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Information Security Management, Standards and best practices

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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

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