1. Information Security Management, Standards and best practices
Σ. Κοκολάκης
Με τη συνεισφορά των Μ. Καρύδα και Α. Τσώχου

2. Standards & Standardization Process
De facto – de jure standards
Standardization bodies
ISO (International Organization for Standardization) National bodies – Technical Committees
ΕΛΟΤ (Ελληνικός Οργανισμός Τυποποίησης)
CEN, ANSI, NIST, BSI
Processes
Certification
Accreditation

3. Why? Threat of legal liability
Organizations and software vendors are being held to a higher degree of accountability for security, if not in the courtroom, by their customers
Business partners and stakeholders demanding security
Organizations are challenged to prove they are managing security to a level that will satisfy their business partners and stakeholders.
Proliferation of standards, regulations and legislation
Organizations face complex requirements to comply with a myriad of regulations.

4. Comprehensive IS Management – Principles Based
OECD Guidelines for the Security of Information Systems and Networks (2002): 9 pervasive principles for information security
NIST (National Institute of Standards and Technology)
SP Generally Accepted Principles and Practices for Securing IT Systems, 1996
SP , Guide for Developing Security Plans for Federal Information Systems,1998 (revised 2006)
SP Risk Management Guide for IT Systems, 2002
IFAC International Guidelines on Information Technology Management—Managing Information Technology Planning for Business Impact: International Federation of Accountants, New York, 1999.

5. Comprehensive IS Management - Controls Based
BS 7799 – Parts 1, 2 & 3 Code of Practice for Information Security Management (British Standards Institute)
ISO 27001: Information Technology – Information Security Management Systems - Requirements
ISO 27002: Information Technology – Code of Practice for Information Security Management (former ISO 17799)
ISO 27003: Information Technology – Information management system implementation guidance
ISO 27004: Information technology - Information security management - Measurement
ISO 27005: Information Technology– Information security risk management
IT Baseline Protection Manual - BSI (Bundesamt für Sicherheit in der Informationstechnik)
NIST
Recommended Security Controls for Federal Information Systems
Several specific standards (e.g. Secure Web Services, PDA security, Implementing HIPAA, Contingency planning, etc.)

6. Other categories
Capability Maturity Model
ISO System Security Engineering - Capability Maturity Model (SSE-CMM)
Product Security Models
ISO Common Criteria
TCSEC, ITSEC
Business Continuity Management
ISO24762: Information Technology – Guidelines for information and communication technology disaster recovery services
ISO27031: Information Technology – Security Techniques – Guidelines for ICT readiness for Business Continuity
BS25999: Business Continuity Management
ISO18044 – Information technology – Information security incident management
Governance Guides
ISO38500: Corporate guidance of IT
COBIT – Control Objectives for Information and Related Technologies (ISACA)
IT Governance Implementation Guide (ISACA)

7. OECD Guidelines -1- “towards a culture of security” Awareness
Participants should be aware of the need for security of information systems and networks and what they can do to enhance security.
Responsibility
All participants are responsible for the security of information systems and networks.
Response
Participants should act in a timely and co-operative manner to prevent, detect and respond to security incidents.
Ethics
Participants should respect the legitimate interests of others.
Democracy
The security of information systems and networks should be compatible with essential values of a democratic society.

8. OECD Guidelines -2- Risk assessment Security design and implementation
Participants should conduct risk assessments.
Security design and implementation
Participants should incorporate security as an essential element of information systems and networks.
Security management
Participants should adopt a comprehensive approach to security management.
Reassessment
Participants should review and reassess the security of information systems and networks, and make appropriate modifications to security policies, practices, measures and procedures.

9. Information Security Standards
TCSEC (Orange Book)
ITSEC
Common Criteria

10. Standards’ history -1-
1983: Trusted Computer System Evaluation Criteria (TCSEC) developed in the United States.
1991: Information Technology Security Evaluation Criteria (ITSEC) version 1.2 published by the European Commission (joint development by France, Germany, the Netherlands, and the UK).
1993: Canadian Trusted Computer Product Evaluation Criteria (CTCPEC) version 3.0, published as a combination of the ITSEC and TCSEC approaches.

11. Standards’ history -2-
1990: the International Organization for Standardization (ISO) starts to develop an international standard evaluation criteria for general use.
June 1993: the sponsoring organisations of the CTCPEC, FC, TCSEC and ITSEC began a joint activity to align their separate criteria into a single set of IT security criteria that could be widely used. This activity was named the CC Project.

12. Common Criteria -1-
Meant to be used as the basis for evaluation of security properties of IT products and systems.
Permits comparability between the results of independent security evaluations.
Guide for the development of products or systems with IT security functions and for the procurement of commercial products and systems with such functions.
Addresses protection of information from unauthorised disclosure,modification, or loss of use (confidentiality, integrity, availability).
It is applicable to IT security measures implemented in hardware, firmware or software.

13. Common Criteria -2-
Does not contain security evaluation criteria pertaining to administrative security measures not related directly to the IT security measures.
De facto standard in the US since 1998.
Accepted as ISO 15408
Includes
CC documents
CC Evaluation Methodology (CEM)
CC National Scheme
7 Evaluation Assurance Levels
[EAL1 to EAL7]
11 Functionality Requirements Classes
10 Assurance Requirements Classes

14. Evaluation Context

15. Common Criteria Target Group
Consumers
They can use the results of evaluations to help decide whether an evaluated product or system fulfils their security needs. They can also use the evaluation results to compare different products or systems.
Developers
CC can support developers in preparing for and assisting in the evaluation of their products or systems and in identifying security requirements to be satisfied by each of their products or systems.
Evaluators
The CC contains criteria to be used by evaluators when forming judgments about the conformance of TOEs to their security requirements.
Others
Auditors, Security Officers

16. Common Criteria: Basic concepts
Protection Profile (PP)
An implementation-independent set of security requirements for a category of TOEs that meet specific consumer needs.
Target of Evaluation (TOE)
An IT product or system and its associated administrator and user guidance documentation that is the subject of an evaluation.
Security Target (ST)
A set of security requirements and specifications to be used as the basis for evaluation of an identified TOE.

17. TOE Development Method
Protection Profile (PP)
Target of Evaluation (TOE)
Security Target (ST)

18. ISO 27002 (former 17799) First edition: 2000. Current edition: 2005
Prepared by the British Standards Institution (as BS 7799) and was adopted by Joint Technical Committee ISO/IEC JTC 1, Information Technology, in parallel with its approval by national bodies of ISO and IEC.
“Information technology — Code of practice for information security management”

19. ISO 27002 as a code of practice
May be regarded as a starting point for developing organization specific guidance.
Not all of the guidance and controls in this code of practice may be applicable.
Furthermore, additional controls not included in this document may be required.

20. ISO 27002
Gives recommendations for information security management for use by those who are responsible for initiating, implementing or maintaining security in their organization.
It is intended to provide a common basis for developing organizational security standards and effective security management practice and to provide confidence in inter-organizational dealings.
Recommendations from this standard should be selected and used in accordance with applicable laws and regulations.

21. ISO 27002: Information Security Policy
Information security policy document
Review and evaluation

22. ISO 27002: Organizational Security
“Information security is a business responsibility shared by all members of the management team.”
Information security infrastructure
management framework: management fora with management leadership should be established to approve the information security policy, assign security roles and co-ordinate the implementation of security across the organization
multi-disciplinary approach to information security: involving the co-operation and collaboration of managers, users, administrators, application designers, auditors and security staff, and specialist skills in areas such as insurance and ``

23. ISO 27002: Asset classification and control
Asset accountability
Accountability should remain with the owner of the asset. Responsibility for implementing controls may be delegated.
Information classification
Information should be classified to indicate the need, priorities and degree of protection, depending on varying degrees of sensitivity and criticality.

24. ISO 27002: Personnel security
Security in job definition and resourcing
User training
Users should be trained in security procedures and the correct use of information processing facilities to minimize possible security risks.
Responding to security incidents and malfunctions
Weaknesses, malfunctions
Learning from incidents
Disciplinary process

25. ISO 27002: Physical and environmental security
Secure areas
Security perimeter, entry controls
Protection provided should be commensurate with the identified risks.
Equipment security
Safety

26. ISO 27002: Communications and operations management
Operational procedures and responsibilities
Incident management procedures
Segregation of duties
Separation of development and operational facilities
System planning and acceptance
Capacity planning, performance requirements, system acceptance
Protection against malicious software
Back ups, logging
Network management
Media handling
tapes, disks, cassettes
Information exchange between organizations
Policy on
Electronic commerce security

27. ISO 27002: Access control Access control policy User access management
Access rights, passwords
User responsibilities
Network access control
Network segregation
Operating system access control
Application access control
Monitoring system access and use
Mobile computing and teleworking

28. ISO 27002: Systems development and maintenance
Security requirements of systems
“built-in” security
Security in application systems
Message authentication, hash algorithms, cryptography
Cryptographic controls
To protect the confidentiality, authenticity or integrity of information (encryption, digital signatures, key management)

29. ISO 27002: Business continuity management -1-
“To counteract interruptions to business activities and to protect critical business processes from the effects of major failures or disasters.”
A business continuity management process should be implemented to reduce the disruption caused by disasters and security failures (which may be the result of, for example, natural disasters, accidents, equipment failures, and deliberate actions) to an acceptable level through a combination of preventative and recovery controls.

30. ISO 27002: Business continuity management -2-
The consequences of disasters, security failures and loss of service should be analyzed. Contingency plans should be developed and implemented to ensure that business processes can be restored within the required time-scales. Such plans should be maintained and practiced to become an integral part of all other management processes.
Business continuity management should include controls to identify and reduce risks, limit the consequences of damaging incidents, and ensure the timely resumption of essential operations.

31. ISO 27002: Compliance Compliance with legal requirements
Data protection and privacy of personal information
Intellectual property rights (IPR)
Regulation of cryptographic controls
Compliance with security policy

32. ISO/IEC 27001: 2005
Specifies the requirements for establishing, implementing, operating, monitoring, reviewing, maintaining and improving a documented Information Security Management System (ISMS) within the context of the organization’s overall business risks.
May serve as a suitable basis for ISMS certification.

33. ISO/IEC 27001: 2005
Contains requirements for the implementation of security controls customized to the needs of individual organizations or parts of them.
Contains requirements in a structure of:
11 control clauses that include
39 control objectives
133 controls

34. The PDCA model of ISO/IEC 27001

35. PLAN: Establish the ISMS

36. Define the scope of ISMS (a.)
Definition of the boundaries of the ISMS in terms of the characteristics:
the business,
the organization,
its location,
assets,
technology,
justified details of any exclusions from the scope.

37. Define an ISMS policy (b.)
Definition of an ISMS policy that:
includes a framework for setting objectives and establishes an overall sense of direction and principles for action with regard to information security;
takes into account business and legal or regulatory requirements, and contractual security obligations;
aligns with the organization’s strategic risk management context in which the establishment and maintenance of the ISMS will take place;
establishes criteria against which risk will be evaluated, and
has been approved by management.

38. Risk assessment (c.-d.-e.)
Risk assessment is the process of combining risk identification, risk analysis and risk evaluation.
ISO/IEC : 2004
The results of the risk assessment will help to guide and determine the appropriate management action and priorities for managing information security risks, and for implementing controls selected to protect against these risks.
ISO/IEC 27002: 2005

39. Risk assessment (c.-d.-e.)
The three stages are risk assessment execution:
Identify a risk assessment methodology that is suited to the ISMS, and the identified business information security, legal and regulatory requirements.
Develop criteria for accepting risks and identify the acceptable levels of risk.
Identify the risks (assets, threats, vulnerabilities, impacts)
Analyze and evaluate the risks (estimation of level of risks and evaluation whether they are acceptable or require treatment).

40. Risk Assessment activities
Risk assessment consists of the following activities:
Risk analysis which comprises:
Risk identification
Risk estimation
Risk evaluation

41. Prepare Statement of Applicability (j.)
The Statement of Applicability shall include the following:
the control objectives and controls selected and the reasons for their selection
the control objectives and controls currently implemented, and
the exclusion of any control objectives and controls in Annex A and the justification for their exclusion.

42. DO: Implement and Operate the ISMS (1)
Formulate a risk treatment plan, that shall contain:
The method selected for treating the risk
What controls are in place
What additional controls are proposed
Time frame for controls’ implementation
Identified acceptable level of risk (and residual risk)
Implement the risk treatment plan in order to achieve the identified control objectives.

43. DO: Implement and Operate the ISMS (2)
Implement controls selected to meet the control objectives.
Define how to measure the effectiveness of the selected controls.
Implement training and awareness programs.
Manage operation of the ISMS.
Manage resources for the ISMS.
Implement procedures and other controls capable of enabling prompt detection of security events and response to security incidents.

44. CHECK: Monitor and review (1)
Execute monitoring and reviewing procedures and other controls to:
promptly detect errors
promptly identify attempted and successful security breaches and incidents
enable management to determine whether the security activities delegated to people or implemented by information technology are performing as expected,
help detect security events by the use of indicators, and
determine whether the actions taken to resolve a breach of security were effective.

45. CHECK: Monitor and review (2)
Undertake regular reviews of the effectiveness of the ISMS.
Measure the effectiveness of controls to verify that security requirements have been met.
Review risk assessments at planned intervals and review the residual risks and the identified acceptable levels of risks, taking into account potential changes.
Conduct internal ISMS audits at planned intervals.
Update security plans to take into account the findings of monitoring and reviewing activities.
Record actions and events that could have an impact on the effectiveness or performance of the ISMS.

46. ACT: Maintain and Improve the ISMS
The organization shall regularly:
Implement the identified improvements in the ISMS.
Take appropriate corrective and preventive actions
Apply the lessons learnt from the security experiences of other organizations and those of the organization itself.
Communicate the actions and improvements to all interested parties
Ensure that the improvements achieve their intended objectives.

47. Required documentation (1)
Documented statements of the ISMS policy and objectives
The scope of the ISMS
Procedures and controls in support of the ISMS
A description of the risk assessment methodology
The risk assessment report
The risk treatment plan

48. Required documentation (2)
Documented procedures needed by the organization to ensure the effective planning, operation and control of its information security processes and describe how to measure the effectiveness of controls
Records required by the ISO/IEC 27001:2005, and
The Statement of Applicability (SOA).

49. Annex A - Control objectives and controls
Security Policy
Organizing Information Security
Asset Management
Human Resources Security
Physical and Environmental Security
Communications and Operations Management
Access Control
Information Systems Acquisition, Development and Maintenance
Information Security Incident Management
Business Continuity Management
Compliance

50. Annex A - Control objectives and controls: Examples (1)
A5: Security Policy
Objective: To provide management direction and support for information security in accordance with business requirements and relevant laws and regulations
A5.1: Information security policy document
Control: An information security policy document shall be approved by management, and published and communicated to all employees and relevant external parties.

51. Annex A - Control objectives and controls: Examples (2)
A.11 Access control
A.11.2 User access management
Objective: To ensure authorized user access and to prevent unauthorized access to information systems
A11.2 User responsibilities
Objective: To prevent unauthorized user access, and compromise or theft of information and information processing facilities
A11.2.3: User password management
Control: The allocation of passwords shall be controlled through a formal management process
A11.2.1: Password use
Control: Users shall be required to follow good security practices in the selection and use of passwords

52. Trends More regulatory and legislative oversight.
Executive and board oversight of information security.
ISO27001/ISO27002 have become the de facto standard for information security program.
ISO27000 series
ISO27000: Glossary
ISO27003: Implementation of ISMS
ISO27004: Measurement and metrics
ISO27005: Risk management
ISO27006: Accreditation guidelines
ISO27k …to be continued…

53. References
Γκρίτζαλης Σ., Διασφάλιση και Αξιολόγηση Ασφάλειας Συστημάτων και Προϊόντων (Κεφ.9), στο Κάτσικας Σ., Γκρίτζαλης Δ. και Γκρίτζαλης Σ. (επιμέλεια) Ασφάλεια Πληροφοριακών Συστημάτων, Εκδόσεις Νέων Τεχνολογιών, Αθήνα 2004, σελ
Καρύδα Μ., Πολιτικές Ασφάλειας Πληροφοριακών Συστημάτων, στο Κάτσικας Σ., Γκρίτζαλης Δ. και Γκρίτζαλης Σ. (επιμέλεια) Ασφάλεια Πληροφοριακών Συστημάτων, Εκδόσεις Νέων Τεχνολογιών, Αθήνα 2004, σελ