon termination.

However, the legal system may not support suchdecision.

Organization can incorporate ‘policy confirmation’statement into employment contract or annual evaluation.

C. Policy Distribution

Getting the policy document into the hands of allemployees may require a substantial effort / investment.

Techniques of distribution:hard-copy distributionbulletin-board distributiondistribution via emaildistribution via intranet (in html or PDF form)

Organization must be able to prove distribution of thepolicy document, e.g. via auditing log in case of electronicdistribution.

Example: Importance of policy distribution (i.e.employee education)

Assume an employee is fired for failure to comply with apolicy.

If the organization cannot verify that the employee wasin fact properly educate on the policy, the employee couldsue the organization for wrongful termination.

D. Policy Enforcement

Because of potential scrutiny during legal proceedings, organizations must establish high standards of policyimplementation.

example: if policy mandates that all employees wear ID badgesin a clearly visible location, and some management membersdecide not to follow this policy, any action taken against otheremployees will not withstand legal challenges

• Information Security Responsibilities

• Three types of security policies found in most organizations:

1) Enterprise Information Security Policy (EISP)

2) Issue-specific Security Policy (ISSP)

3) System-specific Security Policy (SysSP)

Security Policies: EISPSecurity Policies: EISP1) Enterprise Information Security Policy (EISP)

Aka as general security policy – sets strategic direction,scope, and tone for all security matters and efforts.

Short (2 – 10 page) executive-level document usuallydrafted by chief IT officer of the organization.

Common components of a good EISP:

Statement of purpose – explains the intent of the document.

States info. sec. philosophy for the given enterprise.

Explains the importance of info. sec. for the enterprise.

Defines the info. sec. organization/structure of the enterprise.

Lists other standards that influence and are influenced by thisdocument.

Security Policies: EISP (cont.)Security Policies: EISP (cont.)

2) Issue-Specific Security Policy (ISSP)

Provides detailed, targeted guidance concerning the useof a particular process, technology or a system.

ISSP may cover one or more of the following:

use of electronic mail

use of the Internet and WWW

use of company-owned computer equipment

use of personal equipment on company networks

specific minimum configuration of computers to defend againstworms and viruses

prohibitions against hacking or testing organization security control

Security Policies: ISSPSecurity Policies: ISSP

2) Issue-Specific Security Policy (ISSP) (cont.)

Components of a typical ISSP :

1) Statement of Purposewhat is the scope of the policywhat technology and issue it addresseswho is responsible and accountable for policy implementation

2) Authorized Access and Usagewho can use the technology governed by the policywhat the technology can be used forwhat constitutes ‘fair and responsible’ use of technology andit may impact ‘personal information and privacy’

3) Prohibitive Use of Equipment - unless a particular use is clearlyprohibited, the company cannot penalize its employees for misuse

what constitutes disruptive use, misuse, criminal usewhat other possible restrictions may apply

Security Policies: ISSP (cont.)Security Policies: ISSP (cont.)

2) Issue-Specific Security Policy (ISSP) (cont.)

Components of a typical ISSP :

4) Systems Managementwhat / which kind of authorized employer monitoring is involved(e.g. electronic scrutiny of email and other electronic documents)

5) Violation of Policywhat specific penalties, for each category of violation, will applyhow to report observed or suspected violations – openly oranonymously

6) Policy Review and Modificationshow is the review and modification of the policy performed, soas to keep as ‘current’ as possible

7) Limitation of Liability – company does not want to be liable if anemployee is caught conducting illegal activity with company’s asset

how is liable if an employee violates a company policy or any law

Security Policies: ISSP (cont.)Security Policies: ISSP (cont.)

Example: ISSP examples

Kennesaw State University: http://its.kennesaw.edu/infosec/issp.php

York University:http://www.cse.yorku.ca/prism/policies.htmlhttp://www.cse.yorku.ca/prism/policy/yorkPolicy.html

3) System-Specific Security Policy (SysSP)

Both EISP and ISSP are formalized as written documentsreadily identifiable as policy.

SysSP, however, has a look of a standard or a procedureto be used when configuring / maintaining a system,for example:

how to select, configure, or operate a firewall

access control list that defines levels of access for each authorized user

Two general types of SysSPs

Managerial Guidance SysSP

Technical Specifications SysSP

Security Policies: Security Policies: SysSPSysSP

Security Policies: Security Policies: SysSPSysSP (cont.)(cont.)

3) System-Specific Security Policy (SysSP)

Managerial Guidance SysSP – created by management to guide implementation / configuration of technology aswell as to address people behavior in ways to supportsecurity.

An organization’s ISSP may not allow employees to have access to the Internet via organization’s network. In that case, firewallwould have to be implemented accordingly – following managerialguideline.

Technical Specification SysSP – in some cases systemadministrators need to create / implement their own policy in order to enforce Managerial Guidance SysSP. Implementation tools:

Access Control Lists (User / Group Policy)

Example: implementation of ACL in WindowsXP

More on firewall configuration later …More on firewall configuration later …

Example: Firewall Configuration Rules

More on access control later …More on access control later …

Final Note on PolicyFinal Note on Policy

• Policy Administrator – must ensure that policydocuments and its subsequent revisions are appropriately distributed

a three-ring binder sitting on a manager’s book casenot likely to achieve the goal

• Policy Review – to remain relevant and effectivesecurity policies should be reviewed annually

input from all affected parties should be sought

policy, and its revisions, should always be dated!

cse4482_02_securitymanagement

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