CROSS-REFERENCE TO RELATED APPLICATIONS This application is a continuation, pursuant to 35 U.S.C. § 120, of U.S. patent application Ser. No. 10/134,815 filed on Apr. 29, 2002.
BACKGROUND OF INVENTION Information Security encompasses the protection of information against unauthorized disclosure, transfer, modification, or destruction, whether accidental or intentional. Information security has become a prevalent concern of organizations as a result of the trends towards e-commerce, e-business, universal email and web access, and well-publicized security exploits. As a result, organizations are attempting to apply information security principles in a pragmatic framework.
To enable organizations to apply information security principles in a pragmatic framework, a number of information standards and tools have been developed. One widely recognized standard, BS7799/ISO17799, was developed by the British Standards Institution (BSI) and adopted by the International Organization for Standardization (ISO). The BS7799/ISO17799 standard is a comprehensive set of controls that outline best mode practices in information security. The aim of BS7799/ISO17799 is to serve as a single reference point to determine the appropriate information security policy for a variety of systems and organizations. The BS7799/ISO17799 standard includes 10 sections, each addressing a specific area of information security. See, “ISO17799 Security Standard: ISO 17799 Compliance & Positioning.”
The process of managing compliance with the BS7799/ISO17799 is a non-trivial task. As a result, a number of risk analysis and risk management products have been developed to help organizations comply with the BS7799/ISO17799 standard. One such product is COBRA, which was developed by C & A Systems, Inc. COBRA is used to semi-automate the assessment process. COBRA utilizes a series of online questionnaires to obtain information about the current security policy. Using the answers from the questionnaires, COBRA creates reports that provide information about the organization's current compliance position, on a pass/fail basis, with respect to each section of the BS7799/ISO17799 standard.
Another tool that has been developed to enable organizations to apply information security principles in a pragmatic framework is the Systems Security Engineering Capability Maturity Model (SSE-CMM). The SSE-CMM is derived from concepts of the Software Engineering Institute (SEI) Capability Maturity Model initially created for software development. The SSE-CMM describes the essential characteristics of an organization's security engineering process that must exist to ensure good security engineering. The SSE-CMM does not prescribe a process or standard such as BS7799/ISO17799, but rather uses a model that captures practices generally observed in the industry. Additionally, the SSE-CMM is based on a maturity model that defines specific goals and practices for the entire life cycle of an organization. Further, the SSE-CMM defines an overall assessment process and roles for security engineering within an organization. See, “System Security Engineering Capability Maturity Model-Model & Appraisal Method Summary April 1999.” The resulting assessment obtained from applying the SSE-CCM is typically not associated with a reporting tool to report the maturity level.
SUMMARY OF INVENTION In general, in one aspect, the invention relates to a method for assessing an information security policy and practice of an organization, comprising determining a risk associated with the information security policy and practice, collecting information about the information security policy and practice, generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, generating a list of corrective actions using the rating, executing the list of corrective actions to create a new security information policy and practice, and monitoring the new security information policy and practice.
In general, in one aspect, the invention relates to an apparatus for assessing an information security policy and practice of an organization, comprising means for determining a risk associated with the information security policy and practice, means for collecting information about the information security policy and practice, means for generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, means for generating a list of corrective actions using the rating, means for executing the list of corrective actions to create a new security information policy, and means for monitoring the new security information policy.
In general, in one aspect, the invention relates to a computer system for assessing an information security policy and practice of an organization, comprising a processor, a memory, an input means, and software instructions stored in the memory for enabling the computer system under control of the processor, to perform determining a risk associated with the information security policy and practice, collecting information about the information security policy and practice using the input means, generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, generating a list of corrective actions using the rating, executing the list of corrective actions to create a new security information policy and practice, and monitoring the new security information policy and practice.
Other aspects and advantages of the invention will be apparent from the following description and the appended claims.
BRIEF DESCRIPTION OF DRAWINGS FIG. 1 illustrates a typical computer system.
FIG. 2 illustrates a flowchart detailing the Security Maturity Assessment method in accordance with one embodiment of the invention.
FIG. 3 illustrates a portion of a Security Maturity Assessment Reporting Tool report in accordance with one or more embodiments of the invention.
FIG. 4 illustrates a flowchart detailing the Security Maturity Assessment method in accordance with another embodiment of the invention.
DETAILED DESCRIPTION Exemplary embodiments of the invention will be described with reference to the accompanying drawings. Like items are denoted by like reference numerals throughout the drawings for consistency.
In the following detailed description of the invention, numerous specific details are set forth in order to provide a more thorough understanding of the invention. However, it will be apparent to one of ordinary skill in the art that the invention may be practiced without these specific details. In other instances, well-known features have not been described in detail to avoid obscuring the invention.
The invention relates to a method for assessing a security maturity of an organization. Further, the invention relates to assessing the security maturity of an organization using a security assessment matrix. Further, the invention relates to basing the security assessment matrix on the BS7799/ISO17799 standard and the Capability Maturity Model (CMM). Further, the invention relates to a method for providing quantitative, action-oriented results using the security assessment matrix. Further, the invention relates to a method to compare the security maturity of an organization to a pre-determined goal, or to the security maturity of the same organization at another point in time, or to the security maturity level mandated by another organization or authority.
The invention may be implemented on virtually any type computer regardless of the platform being used. For example, as shown in FIG. 1, a typical computer (28) includes a processor (30), associated memory (32), a storage device (34), and numerous other elements and functionalities typical of today's computers (not shown). The computer (28) may also include input means, such as a keyboard (36) and a mouse (38), and output means, such as a monitor (40). Those skilled in the art will appreciate that these input and output means may take other forms in an accessible environment.
The Security Maturity Assessment (SMA) method involves five distinct stages: (1) management awareness and commitment, (2) security maturity assessment, (3) corrective action plan (CAP), (4) corrective action plan execution (CAPE), and (5) ongoing monitoring. Each of the aforementioned stages is explained below in greater detail. Those skilled in the art will appreciate that the names used to denote the stages may vary without detracting from the invention.
FIG. 2 illustrates a flowchart detailing the SMA method in accordance with one embodiment of the invention. The SMA method is initiated by ensuring that an organization's management is aware and committed to improving the organization's information security practices and policies (Step 100). An assessment entity (e.g., individual/company conducting assessment) then assesses the organization's information security practices and policies (Step 102). Using the information gained in Step 102, the assessment entity develops a corrective action plan (Step 104). The corrective action plan is subsequently executed (Step 106). If the organization desires continuous monitoring after the execution of the corrective action plan (Step 108), then the assessment entity may continuously monitor revised information security policies and practices of the organization (Step 110). Following the continuous monitoring, the method may return to Step 100 to ensure that the organization's management is still aware and committed, or potentially proceed directly to Step 102 if the organization's management continues to be aware and committed. If the organization desires not to have continuous monitoring after the execution of the corrective action plan (Step 108), then the method ends.
The management awareness and commitment stage is the first stage of the SMA method and is used to raise awareness within the management of the organization being assessed and to initiate gathering of information. Specifically, in the management awareness and commitment stage, an assessment entity gathers information to understand the organization's business goals. Further, the assessment entity gathers information to understand the associated risks in terms of information security. For example, if the organization is using a wireless Local Area Network (LAN), there are different information security risks to consider than if the organization is using a conventional LAN where all computers are connected via Ethernet cable. Additionally, the assessment entity creates awareness in the organization by presenting the security maturity assessment methodology and method. In one or more embodiments of the invention, the assessment entity may also provide additional information about the underlying standards, e.g.) the ISO standard. In one or more embodiments of the invention, the assessment entity may also provide an explanation of the concept of a maturity model as it applies to the security assessment.
The security maturity assessment stage is initiated by the assessment entity identifying participants required to perform the SMA. Additionally, the assessment entity, in conjunction with the organization, determines the effect and cost to be used to perform the SMA. A time line is also set to allow the assessment entity and the organization to have a means to track the progress of the SMA. At this point, in one or more embodiments of the invention, the assessment entity may request that the organization sign an assessment contract to ensure commitment by the organization to follow through with the SMA. Once the aforementioned steps have been completed, the assessment entity proceeds to perform the SMA.
The assessment entity initiates the SMA by collecting documents detailing the organization's existing information security policies and practices. After review of the collected documents, additional information is typically obtained via interviews with participants identified at the beginning of this stage. Using the information obtained from the collected documents and the interviews, a preliminary rating is generated. The preliminary rating details the maturity of individual sections and the overall maturity level of the organization's information security practices and policies.
In one or more embodiments of the invention, the preliminary rating is generated using a security assessment matrix (SAM). The SAM defines each level of maturity for each information security item. The SAM includes 61 rows corresponding to the groups of the BS7799/ISO17799 standard information security items, and 5 columns defining the maturity level. The five maturity levels, arranged from least mature to most mature, are Initial (Level 1), Repeatable (Level 2), Defined (Level 3), Managed (Level 4), and Optimizing (Level 5). For each intersection of row and column, there is a paragraph that defines a specific “capability maturity” level. The paragraphs contained in a given row of the SAM represent successive capability maturity levels for the same information security item. Further, some rows of the SAM represent successive capability maturity levels associated with a single information security item, as described in one paragraph of the BS7799/ISO17799 standard. Other rows of the SAM may represent successive capability maturity levels of information security items that the BS7799/ISO17799 standard describes in separate paragraphs or sections.
In one or more embodiments of the invention, an item definition for each information security item is included in the SAM. The item definition acts as a legend for the level definitions for a particular information security item. Further, in one or more embodiments of the invention, the SAM includes level definitions as follows: Level 1—Initial; Level 2—Not written down, but communicated via coaching; Level 3—Written down; Level 4—Responsibility is defined; Level 5—Process exists for catching deviations and improving the information security to prevent them. Further, in one or more embodiments of the invention, the SAM includes scope requirements. The scope requirements indicate to which various aspect of an organization's operations the criteria set forth in a particular row of the SAM must be applied.
The combination of a certain level definition (e.g., Level 1) with one information security item (i.e., a specific row of the SAM) yields a specific criterion that one skilled in the art can apply to establish if the organization being assessed meets, fails or exceeds this level of maturity for this information security item. Furthermore, those skilled in the art can apply the general definition of the maturity level (Level 1 through 5) to a specific information security item in such a way that they can readily determine whether the organization being assessed meets, fails or exceeds this level of maturity for this security item, even if the specific criterion set forth at the intersection of this row and column of the SAM is, for any reason, not directly applicable in the case of this organization.
Table 1 illustrates the SAM in accordance with one or more embodiments of the invention: TABLE 1
Security Assessment Matrix
Level 1 Level 2 Level 3 Level 5
(Initial) (Repeatable) (Defined) Level 4 (Managed) (Optimizing)
Level Definitions
Process exists
for catching
Not written deviations and
down, but making
ISO 17799 Item communicated Responsibility is constant Scope
Categories Definitions via coaching Written down defined improvements Requirements
III.1 Information Coverage of No security Security policy Specific Security policy Clear Goal and
Security Policy Security Policy policy in exists, but as a policy exists, covers all areas of responsibilities principle of
Review of effective place general clearly stating business. Security and every
implementation of statement. in detail what policy is owned by mechanisms in information
information security Inferring what is mandated appropriate functions place to security
policy is specifically or prohibited. including IT but also upgrade policy Information
Review of mandated or A “normal” Finance, HR, Legal, if required sharing
Information prohibited person can etc. Organization after every management
Security Policy requires easily policies define the breach of and
consulting understand it. roles and policy, also if responsibilities
specialized Reviews responsibilities in business
personnel. No carried out at following changes
regular reviews. intervals, but procedures. Reviews (acquisition,
no clear carried out - intervals divestiture, or
management and responsibility for major changes
responsibility the reviews are in process such
to trigger defined explicitly in as
reviews or the policy. outsourcing)
exploit results occur.
Availability of No security Security policy There is a Security policy Each security Staff
Security Policy to policy is discussed Security communication is incident is awareness and
Employees communication with employees Policy part of written IT and subject to a education
Security Education to and contract or manual, Personnel post mortem Responsibilities
and Technical employees temporary mentioned on procedures. Training procedure that and
Training (non- personnel upon public notice and/or includes a emergency
existent, or hiring. board and/or communication on review of arrangements
limited to on web page. security policy occur whether Well defined
IT at least once a year. applicable policy
personnel). policies were Security
correctly training
communicated. integrated into
Users are personnel
taught the development
incident program
reporting Management
procedures. responsibility
to provide
security
training,
including the
specification
of a clear desk
and clear
screen policy
for all
employees.
Review of Security Issued once, Occasionally Reviewed at A clearly There is a defined General
Process never reviewed if intervals, but designated person mechanism to management
reviewed senior no clear or body has review and responsibility
management, management responsibility for upgrade the
auditors, etc., responsibility the process, and policy after every
ask to trigger reviews it security incident
reviews of regularly. (is anything
exploit results missing from the
policy that could
have prevented
the problem?)
IV.1 Information Responsibility for the No responsibility Specific A matrix for A specific party is Security Individual
Security Infrastructure protection of individual assets is assigned. individuals are the responsible for responsibility is a assets refer to
aware of their responsibility defining and required field in the
responsibility of protection maintaining the the asset organization's
to protect some of assets responsibility management physical
assets. The list exists and is matrix for the process, so rows assets (e.g.,
of assigned published. protection of in the matrix are computers,
responsibilities individual assets. created when new printers,
is not Successive assets are media, etc.)
documented. versions of the acquired. Assets
matrix are without a
archived to help in responsible party
future is immediately
investigations. flagged for
corrective action.
Security in job No formally Specific Responsibility A specific party is Job descriptions Interpretation
definition and defined individuals are for security responsible for and personnel is based on
resourcing process. aware of their decision developing job screening SSO/IRT
responsibility. making has responsibilities, arrangements are type position.
been assigned personnel periodically
and screening and reviewed to
documented. confidentiality conform to the
agreements. changing security
needs of the
business. Also
personnel are
required to sign
and agree to
confidentiality
agreements.
Information security No formally Key members Training for A specific party is Security
education and defined of personnel personnel is responsible for curriculum is
training training plan are trained on defined and defining the periodically
an ad-hoc performed training plan reviewed to
basis. periodically. developing conform to the
training schedules changing needs
for all personnel of the business.
Training records
are reviewed
against policy
and exceptions
lead to training
program updates.
Approval process No approval Informal, A clear A specific party is The approval
for the acquisition process undocumented approval responsible for process is
and installation of exists. knowledge of process is defining and periodically
IT facilities. steps to be defined for maintaining the reviewed to
followed when the approval process conform to the
acquiring or acquisition for IT facility changing needs
installing IT and acquisition and of the business.
facilities exists. installation of installation. The approval
IT facilities process for each
and published acquisition and
across the installation of IT
enterprise. facilities is
reviewed for
accuracy and
corrective action
is taken where
appropriate.
IV.2 Security of Security Control of No control Physical access The access Third-party access The access logs
Third Party Third Party Access mechanism control allows control rules is linked to the rest and the list of
Access to Information ad hoc are of the authorized third
Processing Facilities decisions by IT documented. organization's parties is
staff, who have There is a security system regularly audited
been told formal through the and changes to
informally contract with issuance of access procedures is
what to do. each party tokens, and made when the
that requires accesses are need arises.
access. logged.
IV.3 Outsourcing Security Controls None; IT, Security, The There is a registry Procedures are Critical
for External contractors Legal, or procedures for of contractors. reviewed on at applications
Contractors are handled Purchasing contractor They sign the least an annual stay in house
by task apply some security are security policy, basis for possible Approval of
owner regular steps documented NODE and IP improvements. business
without when a in writing and agreements. owners.
specific contract is personnel and Audits are run at Implications
policies or issued. These managers least quarterly to for business
procedures. steps are not have access to make sure the list continuity
specifically them and are of contractors is plans.
documented. aware of their current. The Security
contents. owner of the standards and
process is defined. compliance
Security
incident
procedures.
V.1 Accountability Coverage of Asset No inventory Manual Inventory Schedule, triggers, There is a process Information
for Assets Inventory inventory, performed roles and to review what Asset
Maintenance occasional, on according to responsibly, are happened after Inventory
demand. written defined. each inventory. Software
procedures, Ownership is clear Inventories are Asset
but schedule and known incremental, not Inventory
and triggering throughout the IT from scratch Physical
events are not organization and every time. Asset Asset
well defined. management. inventories are Inventory
Typically not automated. Services
automated. Inventory
Ease of Alteration Information There is There is a There are control There is a Printed
of Information assets can be informal documented mechanisms (e.g., mechanism in Reports
Assets altered knowledge that change access controls) to place to review Screen
without classified procedure that prevent alteration the effectiveness Displays
control documents applies to all without proper of the change Magnetic
cannot be classified authorization. control process Media
altered at will, information and detect the Electronic
but no assets. No need for Messages
systematic systematic improvements. File Transfers
procedures. control
mechanisms
in place.
Coverage of No Covers some There is an Information Information Information
Information procedures in information Information handling handling training Asset
Handling place for assets. Little Handling procedures are is part of written Inventory
Procedures handling formality. No manual, owned by IT and Personnel Software
information. regular mentioned on appropriate procedures. Asset
reviews. the public functions including Processes in Inventory
Applied by few web page, and IT but also place to report Physical
business units. covering Finance, HR, and learn from Asset
essentially all Legal, etc. cases when Inventory
types of assets Organization information has Services
and all policies define the been handled Inventory
business roles and incorrectly. Printed
units. responsibilities in Reports
following Screen
procedures. Displays
Magnetic
Media
Electronic
Messages
File Transfers
(“Handling” = copying,
storage,
electronic
transmission,
spoken
transmission,
destruction)
V.2 Information Classification of No Ad hoc Information Ownership of the Security Printed
Classification Information Assets classification classification, asset classification is classification is Reports
Labeling of at document classification clearly defined as reviewed Engineering
Information Assets owner's is published part of company periodically. List files (photos,
initiative. and “pushed” procedures and is of documents microfiche,
Most to all potential known of with highest etc.)
documents not document management. classification is Screen
marked. If owners. It reviewed Displays
marked, labels covers periodically. Magnetic
are security. Declassification Media
inconsistent. Classified procedures exist. Electronic
No systematic information is Messages
awareness labeled, File Transfers
campaign. consistently.
VI.1 Security in Job Screening of Incomplete Screening of Documented and A specific party is Procedures are Applicant
Definition and new or a lack of applicants is published responsible for reviewed regularly refers to all
Resourcing applicants. screening of performed procedures for defining and for improvements employees
Complete applicants. informally, is applicant maintaining the and compliance. (contractor,
checking of Contractor not documented, screening exist screening procedure. Security issues found permanent,
the new hiring are and is not and are used by Results of the to be related to or part time)
applicant's not vetted performed the organization. screening are failings in the
CV. through HR. consistently. captured in the screening procedure
Screening of applicant's HR file. mandate immediate
contractor review and update of
and the procedure.
temporary
staff
VI.2 User Training Security Little Discussed with Documented in Roles and Audits of the security
awareness of awareness of employees and writing and made responsibilities to acknowledgments are
personnel corporate contract or available to all maintain and performed. A system
security. temporary staff. Employees communicate the of re-
personnel upon receive a copy of security policy are acknowledgment
hiring. security policy on defined. occurs periodically
hiring and are Acknowledgement and upon changes to
required to of the policy is the security policy.
acknowledge tracked and stored Incidents are
receipt. as part of the HR analyzed for
policy of the performance
employee. improvement to the
security awareness
procedures.
Security No education Security Security A specific party is Training plans are
education or training is education and education is responsible for periodically reviewed
and technical provided. technical documented and defining and to conform to the
training training are not included as part maintaining the changing needs of the
provided of the hiring security education business. Training
consistently and process. and technical records are reviewed
the Technical training program. against policy and
responsibility is training roadmaps Training records are exceptions lead to
at the discretion exist for each captured in the corrective actions.
of management. employee. employee's file.
Review and
planning for future
training is part of
the appraisal
process.
VI.3 Responding to Disciplinary None Managers have The definition of The documented After each incident
Security Process for documented. intuitive violations, process includes that causes the
Incidents and Company Reaction is awareness of investigation roles and procedure to be
Malfunctions Security ad hoc. need, can quote process, and list responsibilities for invoked, the process
Violation multiple levels of applicable each step, and a is reviewed and,
of penalty, penalties is clear workflow. when applicable, the
including but not documented, process is revised
limited to firing. distributed, (including the
Managers and signed by the training or the
HR appropriate penalty clauses).
independently parties, and
agree on how to personnel has
initiate and been educated as
conduct to the content.
disciplinary
actions.
VII.1 Secure Areas Protection The IT Access control is List of secure All access to secure Auditing of access
from equipment is provided on an perimeters and IT areas is control system logs is
unauthorized left ad hoc basis access rights to performed by a done periodically.
access. unattended typically by IT those areas are mechanism (e.g., Changes in facilities
Physical with no manager. No documented and badge access control and management
entry control controls defined list of published. system) that allows trigger a review and
to office, beyond access rights is for personal revision of the access
room. physical published or identification and procedures.
Physical building managed. auditing. Access
security for access. control is managed
IT facilities. centrally for
granting and
revoking rights and
is linked to hiring
and termination
policies.
VII.2 Equipment Fire alarm The fire Procedures for The fire alarm Reaction to actual
Security system in not alarm system the fire alarm system is tested. alarms is reviewed
present. exists and system are Procedures exist and improvements
people have visible and for evaluation of implemented into
been posted, the fire alarm the current system
informally including system including and alternative
made aware evacuation path, damage systems reviewed
of the behavioral assessment and where necessary.
system. actions, Halon recovery,
warnings, etc. evacuation
headcount, etc.
Personal No policies Policies for There is a A specific party is The personal
workstation for personal personal documented responsible for workstation policy is
policy workstations workstations policy for defining and regularly reviewed to
exist. exist but are not personal maintaining the ensure it conforms to
published or workstations and personal the changing needs of
adopted fully steps are taken to workstation the business. Personal
across the spread its policy. workstation needs are
organization. awareness among Sensitive reviewed and changes
employees. information is are made where
protected by necessary. Audits are
means of carried out to ensure
encryption. that the organization
maintains a recognized
workstation policy to
ensure efficient
management.
Protection There are no There is an There is a formal A specific party is The safety threat policy
from procedures informal safety documented responsible for is regularly reviewed to
environmental in place to threat protection policy in place. It defining and ensure it conforms with
threats and protect from policy in place. details all the maintaining the the changing needs of
hazards. safety threats This is not steps that need to safety threat the business. The
Protection or hazards. enforced be followed to control guidelines. policy is regularly
from human throughout the protect from reviewed and changes
carelessness organization and potential hazards. are made where
(eating, the details of the necessary to ensure
smoking, policy are not continued compliance.
drinking). documented.
Protection
from power
and
communication
cabling
from
interception
or damage.
VII.3 General Controls Inspection of Incoming There is no There is a A responsible The key goods
incoming goods are formal process documented party is identified screening process is
goods for not to inspect process whereby to manage the regularly reviewed to
hazards inspected. incoming goods. all incoming processes and ensure they conform to
It is carried out goods are procedures for the changing needs of
in an adhoc inspected per a inspecting the business. Goods
manner. defined plan. incoming goods screening needs are
for safety reviewed and changes
compliance. are made where
necessary. The
organization maintains
historical files of
incoming goods; these
are regularly reviewed
to ensure that there are
no discrepancies.
Process of There is no An informal A formal process An inventory of Audits of the
removal of standardized process exists is documented organizational organization's property
organization's procedure for property and published the property is are carried out
property for removal removal. to organization maintained and periodically and
of property. for property updated regularly. changes to the removal
removal. A group or process are made
individual is where necessary.
identified to verify
that the process is
followed.
Equipment There are no Equipment Equipment is A responsible Record of equipment
maintenance equipment maintenance is covered by party is identified maintenance is
maintenance carried out on an insurance and the to oversee examined to determine
policies and ad hoc basis equipment equipment fault patterns or abuses.
the based on maintenance maintenance Appropriate changes
equipment manufacturer controls the policies are are incorporated into
maintenance recommended determination of followed. the maintenance
is done only service intervals risk. policies.
on failure.
Sensitive Data Data disposal Data disposal A responsible The disposal procedure
data disposal disposal procedure is procedure is party is identified is audited regularly and
procedure procedure is informally formally defined to oversee that the appropriate steps
not defined. defined. and published to disposal procedure incorporated into the
the organization. is followed. procedure.
VIII.1 Operational Management None - each Common Documented in Roles and Procedures include a Reporting
Procedures and Responsibilities incident is awareness of writing and made responsibilities are mechanism to evolve procedures
Responsibilities and handled ad procedures. available to all IT defined. them. Incidents are cover:
Procedures hoc on a best Effort for staff (and other Escalation and analyzed to suggest All types of
Incident effort basis. repeatability department staff reporting chains improvements. There security
Reporting includes staff with IT roles) exist. Issues and is a quality incident
Procedures meetings, requests are improvement process, Contingency
training recorded as documented and plans
sessions, trouble tickets. applied. Audit trails
coaching and similar
Recover
actions and
authority
VIII.2 System Planning Testing of None; new Testing is A formal The responsibility Policy is Includes issues
and Acceptance new systems are informal and is document to define, review, periodically of capacity
information placed in performed based defining the and ensure reviewed and planning and
systems operation on individuals' testing and compliance with revised upon any Systems
requirements without any knowledge, not deployment of the testing policy change in the Acceptance.
and upgrades formal test on a formal new and is defined. There production systems Issues to be
prior to procedure. process. upgraded systems are system level or organizational considered
deployment is defined. tools that prevent structure. Testing include:
unauthorized methodology and Performance
changes to tools are and Computer
production continuously Capacity
systems. examined to Requirements
Documents exist determine Error Recovery
detailing applicability to the and Restart
interfaces into the organization and Procedures
change then introduced. Security
management Controls/Issues
process. Manual
Processes
Business
Continuity
Arrangements
Additional
Load on
existing
machines
Training in the
operation of the
new equipment
VIII.3 Protection Detection and No IT staff has A formal, A specific party is The procedure Procedures
Against protection detection, informally documented responsible for includes a cover:
Malicious against protection defined procedure for defining and mechanism for All types of
Software malicious measures, procedures for detecting and maintaining the evolution. Incidents virus and
software. reporting, detecting and handling detection and are analyzed to malicious
User or recovery handling malicious protection suggest software
awareness of procedures malicious software and procedures, improvements. The incident
procedures to exist, and software and virus attacks informing and toolset is Contingency
deal with dealing virus attacks. exists and is training the users, continuously plans
malicious with There are no communicated to managing the examined and Audit trails and
software malicious common tools, all employees as detection and updated to provide similar
Procedures software formal part of the recovery efforts, maximum protection Recover actions
for reporting and virus documentation, corporate security and selecting and against changing and authority
and recovery attacks is or training policy. A maintaining the treats.
from virus entirely programs for all standard set of protective tools.
attacks reactive employees. protective tools is
and defined and
handled in deployed.
an ad hoc Training is given
manner. to all employees.
Policy No policy Software A software A specific party is List of authorized
relating to or monitoring licensing policy responsible for software is
licensed monitoring policies are is documented monitoring and periodically
software and exists informal and and published to maintaining reviewed to conform
prohibition of regarding performed on an all employees. authorized to the changing
unauthorized software ad hoc basis. The software licenses needs of the
software installation. IT organization, for the enterprise. business. Software
when involved in A software audits are reviewed
software inventory and exceptions lead
procurement, licensing tool is to corrective actions.
applies controls used to monitor
informally. and ensure
compliance.
VIII.4 Housekeeping Monitoring of No Informal Capacity plan and Ownership of the New technology,
processing monitoring monitoring as capacity capacity plan and contractual
power and exists. part of system management capacity agreements, and
storage to Capacity management process covering management supplier selection
ensure adjustments procedures processing process is defined. are continuously
availability are performed on an power, memory, Formal researched and
performed as needed basis. disc space, mechanism for introduced into the
in reaction No management LAN/WAN business managers environment in
to capacity plan or capacity, backup to place order to provide the
problems. model is capacity, number requirements into necessary resources
specifically of user the plan and a link while optimizing the
defined. workstations, exists between the costs.
physical space capacity planning
and power. process and the
budgeting process.
VIII.5 Network Covered by other
Management questions in this section
VIII.6 Media Handling Procedures No IT staff has Formal, A specific party is Procedures are Media includes:
and Security and controls procedures informally documented responsible for periodically IT computer
to protect or controls defined procedures for defining and reviewed to address room media
computer are in place procedures and protecting maintaining the changes in the type (e.g., backup
media to protect controls for computer media procedures for the or volume of tapes,
computer protecting exist and are access control computer media to removable hard
media. computer media. communicated to systems and be handled. Audit drives, CD-
There is no all employees as auditing of access logs are reviewed ROMs, etc.)
formal part of the to computer and exceptions lead User media
documentation, corporate security media. to corrective action. (e.g., CD-
access logs, or policy. Controls ROMs, floppy
training programs are in place to discs, etc.)
for all employees. limit and track
access to media.
Training is given
to all employees.
VIII.7 Exchanges of Security of No defined No corporate A corporate A specific party is The standards are Standards for
Information and exchange of procedures standard or policy standard for the responsible for periodically secure
Software data and to secure exists addressing security exchange defining and reviewed to address exchange of
software with the securing the of data and maintaining the changes to the data data and
other exchange exchange of data software with standards for the being exchanged or software with
organizations. of data or and software with other secure exchange the means of 3rd parties and
software. other organizations is of data and exchanging. The outsourcing
organizations. documented and software. An information vendors.
published to all information classification policy Information
employees. classification continually evolves. classification
policy determines policy
what can be and
how it is
transmitted.
IX.1 Business Documentation No An informal, An access policy A specific party is The access policy Access rights
Requirements of business awareness undocumented statement responsible for statement is encompasses
for Access requirements or practice access control defining access defining and periodically accounts for
Control for access of access practice is rights of each maintaining the reviewed to conform network,
control. control. applied on an ad user or group of access policy to the changing operating
Access policy hoc basis. users exists and is statement and needs of the system, and
statement published. ensuring it is in business. Security application
defining the alignment with incidents are access.
access right of business reviewed and ACLs, user and
each user or requirements. modifications to the system
group of users. access policy accounts, etc.
Protection of statement are made Automatic
connected where appropriate. identification of
services from terminals and
unauthorized portable
use. devices.
Review of user Timeout of
access right remote systems
and left unattended
capabilities for extended
Policy periods of time
concerning the
use of network
and network
services.
Network
controls in
place
IX.2 User Access System of No An informal, A user account A specific party is The user account Deletion vs.
Management formal control undocumented policy defining responsible for policy is disabling
registration/de- over user account access rights, defining and periodically accounts.
registration for access to practice is privilege levels, maintaining the reviewed to conform Unique id for
access to IT IT applied on an ad and user account to the changing all users.
services. services. hoc basis. creation/deletion policy. User needs of the
Immediate rules exists and is account business. Audit
account published. creation/deletion requirements are
removal for records are reviewed and
users who archived. modifications to the
change duties user account policy
or leave the are made where
company. appropriate.
User's Multiple accounts
privilege in per individual are
overriding created or deleted
system/application through a single
restriction. point of control.
Record kept of
all privileges
allocated.
System routine
to grant
privilege to
users.
Access control
to program
source library
IX.3 User Security of user Passwords An informal, A published A specific party The password policy is Limit the number
Responsibilities password. User are not undocumented password is responsible periodically reviewed of password
password used. password policy defines for defining and to conform to the attempt before
confidentiality practice is password maintaining the changing needs of the the system locks
level applied on an strength (e.g., password policy. business. Periodic out the user.
ad hoc basis. length, Record of audits (cracking) of Record and make
inclusion of password passwords are user aware of
special histories is performed to ensure unsuccessful
characters), archived. compliance and logon attempts
aging, and exceptions are noted, Enforcement of
usage. documented, and password rules
corrective action is
taken.
Good-practice No An informal, A good-practice A specific party A process exists to No display of
guidelines to guidelines undocumented guidelines is responsible solicit suggestions for system identifiers
users in exist. guidelines is statement is for defining and best-practice guidelines until logon has
ensuring good provided to defined and maintaining the from internal and been successful
security. users on an ad incorporated good-practice external sources and to General notice
hoc basis. into user guidelines. incorporate them into warning that the
training the organization's user system should
programs. security guidelines. only be used by
authorized users
If error occurs at
logon do not
indicate what the
error was
Cryptographic No An informal, A good-practice A specific party A process exists to
Controls guidelines undocumented guidelines is responsible solicit suggestions for
exist. guidelines is statement is for defining and best-practice guidelines
provided to defined and maintaining the from internal and
users on an ad incorporated good-practice external sources and to
hoc basis. into user guidelines. incorporate them into
training the organization's user
programs. The security guidelines.
guidelines
cover:
encryption,
digital
signatures, key
management,
non-repudiation
services
IX.4 Network Covered in other area in this
Access Control section
IX.5 Operating Covered in other area in this
System Access section
Control
IX.6 Application Covered in other area in this
Access Control section
IX.7 Monitoring Covered in other area in this
System Access section
and Use
IX.8 Mobile Mobile No An informal, A good-practice A specific party A process exists to Laptop, Mobile,
Computing and Computing and guidelines undocumented guidelines is responsible solicit suggestions for and Palmtop
Teleworking Teleworking exist. guidelines is statement is for defining and best-practice guidelines security to ensure
provided to defined and maintaining the from internal and company
users on an ad incorporated good-practice external sources and to information is not
hoc basis. into user guidelines. incorporate them into compromised.
training the organization's user
programs. security guidelines.
X.1 Security Risk There is no An informal A published A specific party The risk assessment
Requirements assessment and framework undocumented risk assessment is responsible and risk management
of Systems risk of risk risk and risk for defining and policies are
management assessment. assessment management maintaining the periodically reviewed
used for and risk procedure risk assessment to conform to the
analyzing management exists. and risk changing needs of the
security practice is management business. Changes are
requirement applied on an guidelines. made to the policy
ad-hoc basis. An archive is where required.
kept of the risks
identified and
the action taken
to manage the
risk.
Safety check No safety An informal There is a A specific party The safety checks are
while procuring checks are procedure documented is responsible regularly reviewed to
new program carried out exists whereby procedure that for defining and ensure that they
and software when new programs is followed maintaining the conform to the
procuring and software before any software safety changing needs of the
new are assessed software is check business. There is a
software. before being purchased. guidelines. regular risk analysis is
put in to the This ensures Modifications to carried out to ensure
operational that all software vendor supplied safety of existing
environment. purchased packages are systems and
This task in conforms to made to comply compromise to their
performed on company with system security is controlled.
an ad-hoc security requirements Emphasis is given on
basis. guidelines. and vendor quality certification of
consent is new products.
obtained before
doing so.
X.2 Security in Validation There is no An informal There is a A specific party The validation control
Application control while validation process exists published is responsible procedure is regularly
Systems data input to of where data is standard which for defining and reviewed to ensure that
application information both verified describes the maintaining the they conform to the
system on before it is validation tests validation changing needs of the
Data validation application entered in to that are control business. Periodic
of stored systems. applications performed. guidelines. audits are performed of
information and existing There is a data on application
Output Data data is documented systems to ensure
Validation verified. Basic process which compliance.
tests like is followed. Exceptions are noted,
missing or documented and
incomplete corrective action is
data, invalid taken.
characters in
fields are
performed on
an ad-hoc
basis.
X.3 Cryptographic Cryptographic There are There is an There is a A specific party The cryptographic
Controls control no informal documented is responsible controls are regularly
cryptographic practice procedure for defining and reviewed to ensure that
controls employed which defines maintaining the they conform to the
or existing whereby some the steps which cryptography changing needs of the
system files are outlines which control business. Audits are
architecture encrypted. document guidelines. carried regularly to
does not This is done at classifications Separate key ensure that information
support the user need to be management that should be
cryptography. discretion and encrypted and procedures are encrypted is kept
on an ad-hoc the process to used for digital encrypted and that the
basis. be followed to signatures and encryption method
achieve this. encryption. used is adequate.
Vulnerabilities There are There is a There is a A specific party The key management
of no key process in documented is responsible system is regularly
cryptographic management place where by key for defining and reviewed to ensure
keys. procedures. suitable key management maintaining the they conform to the
Key management system which key management changing needs of the
management exists, based defines the system. business. Key
system. upon an steps to be Separate key management needs are
Documentation informal set of followed. This management reviewed and changes
of key standards, ensures that the procedures are are made where
management procedures and type of used for digital necessary. Audits are
system secure algorithm and signatures and carried out to ensure
(activation & methods. length of keys encryption. that the organization
de-activation are considered Cryptographic maintains a recognized
date, certificate to identify level keys have certification authority
information) of defined to ensure key
cryptographic activation and protection and efficient
protection deactivation key management.
dates. All keys
are protected
against
modification and
destruction in
case of private
key
compromise.
X.4 Security of Protection and No change An informal There is a A specific party The change control
System Files control of control procedure documented is responsible policy is regularly
system test procedure exists for standard for defining and reviewed to ensure
data. in place and change available to maintaining the that it conforms to
Change control no control. This employs change control the changing needs
procedure provisions task is describing the guidelines. of the business.
Control of for the performed on procedures to Version control Version control
operational protection an ad-hoc follow to ensure for software logs are audited and
software of system basis. that the change update is any exceptions are
test data. control maintained and documented, noted
procedures are archives are kept and corrective
followed of all versions. action is taken if
correctly necessary.
X.5 Security in Awareness of There is no An informal There is a A specific party The software The new software is
Development software process in procedure documented is responsible update policy is put in a test
and Support upgrade to place to exists to standard for defining and regularly reviewed environment to check
Processes enhance the monitor monitor available to maintaining the to ensure that it for anomalies with
security level security risk vendor web employees software update conforms to the security policies
posed by sites to obtain describing the guidelines. An changing needs of before
software software procedures to archive is kept the business. implementation
installed on updates. This follow to ensure of all software Periodic audits are
machines. task is that all software upgrades. performed of
Software performed on installed on Change control software upgrades
upgrade an ad-hoc their machines procedures and to ensure
does not basis. is of the latest contractual compliance.
take into Security issues version. agreements exist Exceptions are
account the defined by the All security to escalate noted, documented
security of vendors are issues with the security issues to and corrective
the new only new release appropriate action is taken if
releases considered. specific to levels and necessary.
organizational remedy them.
system platform
are identified
and confirmed
with the
vendor.
XI.1 Aspects of Contents of No plan. There is some There is a Employees are Includes process Risk analysis of critical
Business Business knowledge of written and trained, and for improvement business processes.
Continuity Continuity what to do in properly training is after each Identifies events that
Management Process case of disaster distributed plan. periodically invocation. can cause interruptions
Procedures and (e.g., based on Process refreshed. to business processes,
Schedules training or on includes: Plan includes and includes assessment
Included in the prior Fallback alternate of the impact of those
Process experience) procedures communication interruptions.
but no Resumption methods if
documented procedures communication
process. Maintenance is severely
schedules affected.
Process also
includes:
Assignment of
responsibilities
Conditions for
activation
Development of Plan does A set of There is a The The process is Business continuity
Business not exist. measures can written business management reviewed in case process covers events
Continuity Some be applied in continuity chain of change in that are specific to the
Process awareness case of a process that responsible for system, staff, local environment (i.e.,
Testing of of measures business includes risks, executing the disaster recovery flood, power outage,
Business that can be interruption. events, roles business contractor or political unrest, fire,
Continuity taken in They do not and continuity contract, hurricane, earthquakes,
Process case of a constitute responsibilities, process is business, etc.) and business needs
Review and business formal, technical define, and all application, (i.e., credit card center
Update of interruption. defined, measures, managers and locations, or cannot be down more
Continuity Actions published, or reporting, and staff know what legislation. than a few minutes)
Process would occur managed plan. communication. the chain is. Post-mortem
Reasons that in an ad hoc The plan has Testing occurs at reviews after
Cause Review manner. been tested at least annually execution with
of the Plan least once. and maintains documented
the business improvement
continuity actions.
process.
XII.1 Compliance Restrictions in No Ad hoc Systematic Clear Periodic review Copyright policy
with Legal Place on the restrictions restriction on restrictions, responsibility to of the policy for Acquisition procedures
Requirements Use of in place. some documented, enforce the continuing Copyright awareness
Materials for documents based on the restrictions. improvement. information
Which There only. information Training is Periodic review Maintenance of licenses
May Be classification provided. of the Check on software
Intellectual Employees are restrictions to held/used
Property Rights aware. make sure Policy on software
they're disposal
appropriate. Compliance with
licenses
Safeguards No Some Clear Safeguards in Periodic review Personnel information
against loss, safeguards organizational responsibilities place covering of systems in Copyright information
destruction or employed. data backed up to ensure that all place and Company confidential
falsification of No defined and secured. organization organizational security of information
organizational hierarchy as Backups may records are not records. systems that deal Public web sites
records to whom be kept onsite. compromised. Training with
has access No logs kept Some user provided to organizational
to what of user activity is educate users. records. Each
information. activity. logged. Management incident is
Organizational responsibly to subject to a post
data is kept ensure that mortem
securely. records are kept procedure that
Documents are accurate and includes a
publicly secure. Access review of
available that rights and whether
describe the privileges in applicable
policy and place to restrict policies were
procedures that access to certain correctly
employees organizational communicated.
should follow records. Web Users are taught
to maintain sites protected the incident
integrity and from reporting
safety of defacement. procedures. Full
organizational Critical files audit logs
records. identified and maintained with
protected against system
falsification by start/finish
CRC checks, times, system
etc. errors and
corrective action
and name of
person making
alterations to the
information.
Compliance Knowledge Data Legislation is Processes and There is a
with data of protection applied and procedures are regular process
protection legislation legislation is Data protection put in to place in place to
legislation is limited to discussed with legislation is for monitoring review changes
specific employees and made available to ensure that the in legislation, or
people or contract or to employees in company is new needs of the
departments temporary a centralized continually business.
(HR, Legal, personnel location. compliant. The Training is
etc.) and is upon hiring Impact of responsibility to provided to
not into specific legislation and do so is clearly users to ensure
documented. departments. concerned data assigned. the continued
has been compliance with
written up and legislation. The
made available process and
to employees. responsibility to
All affected receive,
processes investigate and
include correct any
appropriate reported
protection exception is
steps. defined.
Compliance of No Standards and Standards and A clearly There is a regular Intellectual Property
information published codes of codes of designated process in place to Rights
systems with codes of practice are practice are person or body review changes in Copyright
published practice and generally defined and has published standards Data Protection Act
standards or no understood but published responsibility for or codes of
codes of awareness are applied internally and the reviewing, practice. Findings
practice inconsistently are made maintaining, and of non-compliance
through the available to training users on result in corrective
organization. employees in a the published action.
centralized standards or
location. codes of
practice.
XII.2 Reviews of Documentation No Some Documents are Responsibilities Documents are Laws on protection
Security Policy of regulatory documentation documentation made publicly are assigned to created as soon as and/or correction of
and Technical and contractual exists. exists although available on the individuals to there is a change in personal information
Compliance requirements it does not corporate web produce the contractual or (employees and/or
for each cover all site or on a documents as regulatory clients, suppliers,
information details of public notice soon as a new requirements of the etc.)
system regulatory/contractual board. Full system is project. Procedures for
requirements documentation sourced. Documentation is disclosure to proper
for each IS. exists for Templates exist available to authorities.
There is no contractual and for the creation personnel with ISO 9000
standard regulatory of documents correct clearance. requirements
document requirements and there is a Periodic inventory Regulatory agencies
template used, for all central of information (e.g., FDA or FCC in
documents are information repository where systems includes the United States)
created as and systems in the they are stored. checks that
when required organization. The templates compliance
by individual have designated requirements exist.
employees. owners. Exceptions trigger
There is no a well-defined
central data process to review
store for the procedures in order
documents to eliminate this
(need to ask risk.
people who
know).
XII.3 System Audit Control Against No controls Terms of use Terms of use of The Periodic reviews of
Considerations Computer or of computer organizations responsibility of who is authorized
Misuse safeguards equipment are computer managers is to do what.
Safeguard of in place discussed with equipment are defined. Tools Information
Audit Tools to employees and available from a employed to gathered from
Prevent Misuse contract or centralized monitor usage of monitoring tools is
temporary location computer used to make
personnel (Intranet site, equipment. decisions for future
upon hiring. office notice Staff has well policy.
boards, etc) defined roles There is an incident
and access rights review procedure.
to computer file Periodic “white
systems. hat” intrusion
Personnel are attempts are made
made aware that and followed by
their computer corrective actions.
related activities
are being
monitored, and
to what extent.
Review/Audit No process Occasionally Reviewed at A clearly There is a defined
of information is in place reviewed or intervals, but no designated mechanism to
systems to audited if clear person or body review and upgrade
ensure they are senior management has the policy after
in compliance management, responsibility to responsibility for every security
with security auditors, etc., trigger reviews the process, and incident (Is
policies and ask of exploit reviews it anything missing
standards results regularly. from the policy that
could have
prevented the
problem?)
Coverage of No Few Clear Audit tools are Safeguards in place
System Regime coverage safeguards in responsibilities only available covering all audit
(event logging) exists. place. Audit to ensure that for use by key tools. Periodic
tools are not audit tools are personnel. review of systems
managed not misused. Access rights in place and
securely and Training and privileges security of systems
user access is provided to are enforced to that audit systems.
not monitored. educate users. maintain Users are educated
security. on the importance
of safeguarding
their audit tools.
Compliance of No Standards and Standards and A clearly There is a regular Intellectual Property
information published codes of codes of designated process in place to Rights
systems with codes of practice are practice are person or body review changes in Copyright
published practice and generally defined and has published standards Data Protection Act
standards or no understood but published responsibility for or codes of
codes of awareness are applied internally and the reviewing, practice. Findings
practice inconsistently are made maintaining, and of non-compliance
through the available to training users on result in corrective
organization. employees in a the published action.
centralized standards or
location. codes of
practice.
