# Presentation: 688655

## The Federal Information Security Management ActReinforcing the Requirements for Security Awareness Training 

*Dr. Ron Ross*
*Computer Security Division*
*Information Technology Laboratory*

## Today’s Climate

- Highly interactive environment of powerful computing devices and interconnected systems of systems across global networks
- Federal agencies routinely interact with industry, private citizens, state and local governments, and the governments of other nations
- The complexity of today’s systems and networks presents great security challenges for both producers and consumers of information technology

## The Advantage of the Offense

- Powerful attack tools now available over the Internet to anyone who wants them
- Powerful, affordable computing platforms to launch sophisticated attacks now available to the masses
- Little skill or sophistication required to initiate extremely harmful attacks
*	**Result: The sophistication of the *_*attack*_* is growing, but the sophistication of the *_*attacker*_* is not.*

## Today’s Challenges

- Adequately protecting information systems within constrained budgets
- Changing the current culture of:
*	****“******Connect first...ask security questions later”***
- Bringing standards to:
- Security controls for information systems
- Verification procedures employed to assess the effectiveness of those controls

## Assurance in Information Systems

***Building more secure systems requires --***
- Well defined system-level security requirements and security specifications
- Well designed component products
- Sound systems security engineering practices
- Competent systems security engineers
- Appropriate metrics for product/system testing, evaluation, and assessment
- Comprehensive system security planning and life cycle management

## The Security Chain

- Links in the Chain
- (Technology based examples)
-  Access control mechanisms
-  Identification & authentication mechanisms
-  Audit mechanisms
-  Encryption mechanisms
-  Firewalls
-  Smart cards
-  Biometrics

- Links in the Chain
- (Non-technology based examples)
-  Security policies and procedures
-  Risk management
-  Security planning
-  Contingency planning
-  Incident response planning
-  Physical security
-  Personnel security

- Adversaries attack the weakest link...where is yours?

## FISMA LegislationOverview

-   “Each Federal agency shall develop, document, and implement an agency-wide information security program to provide information security for the information and information systems that support the operations and assets of the agency, including those provided or managed by another agency, contractor, or other source...”
- 				**--**** Federal Information Security Management Act of 2002**

## FISMA Tasks for NIST

- Standards to be used by Federal agencies to categorize information and information systems based on the objectives of providing appropriate levels of information security according to a range of risk levels
- Guidelines recommending the types of information and information systems to be included in each category
- Minimum information security requirements (management, operational, and technical security controls) for information and information systems in each such category

## Project Objectives

- _Phase I_: To develop standards and guidelines for:
- Categorizing Federal information and information systems
- Selecting and specifying security controls for Federal information systems; and
- Assessing the effectiveness of security controls in Federal information systems
***	***_Phase II_: To create a national network of accredited organizations capable of providing cost effective, quality security assessment services based on the NIST standards and guidelines

## Significant Benefits

- More consistent and comparable specifications of security controls for information systems
- More consistent, comparable, and repeatable system-level assessments of information systems
- More complete and reliable security-related information for authorizing officials
- A better understanding of complex information systems and associated risks and vulnerabilities
- Greater availability of competent security certification services

## The Framework

## Categorization StandardsNIST FISMA Requirement #1

- Develop standards to be used by Federal agencies to categorize information and information systems based on the objectives of providing appropriate levels of information security according to a range of risk levels
- Publication status:
-  	Federal Information Processing Standards (FIPS)  	Publication 199, “Standards for Security Categorization 	of Federal Information and Information Systems”
-   Public Review Period: May 16th—August 16th 2003
-  	Final Publication December 2003

## FIPS Publication 199

- Establishes standards to be used by Federal agencies to ***categorize*** information and information systems based on the objectives of providing appropriate levels of information security according to a range of risk levels
- Will be linked to the Federal Enterprise Architecture to show ***security traceability*** through reference models

## Mapping GuidelinesNIST FISMA Requirement #2

- Develop guidelines recommending the types of information and information systems to be included in each category described in FIPS Publication 199
- Publication status:
- NIST Special Publication 800-60, “Guide for  Mapping Types of Information and Information Systems to Security Categories”
- Initial Public Draft (December 2003)

## Minimum Security RequirementsNIST FISMA Requirement #3

- Develop minimum information security requirements (i.e., management, operational, and technical security controls) for information and information systems in each such category—
- Publication status:
-  	Federal Information Processing Standards (FIPS)  	Publication 200, “Minimum Security Controls for 	Federal Information Systems”*****
-  	Final Publication December 2005
*****	NIST Special Publication 800-53, “Recommended Security Controls for Federal Information Systems”, (Initial public draft, October 2003), will provide interim guidance until completion and adoption of FIPS Publication 200.

## Special Publication 800-53Recommended Security Controls for Federal Information Systems

- Provides a master catalog of security controls for information systems (incorporated from many sources including NIST SP 800-26, DoD Policy 8500, D/CID 6-3, ISO/IEC 17799, GAO FISCAM, HHS-CMS)
- Recommends baseline (minimum) security controls for information systems in accordance with security categories in FIPS Publication 199
- Provides guidelines for agency-directed tailoring of baseline security controls

## Applicability

- Applicable to all Federal information systems other than those systems designated as national security systems as defined in 44 U.S.C., Section 3542
- Broadly developed from a technical perspective to complement similar guidelines issued by agencies and offices operating or exercising control over national security systems

## Security Controls

- The management, operational, and technical controls (i.e., safeguards or countermeasures) prescribed for an information system to protect the confidentiality, integrity, and availability of the system and its information.
**	****-- [FIPS Publication 199, December 2003]**

## Key Questions

- What security controls are needed to adequately protect an information system that supports the operations and assets of the organization?
- Have the selected security controls been implemented or is there a realistic plan for their implementation?
- To what extent are the security controls implemented correctly, operating as intended, and producing the desired outcome?

## Catalog of Security Controls

- Contains 166 entries currently
- Organized by classes and families
- Includes three levels of security control strength (basic, enhanced, and strong) when appropriate and technically feasible
- Dynamic in nature allowing revisions and extensions to security controls to meet changing requirements and technologies

## Security Control Structure

- Section I:  *Control Objective*
- Provides the overall objective for the particular security control when applied to an information system
- Section II:  *Control Mapping*
- Lists source documents considered during development of the control catalog that have similar security controls, (e.g., FISCAM, DoD 8500, ISO 17799, NIST SP 800-26, DCID 6/3, HHS CMS)
- Section III: *Control Description*
- Provides the specific control requirements and details of each control

## Security Control ExampleClass: Operational              Family: Security Awareness and Training

**AT-1****	****SECURITY AWARENESS**
**	****	**_Control objective_: In accordance with organizational policy, detailed procedures 	are developed, documented, and effectively implemented to ensure that 	information system users are aware of the system security requirements and their 	responsibilities toward enabling effective mission accomplishment.
**AT-1.b** 	_Basic control_: Each information system user is aware of the system security 	requirements and that user’s security responsibilities prior to being authorized 	access to the system. Security awareness includes continual security awareness 	training conducted every [*Assignment: time period, typically annually*]. Users 	have received a copy of or have easy access to: (i) organizational security 	policies and procedures; and (ii) and rules of behavior for the information system 	or a user manual containing such rules. All employees fully understand their 	duties and responsibilities in accordance with their job descriptions as described 	in NIST Special Publications 800-16 and 800-50.

## Security Control ExampleClass: Operational              Family: Security Awareness and Training

**AT-2****	****SECURITY TRAINING**
**	****	**_Control objective_: In accordance with organizational policy, detailed procedures 	are developed, documented, and effectively implemented to ensure that all 	personnel with significant information system security responsibilities receive 	appropriate security training.
**AT-2.b** 	_Basic control_: The organization identifies all positions and/or roles with 	significant information system security responsibilities. A security training 	program consistent with NIST Special Publications 800-16 and 800-50 provides 	training for individuals within the organization with specific information system 	security responsibilities. Security training is adjusted to the level of the 	employee's responsibilities. Employees receive adequate training and have the 	needed security expertise and skills identified in job descriptions. The employees 	acknowledge, in writing, having received the security and awareness training. A 	record of the security subjects covered during training is maintained. Employee 	training and professional development are documented and monitored. Skill 	needs are accurately identified and included in job descriptions.

## Security Controls

- Management Controls
- Safeguards and countermeasures employed by an organization to manage the security of the information system and the associated risk to the organization’s assets and operations
- Operational Controls
- Safeguards and countermeasures employed by an organization to support the management and technical security controls in the information system (typically executed by people, not systems)
- Technical Controls
- Safeguards and countermeasures (typically described as security mechanisms) employed within the information system’s hardware, software, or firmware to protect the system and its information from unauthorized access, use, disclosure, disruption, modification, or destruction

## Management ControlsFamilies of Controls

- Risk Assessment
- Security Planning
- System and Services Acquisition
- Security Control Review
- Processing Authorization

## Operational ControlsFamilies of Controls

- Personnel Security
- Physical and Environmental Protection
- Contingency Planning and Operations
- Configuration Management
- Hardware and Software Maintenance

## Operational ControlsFamilies of Controls

- System and Information Integrity
- Media Protection
- Incident Response
- Security Awareness and Training

## Technical ControlsFamilies of Controls

- Identification and Authentication
- Logical Access Control
- Accountability (Including Audit)
- System and Communications Protection

## Baseline Security Controls

- Three sets of baseline (minimum) security controls defined for security categories in accordance with FIPS Publication 199
- Each set of security controls in the respective baselines (i.e., low, moderate, high) provides an estimated threat coverage
- For identifiable threat sources, security controls in the baselines provide: (i) full coverage; (ii) partial coverage; or (iii) no coverage

## Baseline Security Controls

- Baseline security controls provide a *starting point* for organizations and communities of interest in their security control selection process
- The security control set can be tailored by organizations based on results of risk assessments and/or specific security requirements (e.g., HIPAA, Gramm-Leach-Bliley)
- The final agreed upon set of security controls is documented in the system security plan

## Control Selection Process

- Establish security
- category of information system
**FIPS Publication 199**

- Select minimum
- security controls
**SP 800-53**
**FIPS Publication 200**

- Factor in local
- conditions; adjust
- security controls
**SP 800-30**

- Document security
- controls in
- security plan
**SP 800-18**

## Certification and Accreditation

- Conduct periodic testing and evaluation of the effectiveness of information security policies, procedures, and practices (including management, operational, and technical controls)
- Publication status:
- NIST Special Publication 800-37, “Guide for the Security Certification and Accreditation of Federal Information Systems”
- NIST Special Publication 800-53A, “Assessing the Security Controls in Federal Information Systems”

## Special Publication 800-37Guide for the Security Certification and Accreditationof Federal Information Systems

- Establishes guidelines (including tasks and subtasks) to certify and accredit information systems supporting the executive branch of the Federal government
- Applicable to non-national security information systems as defined in the Federal Information Security Management Act of 2002
- Replaces Federal Information Processing Standards (FIPS) Publication 102

## Special Publication 800-53AAssessing the Security Controls in Federal Information Systems

- Provides standardized assessment methods and procedures to determine the extent to which the security controls in an information system are:
- Implemented correctly
- Operating as intended
- Producing the desired outcome with respect to meeting system security requirements
- Allows additional methods procedures to be applied at the discretion of the agency

## FISMA Implementation Project Standards and Guidelines

- FIPS Publication 199 (Security Categorization)
- NIST Special Publication 800-37 (C&A)
- NIST Special Publication 800-53 (Security Controls)
- NIST Special Publication 800-53A (Assessment)
- NIST Special Publication 800-59 (National Security)
- NIST Special Publication 800-60 (Category Mapping)
- FIPS Publication 200 (Minimum Security Controls)

## NIST Standards and Guidelines

***Are intended to promote and facilitate—***
- More consistent, comparable specifications of security controls for information systems
- More consistent, comparable, and repeatable system evaluations of information systems
- More complete and reliable security-related information for authorizing officials
- A better understanding of complex information systems and associated risks and vulnerabilities
- Greater availability of competent security certification services

## Contact Information

**100 Bureau Drive  Mailstop 8930**
**  ****Gaithersburg, MD USA 20899-8930**
***	******	******Project Manager******	*****	****	*****Assessment Program***
*	**	*Dr. Ron Ross			Arnold Johnson
**	****	**(301) 975-5390			(301) 975-3247
- 		**rross@nist.gov** 			**arnold.johnson@nist.gov**
***	******	******Special Publications******	******	******Organization Accreditations***
- 		Joan Hash			Patricia Toth
- 		(301) 975-3357			(301) 975-5140
- 		joan.hash**@nist.gov****	****	****patricia.toth@nist.gov**
***	******	******Gov’t and Industry Outreach******	******Technical Advisor***
- 		Dr. Stu Katzke			Gary Stoneburner
- 		(301) 975-4768			(301) 975-5394
- 		**skatzke@nist.gov****	****	****	****gary.stoneburner@nist.gov**
**Comments to: ****sec-cert@nist.gov**
**World Wide Web: ****http://csrc.nist.gov/sec-cert**