1. A UGUST 2014|A USTIN, T EXAS The Texas Cybersecurity Framework and Information Security Plans

2. The Texas Framework and Agency Security Plans Agenda Texas Cybersecurity Framework Agency Security Plans Examples Questions 2

3. The Texas Framework and Agency Security Plans Agenda Texas Cybersecurity Framework Agency Security Plans Examples Questions 3

4. SISAC Policy Sub-committee Membership MemberOrganizationRepresents Ken PalmquistDIRArticle 1 (General Government) Ed TjarksTexas Comptroller of Public AccountsArticle 1 (General Government) Khatija SyedaHealth and HumanArticle 2 (Health & Human Services) Fred LawsonHealth and HumanArticle 2 (Health & Human Services) Darrell BatemanTexas Tech UniversityArticle 3 (Education) Jeff McCabeTexas A&MArticle 3 (Education) John SkaarupTexas Education AgencyArticle 3 (Education) Richard MorseOffice of Court AdministrationArticle 4 (Judiciary) Alan FerrettiTexas Department of Public SafetyArticle 5 (Public Safety & Criminal Justice) Miguel ScottTexas Department of Public SafetyArticle 5 (Public Safety & Criminal Justice) Angela GowerTexas Department of AgricultureArticle 6 (Natural Resources) Joshua KuntzDepartment of Motor VehiclesArticle 7 (Business and Economic Development) Clarence CampbellTexas Department of Licensing and RegulationArticle 8 (Regulatory) Chad LerschDIRGeneral Counsel Lon BernquistDIRPolicy Christian ByrnesGartnerPrivate Sector Mike WyattDeloittePrivate Sector 4

5. Statewide Security Program Overview Security Services Texas Cybersecurity Framework Plan & Strategy Education & Awareness Direct Elected Services Cooperative Contract Procurement Offerings Managed Services TAC 202 Agency Security Plan Template Control Catalog Operations Vendor Services Alignment IdentifyRecoverProtectRespondDetect Risk Mgmt Security Officer Training Agency Personnel Awareness Public Awareness 5

6. Overview of the Texas Cybersecurity Framework Agency Security Plan Template Delivered in January 2014 Vendor Product / Service Template Delivered in March 2014 Updated Texas Administrative Code Ch. 202 Expected February 2015 Security Control Standards Catalog Expected February 2015 Guidelines and Whitepapers Ongoing effort Governance, Risk and Compliance solution expected to integrate all of these in Fall 2015 6 Texas Cybersecurity Framework TAC 202 Agency Security Plan Template Control Catalog Vendor Services Alignment Risk Mgmt

7. 40 security objectives defined Aligned to “Framework for Improving Critical Infrastructure Cybersecurity” released by NIST in February 2014 Responsive to SB 1134 (Ellis) and SB 1597 (Zaffirini) 7 FUNCTIONAL AREA SECURITY OBJECTIVE Identify – Privacy and Confidentiality – Data Classification – Critical Information Asset Inventory – Enterprise Security Policy, Standards and Guidelines – Control Oversight and Safeguard Assurance – Information Security Risk Management – Security Oversight and Governance – Security Compliance and Regulatory Requirements Management – Cloud Usage and Security – Security Assessment and Authorization / Technology Risk Assessments – External Vendors and Third Party Providers Protect – Enterprise Architecture, Roadmap & Emerging Technology – Secure System Services, Acquisition and Development – Security Awareness and Training – Privacy Awareness and Training – Cryptography – Secure Configuration Management – Change Management – Contingency Planning – Media – Physical Environmental Protection – Personnel Security – Third-Party Personnel Security – System Configuration Hardening & Patch Management – Access Control – Account Management – Security Systems Management – Network Access and Perimeter Controls – Internet Content Filtering – Data Loss Prevention – Identification & Authentication – Spam Filtering – Portable & Remote Computing – System Communications Protection Detect – Malware Protection – Vulnerability Assessment – Security Monitoring and Event Analysis Respond – Cyber-Security Incident Response – Privacy Incident Response Recover – Disaster Recovery Procedures

8. The Journey of 1000 miles… To map your path you need to know where you are and where you are going 8

9. Why didn’t DIR adopt the National Cybersecurity Framework? A question of timing and goals The framework “shell game” The long-term solution lends itself to adaption to any framework or compliance regiment Texas Framework National Framework NIST 800-53 SANS Top 20 Controls Functional Areas / Control Family 551820 Controls / Objectives 4022243184 Sub Category98 9

10. Why didn’t DIR adopt the National Cybersecurity Framework? Timing and goals Agencies develop/adjust security plans Feb-Oct 2014 Jul 2013 RFO published IS Working Group Meeting Feb 28 2014 SB 1597 effective Sep 1 2013 Security plan template due from Vendor Oct 2013 Jan 2014 Security plan template available to agencies Oct 15 2014 Security plans to DIR from agencies Oct 2013 Draft security plan template to SISAC Policy Subcommittee Mar 26-27 2014 DIR Information Security Forum 10

11. The Texas Framework and Agency Security Plans Agenda Texas Cybersecurity Framework Agency Security Plans Examples Questions 11

12. Available on the DIR website in the Texas Cybersecurity Framework section Security Plan Template 12

13. Agency Security Plans Objective-based Provides a uniform understanding of agency security program maturity MATURITY LEVEL DIR DESCRIPTIONKEYWORDS 0There is no evidence of the organization meeting the objective.None, Nonexistent 1The organization has an ad hoc, inconsistent, or reactive approach to meeting the objective.Ad-hoc, Initial 2 The organization has a consistent overall approach to meeting the objective, but it is still mostly reactive and undocumented. The organization does not routinely measure or enforce policy compliance. Managed, Consistent, Repeatable 3 The organization has a documented, detailed approach to meeting the objective, and regularly measures its compliance. Compliant, Defined 4 The organization uses an established risk management framework to measure and evaluate risk and integrate improvements beyond the requirements of applicable regulations. Risk-Based, Managed 5The organization has refined its standards and practices focusing on ways to improve its capabilities in the most efficient and cost-effective manner. Efficient, Optimized, Economized 13

14. 1.General Information 1AGENCY NAME:[Include the full agency name here.] 1.2DATE COMPLETED:[Insert the calendar date this template was completed.] 1.3NUMBER OF AGCY FTEs[Provide the number of full-time equivalent employees.] 1.4 DEDICATED SECURITY STAFF: [Indicate the number of FTEs dedicated to information security, cybersecurity, or network security.] 1.5 DEDICATED SECURITY BUDGET: [Provide the percentage of the IT budget dedicated to security.] 1.6REGULATORY DRIVERS: [Describe internal/external regulatory drivers (e.g., TAC 202, NIST, HIPAA) that might also be driving completion of the agency security plan template.] The demographic information provides us the ability to make sense of the data Basic Information 14

15. Agencies are asked to provide the controls they have in place for each security objective FUNCTIONAL AREA SECURITY OBJECTIVE NIST FRAMEWORK MAPPING RELEVANT CONTROL ACTIVITIES IN PLACE ProtectSecurity Awareness and Training PR.AT-1Agency Policy states that “All employees are required to complete annual computer-based security awareness training as assigned by the Information Security Officer (ISO).” The Agency makes use of SANS Secure The Human computer-based awareness training provided by DIR. As of 12/31/2013, 50 percent of agency staff have completed the modules assigned. The Agency is launching formal Information Security Awareness Project that incorporates an internal website, instructor-led classes, and a division-by-division assessment of training focus and needs. It is expected that this program will be fully implemented in FY 2014. In the past, the Agency has also purchased posters and mouse pads with a security message in order to keep the concept of information security in front of our employees Control activities 15

16. The template includes “pattern controls” expected at each maturity level Details the processes at that level Not focused on Technology Level 2 Functions follow standards and can be consistently repeated Level 3 Functions follow standards that have been well defined in alignment with security requirements PATTERN CONTROLS PERCENT OF AGENCY AT LEVEL 2 PATTERN CONTROLS PERCENT OF AGENCY AT LEVEL 3 Security awareness and training is a formal project that is planned and based on specific goals. 15%The program identifies and focuses on the security topics that support the organization's mission. The program includes continual refresher activities throughout the year. 85% Pattern Controls 16

17. Level 4 relates to effectiveness in meeting the objective Agencies at level 4 are asked to detail how they measure effectiveness Level 4 Functions are monitored and measured with oversight and assurance. PATTERN CONTROLS PERCENT OF AGENCY AT LEVEL 4 HOW IS EFFECTIVENESS OF THE CONTROL MEASURED? The organization provides regular and ongoing role- based training and awareness that are designed to address top risks identified by the organization in its assessments. The organization measures employee completion and comprehension rates and adjusts its approach to improve those rates. 20%Periodic testing of the agency personnel demonstrates that the awareness training provided has resulted in behavior changes that overall has resulted in fewer incidents related to successful phishing attacks and malware infections. Effectiveness 17

18. Similarly, at level 5, agencies are asked to detail how they measure efficiency of controls Level 5 Functions have a high level of efficiency and integration with IT or business processes PATTERN CONTROLS PERCENT OF AGENCY AT LEVEL 5 HOW IS EFFICIENCY OF CONTROL MEASURED? Employee participation and comprehension rates in training applicable to their jobs is near 100 percent, and the organization's security-training program has been recognized by peers as an industry leader. 10%The overall cost of the training provided to agency personnel is approximately $5 per employee per year, for material that is presented to the employee at least on a monthly basis. The $5 per employee per year extrapolates to approximately $1,200 per year total, which is approximately 1 percent of the total security budget. While 1 percent of total security budget could be increased, the amount of time required of each employee has reached an acceptable amount for the agency. Efficiency 18

19. Finally, agencies are asked to indicate their information security plans for the next 12 months. Challenges section is a pull-down menu ROADMAP (What Steps will With The Agency Take In The Next 12 Months To Improve Its Maturity) CHALLENGES TO IMPLEMENTATION In the next 12 months, the agency will examine how to integrate the information security risk management process into system development life cycle activities and establish an initial set of gates that must be passed prior to “go live.” Inadequate staffing The Plan 19

20. The Texas Framework and Agency Security Plans Agenda Texas Cybersecurity Framework Agency Security Plans Examples Questions 20

21. Example 1: Security Awareness and Training Control Objective Define, prepare, deliver, and facilitate an ongoing awareness campaign utilizing a wide variety of mediums and delivery mechanisms to effectively and constantly educate the organization on security related information, threats, and technology risks. Assume agency is at a maturity level 2 for this example The program identifies and focuses on the security topics that support the organization's mission. The program includes continual refresher activities throughout the year. 21

22. Security awareness training consists of PowerPoint presentations with testing, that are taken on an annual basis by all staff. Example 1: Security Awareness and Training Control Activity 22

23. Security awareness training consists of PowerPoint presentations with testing, that are taken on an annual basis by all staff. Security awareness training consists of agency developed PowerPoint presentations delivered across our agency intranet. Each staff member must also pass an accompanying with testing for each module, with at least 80% correct., that are taken on an annual basis by all staff. The agency has a goal of 100% of staff trained within the first 6 months of employment. Example 1: Security Awareness and Training Control Activity 23

24. The agency has allocated funds for improving training programs. Example 1: Security Awareness and Training Roadmap 24

25. The agency has allocated funds for improving training programs. The agency has met its goal of 100% of staff trained within the first 6 months of employment, but tracking has been a manual process. The agency has allocated funds to build a training management system, which will programmatically track compliance with for improving training programs requirements. Example 1: Security Awareness and Training Roadmap 25

26. Example 2: Access Control Control Objective Processes used to ensure access to applications, servers, databases, and network devices in the environment is limited to authorized personnel. Access is to be limited to authorized users, processes acting on behalf of authorized users, or authorized devices. Authorized users are further limited to the types of transactions and functions that they are permitted to exercise. Session limits, lockout features for failed login attempts, account expirations and disabling unused accounts are controls that provide access control. Assume agency is at a level 4 and 5 for this example Pattern Controls 4.Role-based access controls are implemented and the principle of "least privilege" is employed. Roles are defined for system access. Individual users are assigned permissions based on roles, no individual permissions are granted. Two factor authentication mechanisms are employed for systems identified as high risk by a documented risk management process. 5.Onboarding: Access to systems is granted based on role-based controls in a documented and auditable manner. Off boarding: A defined and auditable process is in place to revoke all access permissions within 2 hours of a separation activity. 26

27. The organization is in the process of implementing an IAM system to ensure that access levels are role- based and that no shared accounts exist. Two factor authentication is in the process of being deployed for high risk systems. Example 2: Access Control Control Activity 27

28. The organization is in the process of implementing an IAM system to ensure that access levels are role- based and that no shared accounts exist. Two factor authentication is in the process of being deployed for high risk systems. The organization is in the process of implementing an IAM system to ensure that access levels are role- based and that no shared accounts exist. The system is expected to be fully deployed by Q4 of FY14. Two factor authentication is in the process of being deployed for high risk systems which contain PII, customer data or are critical to delivering the agency mission. Example 2: Access Control Control Activity 28

29. Annual audits Example 2: Access Control Effectiveness 29

30. Annual audits The agency’s internal audit team reviews access control exceptions reports for compliance with agency policy Aannually. Audits The agency has a goal of disabling non-current accounts within 12 hours. The agency has established a 99% effectiveness rate as a goal for all access control measures. Example 2: Access Control Effectiveness 30

31. Annual audits Example 2: Access Control Efficiency 31

32. Annual auditsAnnual audits The agency’s business owners review metrics to ensure that access to business critical functions is not delayed for new employees. The provisioning team uses these metrics and feedback to ensure the team maintains adequate staff to meet the business owners needs. Example 2: Access Control Efficiency 32

33. Continue implementing IAM as resources are available. Example 2: Access Control Roadmap 33

34. Continue implementing IAM as resources are available. The agency will cContinue implementing IAM as resources are available. Once the IAM system is fully implemented (expected by Q4 of FY14), the agency will investigate how to use this system for use as a single-sign on tool for additional agency web based applications. Example 2: Access Control Roadmap 34

35. Example 3: Data Classification Control Objective Data classification provides a framework for managing data assets and information resources based on utility to the organization, intrinsic financial value and impact of loss and other associated risks. To apply the appropriate levels of protection as required by state and federal law as well as proprietary, ethical, operational, and privacy considerations, data, whether electronic or printed, must be classified. The data owner should consult with the Information Security organization and legal counsel on the classification of data as Restricted, Confidential, Agency-Internal, or Public. Consistent use of data classification reinforces with users the expected level of protection of data assets in accordance with required security policies. Assume part of agency is at a level 2 and part at 4 for this example Pattern Controls 2.Data classification policies and processes are defined and repeatable. Across the organization, there is a common understanding of what are the organization's most important and sensitive information. Data owners have been identified for most information. 4.Data is managed by technology that requires classification as new data is created. Automated policies ensure data is consistently classified across the organization. Data classification monitoring is continuous, proactive and preventative involving appropriate metrics. Resources are prioritized based on the classification / criticality / business value of hardware, devices, data, and software. Critical data has been de-duplicated, to minimize the copies that must be inventoried. 35

36. Improve compliance with the data classification plan. Example 3: Data Classification Roadmap 36

37. Improve compliance with the data classification plan. The agency has spent time and resources ensuring that PII and customer data is properly classified for business critical systems. Over the next 12 months, the agency will expand the scope of its data classification project to ensure that all program areas Improve complyiance with the data classification plan. Example 3: Data Classification Roadmap 37

38. The Texas Framework and Agency Security Plans Agenda Texas Cybersecurity Framework Agency Security Plans Examples Questions 38

39. What is DIR going to do with the data? SB 1134 tells DIR to develop a framework SB 1597 does not indicate what DIR is expected to do with agency security plans received We will analyze the data for outliers What can we do to help agencies with lower maturity? We learn from agencies with higher maturity? 39

40. What can agencies do with the data? The Objectives establish a common and complete basis for a security program Identifies areas for improvement that may require appropriations Enables improved prioritization of resources Provides a platform for describing the risks of the agency for non-technical audiences Affords continuity during security staff transitions 40

41. How should large organizations structure their response? Framework is flexible enough for multiple scenarios Single ISO for entity Entity with multiple divisions Large entities with multiple IT groups and funding sources 41

42. How long does the template take? Some larger agencies have spent multiple person weeks completing the template Familiar technology / IT objectives are quicker to respond to Objectives around security projects may take longer 42

43. How do I submit the template to DIR? Preferred submission method is through the TX-ISAC portal DIR has instructions available for those unfamiliar with using the TX-ISAC portal Contact Ted James (ted.james@dir.texas.gov)ted.james@dir.texas.gov 43

44. Agency Security Plan Timeline Agencies develop/adjust security plans Feb-Oct 2014 Jul 2013 RFO published IS Working Group Meeting Feb 28 2014 SB 1597 effective Sep 1 2013 Security plan template due from Vendor Oct 2013 Jan 2014 Security plan template available to agencies Oct 15 2014 Security plans to DIR from agencies Oct 2013 Draft security plan template to SISAC Policy Subcommittee Mar 26-27 2014 DIR Information Security Forum Template and Whitepaper available at: http://www.dir.texas.gov/security/policy/Pages/framework.aspx 44

45. Thank you dirsecurity@dir.texas.gov 45