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FIREWALLS & NETWORK SECURITY with Intrusion Detection and VPNs, 2nd ed.
3Security Policies,
Standards, and Planning
By Whitman, Mattord, & Austin © 2008 Course Technology
Learning Objectives
Upon completion of this material, you should be able to:– Define management’s role in the development,
maintenance, and enforcement of information security policy, standards, practices, procedures, and guidelines
– Describe an information security blueprint, identify its major components, and explain how it is used to support a network security program
– Discuss how an organization institutionalizes policies, standards, and practices using education, training, and awareness programs
– Explain contingency planning and describe the relationships among incident response planning, disaster recovery planning, business continuity planning, and contingency planning
Slide 2Firewalls & Network Security, 2nd ed. - Chapter 3
Introduction
To secure its network environment, organization must establish a functional and well-designed information security program
Information security program begins with creation or review of organization’s information security policies, standards, and practices
Selection or creation of information security architecture and development and use of detailed information security blueprint will create plan for future success
Without policy, blueprints, and planning, organization’s security needs will not be met
Slide 3Firewalls & Network Security, 2nd ed. - Chapter 3
Information Security Policy, Standards, and Practices Management must consider policies as basis for
all information security efforts Policies direct how issues should be addressed
and technologies used Security policies are the least expensive control
to execute but the most difficult to implement Shaping policy is difficult because policy must:
– Never conflict with laws– Stand up in court, if challenged– Be properly administered through dissemination
and documented acceptance
Slide 4Firewalls & Network Security, 2nd ed. - Chapter 3
Information Security Policy, Standards, and Practices (continued)
For a policy to be considered effective and legally enforceable:
Dissemination (distribution): organization must be able to demonstrate that relevant policy has been made readily available for review by all employees
Review (reading): organization must be able to demonstrate that it disseminated document in intelligible form, including versions for illiterate, non-English reading, and reading-impaired employees
Slide 5Firewalls & Network Security, 2nd ed. - Chapter 3
Information Security Policy, Standards and Practices (continued)
Comprehension (understanding): organization must be able to demonstrate that employees understand requirements and content of policy
Compliance (agreement): organization must be able to demonstrate that employees agree to comply with policy through act or affirmation OR ELSE
Uniform enforcement: organization must be able to demonstrate policy has been uniformly enforced
Slide 6Firewalls & Network Security, 2nd ed. - Chapter 3
Definitions
Policy is set of guidelines or instructions an organization’s senior management implements to regulate activities of members of organization who make decisions, take actions, and perform other duties
Policies are organizational laws Standards, on the other hand, are more detailed
statements of what must be done to comply with policy
Practices, procedures, and guidelines effectively explain how to comply with policy
Slide 7Firewalls & Network Security, 2nd ed. - Chapter 3
Figure 3 -1 Policies, Standards, & Practices
Slide 8Firewalls & Network Security, 2nd ed. - Chapter 3
Enterprise Information Security Policy (EISP)
EISP is also known as general security policy, IT security policy, or information security policy
Sets strategic direction, scope, and tone for all security efforts within the organization
Executive-level document, usually drafted by or with CIO of the organization and usually 2 to 10 pages long
Slide 9Firewalls & Network Security, 2nd ed. - Chapter 3
Issue-Specific Security Policy (ISSP)
Guidelines needed to use various technologies and processes properly
The ISSP:– Addresses specific areas of technology– Requires frequent updates– Contains issue statement on the organization’s
position on an issue Three approaches:
– Create several independent ISSP documents– Create a single comprehensive ISSP document– Create a modular ISSP document
Slide 10Firewalls & Network Security, 2nd ed. - Chapter 3
Systems-Specific Policy (SysSP)
SysSPs frequently codified as standards and procedures used when configuring or maintaining systems
SysSPs fall into two groups:– Managerial guidance SysSPs: created by
management to guide implementation and configuration of technology as well as to regulate behavior of people in the organization
– Technical specifications SysSPs: technical policy or set of configurations to implement managerial policy
Slide 11Firewalls & Network Security, 2nd ed. - Chapter 3
Systems-Specific Policy (SysSP) (continued)
Technical SysSPs are further divided into:– Access control lists (ACLs) consist of access
control lists, matrices, and capability tables governing rights and privileges of a particular user to a particular system
– Configuration rule policies comprise specific configuration codes entered into security systems to guide execution of the system
Firewalls & Network Security, 2nd ed. - Chapter 3 Slide 12
Policy Management
Policies are living documents that must be managed and are constantly changing
Special considerations should be made for organizations undergoing mergers, takeovers, and partnerships
To remain viable, security policies must have:– An individual responsible for reviews
– A schedule of reviews
– A specific policy issuance and revision date
Slide 13Firewalls & Network Security, 2nd ed. - Chapter 3
Frameworks and Industry Standards
Security blueprint is basis for design, selection, and implementation of all security program elements including policy implementation, ongoing policy management, risk management programs, education and training programs, technological controls, and maintenance of security program
Firewalls & Network Security, 2nd ed. - Chapter 3 Slide 14
Frameworks and Industry Standards (continued)
Security framework is outline of overall information security strategy and roadmap for planned changes to the organization’s information security environment
Number of published information security frameworks, including ones from government sources
Because each information security environment is unique, security team may need to modify or adapt pieces from several frameworks
Firewalls & Network Security, 2nd ed. - Chapter 3 Slide 15
Benchmarking and Best Practices
Benchmarking and best practices are reliable methods used by some organizations to assess security practices
Possible to gain information by benchmarking and using best practices and thus work backwards to effective design
Federal Agency Security Practices Site (fasp.nist.gov) designed to provide best practices for public agencies and is adapted easily to private organizations
Slide 16Firewalls & Network Security, 2nd ed. - Chapter 3
Figure 3-4 Spheres of Security
Slide 17Firewalls & Network Security, 2nd ed. - Chapter 3
Design of Security Architecture
Defense in depth– One of the foundations of security architectures
is requirement to implement security in layers– Requires that the organization establish sufficient
security controls and safeguards so an intruder faces multiple layers of controls
Security perimeter– Point at which an organization’s security
protection ends and the outside world begins– Unfortunately, perimeter does not apply to
internal attacks from employee threats or on-site physical threats
Slide 18Firewalls & Network Security, 2nd ed. - Chapter 3
Security Education, Training, and Awareness
As soon as policies exist, policies to implement security education, training, and awareness (SETA) should follow
SETA is a control measure designed to reduce accidental security breaches
Supplement general education and training programs to educate staff on information security
Security education and training builds on general knowledge that employees must possess to do their jobs, familiarizing them with the way to do their jobs securely
Slide 19Firewalls & Network Security, 2nd ed. - Chapter 3
SETA Elements
SETA program consists of three elements:– Security education– Security training– Security awareness
Organization may not be capable or willing to undertake all elements but may outsource them
Slide 20Firewalls & Network Security, 2nd ed. - Chapter 3
Security Education
Everyone in an organization needs to be trained and aware of information security, but not every member of the organization needs a formal degree or certificate in information security
When formal education for appropriate individuals in security is needed, an employee can identify curriculum available from local institutions of higher learning or continuing education
A number of universities have formal coursework in information security– (See, for example, http://infosec.kennesaw.edu)
Slide 21Firewalls & Network Security, 2nd ed. - Chapter 3
Security Training
Involves providing members of the organization with detailed information and hands-on instruction designed to prepare them to perform their duties securely
Management of information security can develop customized in-house training or outsource the training program
Slide 22Firewalls & Network Security, 2nd ed. - Chapter 3
Security Awareness
One of the least frequently implemented but most beneficial programs is the security awareness program
Designed to keep information security at forefront of users’ minds
Need not be complicated or expensive If program is not actively implemented,
employees begin to ‘tune out,’ and the risk of employee accidents and failures increases
Slide 23Firewalls & Network Security, 2nd ed. - Chapter 3
Continuity Strategies
Plans for events of this type are referred to in a number of ways: – Business continuity plans (BCPs)– Disaster recovery plans (DRPs)– Incident response plans (IRPs)– Contingency plans
Large organizations may have many types of plans and small organizations may have one simple plan, but most have inadequate planning
Slide 24Firewalls & Network Security, 2nd ed. - Chapter 3
Figure 3-9 Contingency Planning Timeline
Slide 25Firewalls & Network Security, 2nd ed. - Chapter 3
Contingency Planning Team
Before any planning begins, a team has to plan the effort and prepare resulting documents
Champion: high-level manager to support, promote, and endorse findings of the project
Project manager: leads project and makes sure a sound project planning process is used, a complete and useful project plan is developed, and project resources are prudently managed
Team members: should be managers or their representatives from various communities of interest (business, IT, and information security)
Slide 26Firewalls & Network Security, 2nd ed. - Chapter 3
Figure 3-10 Major Steps in Contingency Planning
Slide 27Firewalls & Network Security, 2nd ed. - Chapter 3
Business Impact Analysis
Begin with business impact analysis (BIA)– If the attack succeeds, what do we do then?
CP team conducts BIA in the following stages:– Threat attack identification
– Business unit analysis
– Attack success scenarios
– Potential damage assessment
– Subordinate plan classification
Slide 28Firewalls & Network Security, 2nd ed. - Chapter 3
Threat Attack Identification and Prioritization
Update threat list with latest developments and add the attack profile
Attack profile is the detailed description of activities during an attack
Must be developed for every serious threat the organization faces
Used to determine the extent of damage that could result to business unit if attack were successful
Slide 29Firewalls & Network Security, 2nd ed. - Chapter 3
Table 3-7 Attack Profile
Slide 30Firewalls & Network Security, 2nd ed. - Chapter 3
Business Unit Analysis
Second major task within the BIA is analysis and prioritization of business functions within the organization
Identify functional areas of the organization and prioritize them as to which are most vital
Focus on prioritized list of various functions that the organization performs
Slide 31Firewalls & Network Security, 2nd ed. - Chapter 3
Attack Success Scenario Development
Next, create series of scenarios depicting the impact a successful attack from each threat could have on each prioritized functional area with:– Details on method of attack– Indicators of attack– Broad consequences
Attack success scenario details are added to attack profile, including best, worst, and most likely outcomes
Slide 32Firewalls & Network Security, 2nd ed. - Chapter 3
Potential Damage Assessment
From previously developed attack success scenarios, BIA planning team must estimate cost of best, worst, and most likely cases
Costs include actions of response team This final result is referred to as an attack
scenario end case
Slide 33Firewalls & Network Security, 2nd ed. - Chapter 3
Incident Response Planning
Incident response planning covers identification of, classification of, and response to an incident
Incident is attack against an information asset that poses clear threat to the confidentiality, integrity, or availability of information resources
Attacks are only classified as incidents if they have the following characteristics:– Are directed against information assets– Have a realistic chance of success– Could threaten the confidentiality, integrity, or
availability of information resources IR is more reactive than proactive, with exception
of planning and preparation of IR teams
Slide 34Firewalls & Network Security, 2nd ed. - Chapter 3
Incident Planning
Predefined responses enable organization to react quickly and effectively to detected incident
This assumes the organization has an IR team and can detect the incident
IR team consists of those individuals needed to handle systems as incident takes place
IR consists of the following four phases:– Planning– Detection– Reaction– Recovery
Slide 35Firewalls & Network Security, 2nd ed. - Chapter 3
Incident or Disaster
When does an incident become a disaster?– The organization is unable to mitigate the impact
of an incident during the incident– The level of damage or destruction is so severe
that the organization is unable to quickly recover Difference may be subtle Up to the organization to decide which incidents
are to be classified as disasters and thus receive the appropriate level of response
Slide 36Firewalls & Network Security, 2nd ed. - Chapter 3
Disaster Recovery Planning
Disaster recovery planning (DRP) is planning the preparation for and recovery from a disaster
Contingency planning team must decide which actions constitute disasters and which constitute incidents
When situations are classified as disasters, plans change as to how to respond; take action to secure the system’s most valuable assets to preserve value for the longer term even at the risk of more disruption in the immediate term
DRP strives to reestablish operations at the ‘primary’ site
Slide 37Firewalls & Network Security, 2nd ed. - Chapter 3
DRP Steps
There must be a clear establishment of priorities There must be a clear delegation of roles and
responsibilities Someone must initiate the alert roster and notify
key personnel Someone must be tasked with the
documentation of the disaster If and only if it is possible, some attempts must
be made to mitigate the impact of the disaster on the operations of the organization
Slide 38Firewalls & Network Security, 2nd ed. - Chapter 3
Crisis Management
Crisis management occurs during and after a disaster and focuses on the people involved and addressing the viability of the business
Crisis management team responsible for managing event from enterprise perspective by:– Supporting personnel and families during crisis– Determining impact on business operations and,
if necessary, making disaster declaration– Keeping public informed– Communicating with major customers, suppliers,
partners, regulatory agencies, industry organizations, media, other interested parties
Slide 39Firewalls & Network Security, 2nd ed. - Chapter 3
Business Continuity Planning
Business continuity planning outlines reestablishment of critical business operations during a disaster that impacts operations
If disaster has rendered the business unusable for continued operations, there must be a plan to allow the business to continue to function
BCP is somewhat simpler than an IRP or DRP Consists primarily of selecting continuity
strategy and integrating off-site data storage and recovery functions into this strategy
Slide 40Firewalls & Network Security, 2nd ed. - Chapter 3
Summary
To effectively secure networks, an organization must establish functional, well-designed information security program
Information security program creation requires information security policies, standards, and practices; an information security architecture; and a detailed information security blueprint
Management must make policy the basis for all information security planning, design, and deployment in order to direct how issues are addressed and how technologies are used
Slide 41Firewalls & Network Security, 2nd ed. - Chapter 3
Summary (continued)
Policy must never conflict with laws but should stand up in court if challenged
To be effective and legally enforceable, policy must be disseminated, reviewed, understood, complied with, and uniformly enforced
Information security team identifies vulnerabilities and then develops security blueprint that is used to implement security program
Slide 42Firewalls & Network Security, 2nd ed. - Chapter 3
Summary (continued)
Security framework is outline of steps to take to design and implement information security
Purpose of security education, training, and awareness (SETA) is to enhance security by improving awareness of need to protect system resources and teaching users to perform jobs more securely, and to build knowledge to design, implement, or operate security programs
Firewalls & Network Security, 2nd ed. - Chapter 3 Slide 43
Summary (continued)
IT and InfoSec managers must assure continuous availability of information systems
Achieved with various contingency plans: incident response (IR), disaster recovery (DR), business continuity (BC)
IR plan addresses identification, classification, response, and recovery from incident
DR plan addresses preparation for and recovery from disaster
BC plan ensures that critical business functions continue if catastrophic event occurs
Firewalls & Network Security, 2nd ed. - Chapter 3 Slide 44