1. © Caveon, 2006 Under Lock and Key: Conducting a Physical Security Audit John Fremer, Ph.D – President, Caveon Jamie Mulkey, Ed.D. – Sr. Director Caveon July 19, 2006

2. © Caveon, 2006 Got questions? Get the Card.

3. © Caveon, 2006 Are your tests out partying when you leave the office at night? Lets get out the #2 and change the answer key Yeah, then can see whats happening up the block. I hear they are having a party at the testing house tonight

4. © Caveon, 2006 Webinar focus: Understand the types of materials that need to be put under lock and key Determine who should have access rights to rooms, systems, & paper materials Describe policies to put in place to protect secure information Understand the cultural & attitudinal effects of maintaining physical security

5. © Caveon, 2006 Defining physical security Physical security is the protection of personnel, hardware, programs, networks, and data from physical circumstances and events that could cause serious losses or damage to an enterprise, agency, or institution. This includes protection from fire, natural disasters, burglary, theft, vandalism, and terrorism. www.searchsecurity.com

6. © Caveon, 2006 Three main components of physical security Obstacles Methods Surveillance

7. © Caveon, 2006 Like the Shoemakers children…

8. © Caveon, 2006 The problem with most testing programs Security is penetrable Materials too easily accessible Lack of formal process

9. © Caveon, 2006 Got Questions?

10. © Caveon, 2006 Putting materials under lock & key Test files Candidate records Candidate agreements Vendor agreements Discarded product Putting most secure content in most secure areas

11. © Caveon, 2006 Who has access? Determine a chain of responsibility Maintaining a list of who needs access to what materials Rules for sending confidential material to others Vendor physical security agreements Visitor access Training of staff Access is limited to need to know

12. © Caveon, 2006 Policy management Procedures appropriate to the context Policies for access to test items, test publication, test administration Processes for employees who leave the company Escalation plan when a breach does occur Back up and disaster recovery plans Use score card to evaluate how you are doing

13. © Caveon, 2006 Culture & attitude Higher success when individuals recognize the value of policies Employees and vendors more likely to comply, not get around Ongoing security training and awareness activities help

14. © Caveon, 2006 Conducting a physical security audit Objective, third-party auditors Explicit written standards, carefully developed, using available models: Transmission of secure materials Access to items banks Password change frequency Materials reviewed in advance

15. © Caveon, 2006 Conducting a physical security audit Individual and group interviews Physical examination of work area and procedures Distinguishing between formal policy and actual practice Written report with recommendations for improvement Follow-up after defined time interval

16. © Caveon, 2006 Sample recommendations Enhance building access controls: Require visitors to present ID before being admitted to the building Scan and post-incident records on internal system with limited, secure access to the files Secure files with combination locks for the file cabinets Maintain an entry/exit log for use of materials in the secure storage vault Make secure files difficult to get to

17. © Caveon, 2006 Got Questions?

18. © Caveon, 2006 Results of physical security audits Increased awareness and training among staff Installation of locks and locked access areas Reduced number of access points into the building Issuance of system password policies Move from physical to electronic files Moving most vulnerable stuff into most secure area

19. © Caveon, 2006 Points we hope you will take away What needs to be put under lock and key? Who needs access? What policies need to be put in place? What culture and behaviors need to be reinforced? Who can I bring in to evaluate my physical environment?

20. © Caveon, 2006 Thanks for attending! John Fremer, Ph.D. john.fremer@caveon.com (215) 805-3007 Jamie Mulkey, Ed.D. jamie.mulkey@caveon.com 916 652-4017 phone 916 765-8838 mobile www.caveon.com Please contact us: