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LTU CISSP
COMPUTER LAW, INVESTIGATION
AND ETHICS DOMAIN
LTU CISSP
Objectives
To review computer crime laws and regulations; investigative measures and techniques used to determine if a crime has been committed and methods to gather evidence; and the ethical constraints that provide a code of conduct for the security professional.
To review the methods for determining if a computer crime has been committed; the laws that would be applicable for the crime; laws prohibiting specific types of computer crime; methods to gather and preserve evidence of a computer crime, investigative methods and techniques; and ways in which RFC 1087 and the (ISC)2 Code of Ethics can be applied to resolve ethical dilemmas.
LTU CISSP
Topics to Be Covered
Computer Laws Computer Crime Computer Crime Investigations Computer Ethics
LTU CISSP
COMPUTER CRIME LAWS
LTU CISSP
Proprietary Rights & Obligations
Legal Forms of Protection Trade Secrets: Information that Provides a Competitive
Advantage. Protect Ideas. Copyrights: Right of an Author to Prevent Use or Copying
Works of the Author. Protect Expression of Ideas. Patents: Protect Results of Science, Technology &
Engineering Business Needs
Protect Developed Software Contractual Agreements Define Trade Secrets for Employees
LTU CISSP
Proprietary Rights & Obligations (continued)
Security Techniques to Protect Trade Secrets Numbering Copies Logging Document Issuance Checking Files & Workstations Secure Storage Controlled Distribution Limitations on Copying
Contractual Commitments to Protect Proprietary Rights Licensing Agreements with Vendors Liability for Compliance
LTU CISSP
Proprietary Rights & Obligations (continued)
Enforcement Efforts Software Protection Association (SPA) Federation Against Software Theft (FAST) Business Software Alliance (BSA)
Personal Computers Establish User Accountability Policy Development and Circulation Purging of Proprietary Software
LTU CISSP
Protection for Computer Objects
Hardware - Patents Firmware
Patents for Physical Devices Trade Secret Protection for Code
Object Code Software - Copyrights Source Code Software - Trade Secrets Documentation - Copyrights
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Management Problems
Corporate Recordkeeping Accuracy of Computer Records: Potential Use in Court IRS Rules: Inadequate Controls May Impact Audit Findings
Labor and Management Relations Collective Bargaining: Disciplinary Actions, Workplace Rules
Work Stoppage Limitations on Background Investigations Limitations on Drug and Polygraph Testing Disgruntled Employees Non-Disclosure Requirements Immigration Laws Establishment and Enforcement of Security Rules
LTU CISSP
Management Problems (continued)
Data Communications: Disclosure thru - Eavesdropping and Interception Loss of Confidential Information
Outsourcing Contract Review Review of Contractor’s Capabilities Impact of Downsizing Contractor Use of Proprietary Software
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Management Problems (continued)
Personal Injury Employee Safety Carpal Tunnel Syndrome Radiation Injury
Insurance Against Legal Liability Requirements for Security Precautions Right to Inspect Premises Cooperation with Insurance Company
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Legal Liability Due Care: Minimum and Customary Practice of Responsible Protection
of Assets
Due Diligence: The Prudent Management and Execution of Due Care
Programming Errors: Reasonable Precautions for -
Loss of a Program Unauthorized Revisions Availability of Backup Versions
Product Liability Liability for Database Inaccuracies: Due to Security Breaches European Union: No Limits on Personal Liability for Personal Injury
LTU CISSP
Legal Liability (continued)
Defamation Libel Due to Inaccuracy of Data Unauthorized Release of Confidential Information Alteration of Visual Images
Foreign Corrupt Practices Act Mandate for Security Controls or Cost/Benefit
Analysis Potential SEC Litigation
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Legal Liability (continued)
Failure to Observe Standards FIPS Pubs and CSL Bulletins Failure to Comply Used in Litigation
Personal Liability Action or Inaction was Proximate Cause Financial Responsibility to Plaintiff Joint and Several Liability
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Legal Liability (continued)
Federal Sentencing Guidelines Chapter 8 Added 1991 Applicable to Organizations Violations of Federal Law Specifies Levels of Fines Mitigation of Fines Through Implementation of
Precautions
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Privacy & Other Personal Rights
The Federal Privacy Act Government Files Open to Public Unless Specified Act Applies to Executive Branch Only “Record” = Information about an Individual Must be Need to Maintain Records Disclosure Prohibited without Consent Requirements on Government Agencies
Record Disclosures Public Notice of Existence of Records Ensure Security & Confidentiality of Records
LTU CISSP
Privacy and Other Personal Rights (continued)
State Acts and Regulations Fair Information Practices Acts: Define Information that
Can be Collected Uniform Information Practices Code - National
Conference of Commissioners on Uniform State Laws: Recommended Model
Statutes Regulating Information Maintained by Private Organizations: e.g..., Health Care, Insurance
LTU CISSP
Privacy and Other Personal Rights (continued)
Other Employee Rights Electronic Mail: Expectations of Privacy Drug Testing: Limited to Sensitive Positions Only Freedom From Hostile Work Environment
International Privacy European Statutes Cover Both Government and Private
Corporate Records Application Primarily to Computerized Data Banks Strict Rules on Disclosure Prohibitions of Transfer of Information Across National
Boundaries
LTU CISSP
Privacy and Other Personal Rights (continued)
Management Responsibilities Regular Review with Legal Department Consider all Jurisdictions Prepare Policies for Compliance Enforce Policies Document Enforcement
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Computer-Related Laws
Criminal Law Victim is Society Purpose of Prosecution is Punishment Deterrent Effect of Punishment Burden of Proof is Reasonable Doubt Felonies - Jail > One Year Misdemeanors - Jail < One Year Federal and State Levels
Elements of Proof Vary Between and Among Specific vs. General Applicability
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Computer Crime Laws Federal
Computer Fraud and Abuse Act (Title 18, U.S. Code, 1030) *Accessing Federal Interest Computer (FIC) to acquire national
defense information Accessing an FIC to obtain financial information Accessing an FIC to deny the use of the computer *Accessing an FIC to affect a fraud *Damaging or denying use of an FIC thru transmission of code,
program, information or command Furthering a fraud by trafficking in passwords
Economic Espionage Act of 1996: Obtaining trade secrets to benefit a foreign entity
Electronic Funds Transfer Act: Covers use, transport, sell, receive or furnish counterfeit, altered, lost, stolen, or fraudulently obtained debit instruments in interstate or foreign commerce.
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Federal Computer Crime Laws (continued)
Child Pornography Prevention Act of 1996 (CPPA): Prohibits use of computer technology to produce child pornography.
Computer Security Act of 1987: Requires Federal Executive agencies to Establish Computer Security Programs.
Electronic Communications Privacy Act (ECPA): Prohibits unauthorized interception or retrieval of electronic communications
Fair Credit Reporting Act: Governs types of data that companies may be collected on private citizens & how it may be used.
Foreign Corrupt Practices Act: Covers improper foreign operations, but applies to all companies registered with the SEC, and requires companies to institute security programs.
Freedom of Information Act: Permits public access to information collected by the Federal Executive Branch.
LTU CISSP
Computer Laws (continued)
Civil Law (Tort Law) Damage/Loss to an Individual or Business Type of Punishment Different: No Incarceration Primary Purpose is Financial Restitution
Compensatory Damages: Actual Damages, Attorney Fees, Lost Profits, Investigation Costs
Punitive Damages: Set by Jury to Punish Offender
Statutory Damages: Established by Law
Easier to Obtain Conviction: Preponderance of Evidence
Impoundment Orders/Writs of Possession: Equivalent to Search Warrant
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Computer Laws (continued)
International Laws Lack of Universal Cooperation Differences in Interpretations of Laws Outdated Laws Against Fraud Problems with Evidence Admissibility Extradition Low Priority
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Computer Crime
Computer Crime as a Separate Category Rules of Property: Lack of Tangible Assets Rules of Evidence: Lack of Original Documents Threats to Integrity and Confidentiality: Goes
beyond normal definition of a loss Value of Data: Difficult to Measure. Cases of
Restitution only for Media Terminology: Statues have not kept pace. Is Computer
Hardware “Machinery”? Does Software quality as “Supplies”.
LTU CISSP
Computer Crime (continued)
Computer Crime is Hard to Define Lack of Understanding Laws are Inadequate: Slow to Keep Pace with Rapidly
Changing Technology Multiple Roles for Computers
Object of a Crime: Target of an Attack Subject of a Crime: Used to attack (impersonating a
network node) Medium of a Crime: Used as a Means to Commit a
Crime (Trojan Horse)
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Computer Crime (continued)
Difficulties in Prosecution Understanding: Judges, Lawyers, Police, Jurors Evidence: Lack of Tangible Evidence Forms of Assets: e.g., Magnetic Particles, Computer
Time Juveniles:
Many Perpetrators are Juveniles Adults Don’t Take Juvenile Crime Seriously
LTU CISSP
Legal Aspects of Cryptography
Prohibitions on Use Approach (e.g., France)
Prohibitions on Export (e.g., USA, GB, CAN, GER)
US Controls Export of Cryptography Implemented in Software
Practically Impossible to Enforce
LTU CISSP
Nature and Extent of Computer-Related Crime
Typology Input Tampering: Entry of Fraudulent or False Data Throughput Tampering: Altering Computer Instructions Output Tampering: Theft of Information
Most Common Crimes Input and Output Type Fraudulent Disbursements Fabrication of Data
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The Computer Criminal
Typical Profile Male, White, Young No Prior Record Works in Data Processing or Accounting
Myths Special Talents are Necessary Fraud has Increased Because of Computers
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The Computer Criminal (continued)
Personal Motivations Economic Egocentric Ideological Psychotic
LTU CISSP
The Computer Criminal (continued)
Environmental Motivations Work Environment Reward System Level of Interpersonal Trust Ethical Environment Stress Level Internal Controls Environment
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The Control Environment Factors that Encourage Crime
Motivation Personal Inducements
Factors that Discourage Crime Prevention Measures
Internal Controls Systems Access Control Systems
Detection Measures Auditing Supervision
LTU CISSP
COMPUTER CRIME INVESTIGATION
LTU CISSP
Investigation Steps Detection and Containment
Accidental Discovery Audit Trail Review Real-Time Intrusion Monitoring Limit Further Loss Reduction in Liability
Report to Management Immediate Notification Limit Knowledge of Investigation Use Out-of-Band Communications
LTU CISSP
Investigation Steps (continued)
Preliminary Investigation Determine if a Crime has Occurred Review Complaint Inspect Damage Interview Witnesses Examine Logs Identify Investigation Requirements
LTU CISSP
Investigation Steps (continued)
Disclosure Determination Determine if Disclosure is Required by Law Determine if Disclosure is Desired Caution in Dealing with the Media
Courses of Action Do Nothing Surveillance Eliminate Security Holes Is Police Report Required? Is Prosecution a Goal?
LTU CISSP
Investigation Steps (continued)
Conducting the Investigation Investigative Responsibility
Internal Investigation External Private Consultant Investigation Local/State/Federal Investigation
Factors Cost Legal Issues (Privacy, Evidence, Search & Seizure) Information Dissemination Investigative Control
LTU CISSP
Investigative Process
Identify Potential Suspects Insiders Outsiders Collaboration
Identify Potential Witnesses Who to Interview Who to Conduct Interview
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Investigative Process (continued)
Identify Type of System to be Seized Network, Hardware & Software Configuration System Experts Security System in Place Location of System Elements of Proof Probable Cause/Warrant Location of Analysis
LTU CISSP
Investigative Process (continued)
Identify Search and Seizure Team Members Lead Investigator Information Security Representative Legal Representative Technical Representatives
Obtain and Serve Search Warrants Determine if System Is at Risk
Access of Suspect Potential Destruction of Evidence
LTU CISSP
Investigation Steps (continued)
Execute the Plan Secure and Control Scene Protect Evidence Don’t Touch Keyboard Videotape Process Capture Monitor Display Unplug System Remove Cover Disks and Drives Search Premises (for Magnetic Media and Documentation) Seize Other Devices (that may contain information)
LTU CISSP
Investigation Steps (continued)
Conduct Surveillance Physical: Determine Subject’s Habits, Associates, Life Style Computer: Audit Logs or Electronic Monitoring
Other Information Sources Personnel Files Telephone and Fax Logs Security Logs Time Cards
Investigative Reporting Document Known Facts Statement of Final Conclusions
LTU CISSP
Computer Forensics
Conduct a Disk Image Backup of Suspect System: Bit level Copy of the Disk, Sector by Sector
Authenticate the File System: Create Message Digest for all Directories, Files & Disk Sectors
Analyze Restored Data: Conduct Forensic Analysis in a Controlled Environment Search Tools: Quick View Plus, Expert Witness, Super Sleuth Searching for Obscure Data: Hidden Files/Directories, Erased or
Deleted Files, Encrypted Data, Overwritten Files Steganography: Hiding a Piece of Information within Another Review Communications Programs: Links to Others
LTU CISSP
Computer Forensics (continued)
Reassemble and Boot Suspect System with Clean Operating System Target System May Be Infected Obtain System Time as Reference Run Complete System Analysis Report
Boot Suspect System with Original Operating System Identify Rogue Programs Identify Background Programs Identify What System Interrupts have Been Set
LTU CISSP
Computer Forensics (continued)
Search Backup Media: Don’t Forget Off-Site Storage
Search Access Controlled Systems and Encrypted Files Password Cracking Publisher Back Door Documentary Clues Ask the Suspect Case Law on Obtaining Passwords from Suspects
LTU CISSP
Rules of Evidence Types of Evidence
Direct: Oral Testimony by Witness Real: Tangible Objects/Physical Evidence Documentary: Printed Business Records, Manuals, Printouts Demonstrative: Used to Aid the Jury (Models, Illustrations, Charts
Best Evidence Rule: To Limit Potential for Alteration
Exclusionary Rule: Evidence Must be Gathered Legally or it Can’t Be Used
Hearsay Rule: Key for Computer Generated Evidence Second Hand Evidence Admissibility Based on Veracity and Competence of Source Exceptions: Rule 803 of Federal Rules of Evidence (Business
Documents created at the time by person with knowledge, part of regular business, routinely kept, supported by testimony)
LTU CISSP
Rules of Evidence (continued)
Chain of Evidence: Accountability & Protection Who Obtained Evidence Where and When it was Obtained Who Secured it Who Controlled it Account for Everyone Who Had Access to or Handled
the Evidence Assurance Against Tampering
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Rules of Evidence (continued)
Admissibility of Evidence: Computer-generated Evidence is Always Suspect Relevancy: Must Prove a Fact that is Material to the Case Reliability: Prove Reliability of Evidence and the Process
for Producing It
Evidence Life Cycle Collection and Identification Storage, Preservation, and Transportation Presentation in Court Return to Victim (Owner)
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Legal Proceedings
Discovery Defense Granted Access to All Investigative Materials Protective Order Limits Who Has Access
Grand Jury and Preliminary Hearings Witnesses Called Assign Law Enforcement Liaison
Trial: Unknown Results
Recovery of Damages: Thru Civil Courts
LTU CISSP
Legal Proceedings (continued)
Post Mortem Review: Analyze Attack and Close Security Holes Incident Response Plan Information Dissemination Policy Incident Reporting Policy Electronic Monitoring Statement Audit Trail Policy Warning Banner (Prohibit Unauthorized Access and Give
Notice of Monitoring) Need for Additional Personnel Security Controls
LTU CISSP
COMPUTER ETHICS
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Ethics Origins and Outlook Differences Between Law and Ethics: Must vs. Should Origins
Common Good National Interest Individual Rights Enlightened Self-Interest Law Tradition/Culture Religion
Fundamental Changes to Society No Sandbox Training
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Common Fallacies of the Computer Generation
The Computer Game Fallacy: Computer Designed to Prevent Abuse
The Law-Abiding Citizen Fallacy: Constitutional Rights The Shatterproof Fallacy: Limited Effects The Candy-from-a-Baby Fallacy: It’s Easy So It Must be OK The Hacker’s Fallacy: Means of Learning The Free Information Fallacy: Information Wants to Be Free
LTU CISSP
Resources
National Computer Ethics and Responsibilities Campaign (NCERC)
Computer Ethics Resource Guide National Computer Security Association (NCSA) Computer Ethics Institute
1991 – Ten Commandments of Computer Ethics End User’s Basic Tenants of Responsible Computing Four Primary Values Considerations for Conduct The Code of Fair Information Practices Unacceptable Internet Activities (RFC 1087)
LTU CISSP
(ISC)2 Code of Ethics
Conduct to meet highest standards of moral, ethical, and legal behavior
Maintain personal reputation and that of the profession Report unlawful activities and cooperate in investigation Promote prudent information security measures Provide competent service and avoid conflicts of interest Execute responsibilities in keeping with highest
professional standards Use information properly Maintain confidentiality of information
LTU CISSP
Ethical Responsibilities
Collectors of Data to Data Subjects for: Integrity Confidentiality
Custodians of Data to Owners of Data for: Availability Integrity
Users of Data to Data Subjects and Owners for: Confidentiality Integrity
LTU CISSP
Competitive Intelligence
Published Material & Public Documents Disclosures by Competitor Employees (without Subterfuge) Market Surveys & Consultant’s Reports Financial Reports & Broker’s Research Surveys Trade Fairs, Exhibits, & Competitor Literature Analysis of Competitor Products Reports of Own Personnel Legitimate Employment Interviews with Competitor
Employees
LTU CISSP
Industrial Espionage
Camouflaged Questioning of Competitor’s Employees Direct Observation under Secret Conditions False Job Interviews False Negotiations Use of Professional Investigators Hiring Competitor’s Employees Trespassing Bribing Suppliers and Employees Planting Agent on Competitor Payroll Eavesdropping Theft of Information Blackmail and Extortion
LTU CISSP
Plan of Action
Develop organizational guide to computer ethics Develop a computer ethics policy to supplement the
computer security policy Include computer ethics information in the employee
handbook Expand business ethics policy to include computer ethics Foster user awareness of computer ethics Establish an E-mail privacy policy and promote user
awareness of it
LTU CISSP
QUESTIONS?