NISTIR 7621
Revision 1

Small Business Information Security:
The Fundamentals
Celia Paulsen
Patricia Toth

This publication is available free of charge from:https://doi.org/10.6028/NIST.IR.7621r1

NISTIR 7621
Revision 1

Small Business Information Security:
The Fundamentals
Celia Paulsen
Patricia TothApplied Cybersecurity Division
Information Technology Laboratory

This publication is available free of charge from:https://doi.org/10.6028/NIST.IR.7621r1

November 2016

U.S. Department of Commerce
Penny Pritzker, Secretary
National Institute of Standards and Technology
Willie May, Under Secretary of Commerce for Standards and Technology and Director

National Institute of Standards and Technology Interagency Report 7621 Revision 1
54 pages (November 2016)
This publication is available free of charge from:https://doi.org/10.6028/NIST.IR.7621r1
Certain commercial entities, equipment, or materials may be identified in this document in order to describe an
experimental procedure or concept adequately. Such identification is not intended to imply recommendation or
endorsement by NIST, nor is it intended to imply that the entities, materials, or equipment are necessarily the best
available for the purpose.
There may be references in this publication to other publications currently under development by NIST in accordancewith its assigned statutory responsibilities. The information in this publication, including concepts and methodologies,
may be used by Federal agencies even before the completion of such companion publications. Thus, until eachpublication is completed, current requirements, guidelines, and procedures, where they exist, remain operative. For
planning and transition purposes, Federal agencies may wish to closely follow the development of these new
publications by NIST.
Organizations are encouraged to review all draft publications during public comment periods and provide feedback to
NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at
http://csrc.nist.gov/publications.

Comments on this publication may be submitted to:
National Institute of Standards and Technology
Attn: Applied Cybersecurity Division, Information Technology Laboratory
100 Bureau Drive (Mail Stop 2000) Gaithersburg, MD 20899-2000
Email: smallbizsecurity@nist.gov

All comments are subject to release under the Freedom of Information Act (FOIA).

NISTIR 7621 REV. 1

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Reports on Computer Systems Technology
The Information Technology Laboratory (ITL) at the National Institute of Standards andTechnology (NIST) promotes the U.S. economy and public welfare by providing technicalleadership for the Nation’s measurement and standards infrastructure. ITL develops tests, test
methods, reference data, proof of concept implementations, and technical analyses to advance thedevelopment and productive use of information technology. ITL’s responsibilities include thedevelopment of management, administrative, technical, and physical standards and guidelines forthe cost-effective security and privacy of other than national security-related information inFederal information systems.
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Abstract
NIST developed this interagency report as a reference guideline about cybersecurity for small
businesses. This document is intended to present the fundamentals of a small business information
security program in non-technical language.

Keywords
small business; information security; cybersecurity; fundamentals

Acknowledgements
The authors, Celia Paulsen and Patricia Toth wish to thank Richard Kissel and Dr. Hyunjeong
Moon for their extensive contributions to this publication. Since 2002, NIST along with the
Small Business Administration and the Federal Bureau of Investigation’s InfraGard program, hasconducted research and outreach to small businesses – much of this publication is thanks to theirgenerous time and effort. The authors would like to thank their partners and the small businesses
who contributed to this work. In addition, they would like to thank those colleagues andreviewers who contributed to the document’s development.

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Table of Contents
FOREWORD ....................................................................................................................................................... 1
PURPOSE ........................................................................................................................................................... 1
1

BACKGROUND: WHAT IS INFORMATION SECURITY AND CYBERSECURITY? .............................................. 2

1.1
1.2
2

UNDERSTANDING AND MANAGING YOUR RISKS .................................................................................... 6

2.1
2.2
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2.3
3

ELEMENTS OF RISK ....................................................................................................................... 6
MANAGING YOUR RISKS ................................................................................................................ 8• Identify what information your business stores and uses ............................................... 8• Determine the value of your information ........................................................................ 8• Develop an inventory ..................................................................................................... 10• Understand your threats and vulnerabilities ................................................................. 11
WHEN YOU NEED HELP ................................................................................................................ 14

SAFEGUARDING YOUR INFORMATION ................................................................................................... 15

3.1

3.2

3.3

3.4
3.5

4

WHY SMALL BUSINESSES? ............................................................................................................. 4
ORGANIZATION OF THIS PUBLICATION.............................................................................................. 5

IDENTIFY ................................................................................................................................... 16• Identify and control who has access to your business information ............................... 16• Conduct Background Checks .......................................................................................... 16• Require individual user accounts for each employee. ................................................... 17• Create policies and procedures for information security ............................................... 17
PROTECT ................................................................................................................................... 18• Limit employee access to data and information............................................................ 18• Install Surge Protectors and Uninterruptible Power Supplies (UPS) .............................. 18• Patch your operating systems and applications ............................................................ 19• Install and activate software and hardware firewalls on all your business networks... 19• Secure your wireless access point and networks ........................................................... 20• Set up web and email filters .......................................................................................... 20• Use encryption for sensitive business information ........................................................ 21• Dispose of old computers and media safely .................................................................. 21• Train your employees..................................................................................................... 22
DETECT ..................................................................................................................................... 23• Install and update anti-virus, -spyware, and other –malware programs ...................... 23• Maintain and monitor logs ............................................................................................ 23
RESPOND .................................................................................................................................. 24• Develop a plan for disasters and information security incidents................................... 24
RECOVER .................................................................................................................................. 25• Make full backups of important business data/information ......................................... 25• Make incremental backups of important business data/information ........................... 26• Consider cyber insurance ............................................................................................... 26• Make improvements to processes / procedures / technologies .................................... 27

WORKING SAFELY AND SECURELY.......................................................................................................... 28• Pay attention to the people you work with and around ................................................ 28• Be careful of email attachments and web links ............................................................. 28

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALS• Use separate personal and business computers, mobile devices, and accounts ........... 29• Do not connect personal or untrusted storage devices or hardware into your computer,mobile device, or network. ............................................................................................ 29• Be careful downloading software .................................................................................. 29• Do not give out personal or business information ......................................................... 30• Watch for harmful pop-ups ........................................................................................... 30• Use strong passwords .................................................................................................... 31• Conduct online business more securely ......................................................................... 32
APPENDIX A— GLOSSARY AND LIST OF ACRONYMS........................................................................................ 1
APPENDIX B— REFERENCES ........................................................................................................................... 1
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

APPENDIX C— ABOUT THE FRAMEWORK FOR IMPROVING CRITICAL INFRASTRUCTURE CYBERSECURITY ........ 1
APPENDIX D— WORKSHEETS ......................................................................................................................... 1• Identify and prioritize your information types ................................................................. 1• Develop an Inventory ....................................................................................................... 2• Identify Threats, Vulnerabilities, and the Likelihood of an Incident ................................ 3• Prioritize your mitigation activities .................................................................................. 4
APPENDIX E— SAMPLE POLICY & PROCEDURE STATEMENTS .......................................................................... 1

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Foreword
Small businesses are an important part of our nation’s economic and cyber infrastructure.
According to the Small Business Administration, there are approximately 28.2 million small
businesses in the United States. These businesses produce approximately 46 % of our nation’s
private-sector output and create 63 % of all new jobs in the country [SBA FAQ]. The Small
Business Administration has the responsibility for defining small businesses; the definition
varies for each industry sector [SBA SBSStds]. This publication uses the most recent Small
Business Administration definitions. For this publication, the term “Small business” issynonymous with Small Enterprise or Small Organization and includes for-profit, non-profit 1,
and similar organizations.
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

For some small businesses, the security of their information, systems, and networks might not be
their highest priority. However, an information security or cybersecurity incident can be
detrimental to their business, customers, employees, business partners, and potentially theircommunity. It is vitally important that each small business understand and manage the risk to
information, systems, and networks that support their business.
PurposeThis NIST Interagency Report (NISTIR) provides guidance on how small businesses can provide
basic security for their information, systems, and networks.
This NISTIR uses the Framework for Improving Critical Infrastructure Cybersecurity [CSF14]
as a template for organizing cybersecurity risk management processes and procedures. Although
the Cybersecurity Framework, created through collaboration between government and theprivate sector, was originally developed specifically for critical infrastructure organizations, it
has proven useful to a variety of audiences and is used in this publication to organize informationand cybersecurity best practices in an accepted and logical format. For more information about
the Cybersecurity Framework, see Appendix C.
Revision 1 of this publication reflects changes in technology and a reorganization of theinformation needed by small businesses to implement a program to help them understand andmanage their information and cybersecurity risk.

1 The U.S. Small Business Administration does not include non-profit in its definition for Small Businesses.

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Background: What is Information Security and Cybersecurity?

All businesses use information – for example, employee information, tax information,
proprietary information, or customer information. Information is vital to the operation of abusiness. If that information is compromised in some way, the business may not be able tofunction. Protecting the information an organization creates, uses, or stores is called“Information Security.”
Information Security is formally defined as “The protection of information and information
systems from unauthorized access, use, disclosure, disruption, modification, or destruction inorder to provide confidentiality, integrity, and availability” [44USC].
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Information security encompasses people, processes, and technologies. It concentrates on how toprotect:•

Confidentiality - protecting information from unauthorized access and disclosure. For
example, what would happen to your company if customer information such asusernames, passwords, or credit card information was stolen?

•

Integrity - protecting information from unauthorized modification.
For example, what if your payroll information or a proposed product design waschanged?

•Availability - preventing disruption in how you access information.
For example, what if you couldn’t log in to your bank account or access your customer’s
information, or your customers couldn’t access you?

As more and more information becomes digitized - digitally stored, processed, andcommunicated - cybersecurity has become a key component of information security.
Cybersecurity means protecting electronic devices and electronically stored information.
Cybersecurity is formally defined as “Prevention of damage to, protection of, and restoration ofcomputers, electronic communications systems, electronic communications services, wirecommunication, and electronic communication, including information contained therein, toensure its availability, integrity, authentication, confidentiality, and nonrepudiation”[CNSSI4009][HSPD23].
As part of information security, cybersecurity works in conjunction with a variety of othersecurity measures, some of which are shown in Figure 1. As a whole, these information security
components provide defense against a wide range of potential threats to your business’s
information. Although much of this publication involves electronic devices and solutions, it is
not limited to cybersecurity and typically refers to “information security” as a whole.

Figure 1: Key Components of Information
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Physical Security – the protection of property, e.g. using fences and locks;•

Personnel Security – e.g. using background checks;•

Contingency Planning and Disaster Recovery – how to resume normal operations after anincident, also known as Business Continuity Planning;•

Operational Security – protecting business plans and processes, and•Privacy – protecting personal information. 2

Lacking any one of these components diminishes the effectiveness of the others. For example,
good physical security measures mean little if the personnel you hire intend to harm yourbusiness (poor personnel security). Or, strong privacy policies can depend on cybersecurity
practices that protect customer information that is electronically stored.

2 Personal information includes “information which can be used to distinguish or trace an individual's identity, such as theirname, social security number, biometric records, etc. alone, or when combined with other personal or identifying
information which is linked or linkable to a specific individual, such as date and place of birth, mother’s maiden name, etc.”[OMBM-07-16].

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1.1

SMALL BUSINESS INFORMATION SECURITY:
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Why Small Businesses?

Many businesses in the United States have been putting resources—including people,
technology, and budgets—into protecting themselves from information security andcybersecurity threats. As a result, they have become a more difficult target for malicious attacks
from hackers and cyber criminals. Consequently, hackers and cyber criminals are now
successfully focusing more of their unwanted attention on less secure businesses.

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Because small businesses typically don’t have the resources to invest in information security theway larger businesses can, many cyber criminals view them as soft targets. Your small business
may have money or information that can be valuable to a criminal; your computer may becompromised and used to launch an attack on somebody else (i.e., a botnet), or your businessmay provide access to more high-profile targets through your products, services, or role in a
supply chain.
It is important to note that criminals aren’t always after profit. Some may attack your businessout of revenge (e.g. for firing them or somebody they know), or for the thrill of causing havoc.
Similarly, not all events that affect the confidentiality, availability, or integrity of yourinformation (called “information security events”) are caused by criminals. Environmental
events such as fires or floods, for example, can severely damage computer systems.
The overall impact of an incident could include:
•
•
•
•
•
•
•

damage to information or information systems;
regulatory fines and penalties / legal fees;
decreased productivity;
loss of information critical in running your business;an adverse reputation or loss of trust from customers;
damage to your credit and inability to get loans from banks, orloss of business income.

Unfortunately, in one respect, small businesses often have more to lose than larger organizations
simply because an event—whether a hacker, natural disaster, or business resource loss—can be
extremely costly. Small businesses are often less prepared to handle these events than larger
businesses, but with less complex operational needs, there are many steps a small business may
be able to take more easily. Thus, it is vitally important that you consider how to protect yourbusiness.
Small businesses often see information security as too difficult or that it requires too many
resources to do. It is true that there is no easy, one-time solution to information security – it takes
time and careful consideration with all relevant stakeholders. However, when viewed as part ofthe business’s strategy and regular processes, information security doesn’t have to be
intimidating.
A strong information security program can help your organization gain and retain customers,
employees, and business partners. Customers have an expectation that their sensitive information
will be protected from theft, disclosure, or misuse. Protecting your customers’ information is an
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example of good customer service and shows your customers that you value their business,potentially increasing your business opportunities.

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Similarly, employees have an expectation that their sensitive personal information will beappropriately protected, and a comprehensive information security program can help employees
feel valued and help improve their knowledge, skills, and abilities. Also, other business partners
want assurance that their information, systems, and networks are not put at risk when they
connect to and do business with your business; demonstrating to potential business partners thatyou have a method to protect their information can help strengthen and grow your business
relationship. Developing or improving your information security program will also make it easierfor your organization to innovate – taking advantage of new technologies that can lower costs
while delivering better services to your customers [EY14][Grady05].
It is not possible for any business to be completely secure. Nevertheless, it is possible—andreasonable—to implement a program that balances security with the needs and capabilities ofyour business. This publication provides small businesses with basic practices and tools needed
to develop an information security program to protect your business’s information.
1.2

Organization of this Publication

The rest of this publication is organized as follows:
•
•
•
•
•
•
•
•

Section 2 describes how an information security program can be implemented.
Section 3 discusses those key actions small businesses can take to develop or improvetheir information security and cybersecurity.
Section 4 identifies several key practices directed towards users which you can
implement immediately and which will protect your system and information.
Appendix A provides a glossary of key terms and acronyms used in this publication.
Appendix B contains sources referenced throughout this publication.
Appendix C contains a description of the NIST Framework for Improving Critical
Infrastructure Cybersecurity [CSF14].
Appendix D provides worksheets useful in conducting a risk analysis.
Appendix E contains example information security policy and procedure statements.

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2

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALS

Understanding and Managing Your Risks

Risk is a function of threats, vulnerabilities, the likelihood of an event, and the potential impact
such an event would have to the business. Most of us make risk-based decisions every day.
While driving to work, we assess threats and vulnerabilities such as weather and traffic
conditions, the skill of other drivers on the road, and the safety features and reliability of thevehicle we drive.

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By understanding your risks, you can know where to focus your efforts. While you can nevercompletely eliminate your risks, the goal of your information security program should be toprovide reasonable assurance that you have made informed decisions related to the security ofyour information.
It is impossible to completely understand all of your risks perfectly. There will be many times
when you will have to make a reasonable effort when trying to understand threats,vulnerabilities, potential impact and likelihood. For this reason, it is important to utilize all
resources available to you, including information sharing organizations (e.g., [US-CERT],[ISACA], etc.), relevant stakeholders, and knowledge experts.
2.1

Elements of Risk

In information security, a threat is anything that might adversely affect the information yourbusiness needs to run. These threats might come in the form of personnel or natural events; they
can be accidents, or intentional. Some of the most common information security threats include:•••

Environmental (e.g. fire, water, tornado, earthquake);
Business Resources (e.g. equipment failure, supply chain disruption, employees), andHostile Actors (e.g. hackers, hacktivists, criminals, nation-state actors).

When looking at these types of threats, many people do not understand how they relate to
information security. It is helpful to consider what would happen in the event of, for example, aflood. Computers, servers, and paper documents can easily be destroyed by even a small amountof water. If it is a large flood, you may not be allowed in the area to protect or collect the
information your business needs to run.
A vulnerability is a weakness that could be used to harm the business. Any time or situation
where information is not being adequately protected represents a vulnerability. Most information
security breaches can be traced back to only a few types of common vulnerabilities. Section 3
and Section 4 of this publication are geared towards minimizing your vulnerabilities andreducing the impact of a security incident should one happen.

Some threats affect businesses and industries differently. For example, an online retailer may be
more concerned about website defacement than a business with little or no web presence.
Likelihood is the chance that a threat will affect your business and helps determine what types ofprotections to put in place.
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Similarly, most businesses have different types of information. If a marketing pamphlet is leaked
online, it will probably not harm the business nearly as much as if, for example, sensitive
customer information or proprietary business data was leaked. The impact an event could havedepends on the information affected, the business, and the industry.
Figure 2 shows the relationship between threats, vulnerabilities, impact, and likelihood.

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Figure 2: How Risk is determined from Threats, Vulnerabilities, Likelihood, and Impact

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2.2

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSManaging Your Risks

The activity of identifying what information requires what level of protection, and thenimplementing and monitoring that protection, is called “risk management” 3. This section
contains simple steps for creating a risk-based information security program to help you manage
risk.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

This process will likely require the input and collaboration of a broad array of personnel within
the business to be successful. You should bring together those personnel in your business that
can help make informed decisions, for example project managers, executives, legal, and IT
personnel. In addition, you may want to consider including customers, particularly you do asignificant amount of business with, and use them as an additional resource.
You should review and update your risk management plan at least annually and whenever you
may be considering any changes to the business (e.g. beginning a new project, a change inprocedure, or purchasing a new IT system). Also, if you hear that something happened to one ofyour business partners, suppliers (including makers of any computer equipment or software you
may use), customers, or employees, use this exercise to make sure you are still adequately
protected.
•

Identify what information your business stores and uses
Because it is unreasonable to protect every piece of information your business uses
against every possible threat, it is important to identify what information is most valuable
to your business or to others. This first step is often the most challenging and mostimportant part of risk management.
Start by listing all of the types of information your business stores or uses. Define“information type” in any useful way that makes sense to your business. You may wantto have your employees make a list of all the information they use in their regular
activities. List everything you can think of, but you do not need to be too specific. For
example, you may keep customer names and email addresses, receipts for raw material,
your banking information, or other proprietary information.

•

Determine the value of your information
Go through each information type you identified and ask these key questions:••

What would happen to my business if this information was made public?
What would happen to my business if this information was incorrect?

3 NIST SP 800-30 Rev. 1, Guide for Conducting Risk Assessments, provides more detail on how to conduct a risk analysis[SP800-30].

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What would happen to my business if I/my customers couldn’t access thisinformation?

These questions relate to confidentiality, integrity, and availability, as discussed in
Section 1.1 and help determine the potential impact of an event. Table 1 below shows atemplate worksheet or spreadsheet you can adapt and use to identify the value of yourinformation. Table 1 also includes some additional, helpful questions to consider what
would happen to your business reputation, your productivity, and your legal liabilities.
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You may not be able to assign a dollar value amount for many types of information, so
instead, consider using use a scale of 0 to 3 or “none,” “low,” “moderate,” and “high.”
Note that one person alone may not know how a piece of information is used throughout
the business – a team effort will likely be required.
Using the answers to these questions, rank how critical each type of information is to thecontinued operations of your business. When calculating an overall ranking or risk score
for an information type, either add the values to give a total value or use the highest value
or score given. For example, if the information type has one “high” rating, the entire
information type should be rated as “high”. Information that has a higher score needs tobe more protected than information with a low score. Higher-rated information types may
warrant use of the techniques identified in Section 3 of this publication, depending on therelevant threats and vulnerabilities.
Table 1 on the next page is an example worksheet showing how this information can begathered. The worksheet includes a worked example shown in italics. The worksheet isalso available in Appendix D.

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Table 1: Identify and Prioritize Information Types
Example:Customer Contact
Information

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Cost of revelation(Confidentiality)

Med

Cost to verify
information (Integrity)

High

Cost of lost access(Availability)

High.

Cost of lost work

High

Fines, penalties,
customer notification

Med

Other legal costs

Low

Reputation / public
Relations costs

High

Cost to identify andrepair problem

High

Overall Score:

High

•

Info type 1

Info type 2

Info type 3…

Develop an inventory
Identify what technology comes in contact with the information you listed in Table 1.
Complete Table 2 to include the technology you use to store, access, process, andtransmit that information. This can include hardware (e.g. computers) and software
applications (e.g. browser email). Make sure to include the make, model, serial numbers,
and other identifying information; this information is necessary for identifying the
product in case of maintenance, repair, or insurance purposes. Every information typeshould have at least one hardware / software technology listed. Where applicable, include
technologies outside of your business (e.g., “the cloud”) and any protection technologies
you have in place such as firewalls.
You should also track where each product is located. For software, identify whatmachine(s) the software has been loaded on to. You may also want to include the ownerof the technology, if applicable.
Evaluate the impact of the information, as decided in Table 1—this will help you
determine the most appropriate security controls needed to protect the information. You
may choose to add up impact scores for all types of information the product comes in
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contact with, or only use the highest score. Update this list at least annually. This table isalso included in Appendix D.
Table 2: Inventory1
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Description (e.g. nickname,make, model, serial number,service ID, other identifying
information)

Location

Type of information the productcomes in contact with.

OverallPotential
ImpactDr. J. Smith’s cell phone;Type – Sonic; Version – 9.0
ID – “Police Box”

MobileT&S Network

Email; Calendar; Customer
Contact Information; Photos;
Social Media; Locations; Medical
Dictionary Application

High

2
3
4
5

•

Understand your threats and vulnerabilities
All businesses face information security and cybersecurity threats and vulnerabilities.
While certain categories of threats and vulnerabilities may be consistent acrossbusinesses, some may be specific to your industry, location, and business. You should
regularly review what threats and vulnerabilities your business may face and estimate thelikelihood that you will be affected by that threat or vulnerability. This can help you
identify specific strategies to protect against that threat or vulnerability.
Table 3 provides an example of how to determine the likelihood of an incident based on
the information you collected in Tables 1 and 2. The left-hand column of the table lists
some example threat events or scenarios—you should create a list that is specific to thethreats and vulnerabilities your business faces. Evaluate the likelihood of the threat toyour business in the bottom row. Use the highest value or score given. For example, if theinformation type has one “high” rating, the entire information type should be rated as“high”. See Appendix D for more information on this worksheet.

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Table 3: Identify Threats, Vulnerabilities, and the Likelihood of an Incident
Example:Customer Contact
Information on Dr. J.
Smith’s cell phone

Info type / Info type / Info type /Technology Technology Technology…

Confidentiality

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Theft by criminal

Accidental disclosureMed(encrypted; passwordprotected)
Med(has previously lost
phone twice)Integrity
Accidental alteration byuser / employee
Intentional alteration by
external criminal /hackerMed
Low

Availability
Accidental Destruction(fire, water, user error)

Med(Regular backups)

Intentional Destruction

Low

Overall Likelihood:

Med

Your business likely already has some processes and procedures in place which help toprotect from these threats. It is useful to record these protections as you go through thisexercise (e.g. the destruction of information may be mitigated or protected by regular
backups). Information about threats and common vulnerabilities can be found throughyour local InfraGard chapter [InfraGard], [US-CERT], your local SCORE 4 chapter,
hardware or software vendor announcements, your local police department and manyother places (e.g., the National Vulnerability Database [NVD]).
Vulnerabilities found in software applications are the most common avenue of attack forhackers. Because of the broad range of vulnerabilities possibly found within a network or
4 Originally known as the Service Corps of Retired Executives, it is now simply referred to as SCORE [SCORE].

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system, a vulnerability scan or analysis should be minimally conducted once a year by aprofessional and again whenever you make major changes to your computers or network.
The prices for this service can vary widely—from free to thousands of dollars—
depending on the specific actions performed and the size or nature of the business being
assessed.
You may want to consider conducting a penetration test against your business. This test
simulates an attack in order to identify weaknesses. The test should include physical,
social engineering, and cyber-based attacks. Other tests may also be useful—work with acybersecurity professional to identify what is appropriate for your situation.
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The information gathered in Tables 1 - 3 provide the information necessary to identify the areas
where you need to focus your information security efforts. Table 4 below shows an example of
how the value of your information types or “impact” (Tables 1 and 2) and the potential
likelihood of an attack (Table 3) can be combined to help you prioritize your information
security efforts.
Table 4: Prioritize Resolution Action

High

Priority 3 – Schedule aresolution. Focus on Respondand Recover solutions.

Priority 1 – Implement
immediate resolution. Focus on
Detect and Protect solutions.

No action needed

Priority 2 – Schedule aresolution. Focus on Detect andProtect solutions.

Low

High

ImpactLow

Likelihood

Using the previous example, Dr. J. Smith’s Cell Phone, which contains customer contact
information, may be a Priority 3 device due to the High impact and Low Likelihood.
As you review the practices in Section 3 and 4 of this document, look at what technologies andservices you may need to purchase. When you develop a budget, apply the information from thisexercise to help you select, obtain and implement systems and services that are commensuratewith your risk.

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2.3

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSWhen you need help

No one is an expert in every business and technical area. You may choose to outsource some ofyour technology and information security needs to companies that provide these services. Hereare a few tips which can help you find a provider that’s right for your business:

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Ask for recommendations. You can ask your business partners, local Chamber ofCommerce, Better Business Bureau, colleges or universities, or SCORE Office forreferrals.

•

Request quotes. Make sure to have a clear list of actions or outcomes that you want toachieve. This may be done with the potential provider, depending on whether or not you
want their opinion of what actions or outcomes your business should have.

•

Check past performance. Often providers will have reviews posted online. Check forcomplaints with the Better Business Bureau or Federal Trade Commission. If possible,
request a list of past customers and contact each to see if the customer was satisfied withthe company’s performance and would hire them again for future work. Find out how
long the company has been in business and whether or not there have been recent orseveral changes in management – this can be an indicator of future difficulties.

•

Find out who will be doing your work. Ask for the professional qualifications of thepersonnel who will be handling the project – including those working directly with you or
on your systems as well as any personnel that will be overseeing the project. Look forrecognized professional certifications and relevant experience.

Recognize that anyone you hire to perform a service for you may not know your business orindustry. Any large decisions – including any changes in processes or technologies used - should
be made in collaboration with business executives, project leaders, and other relevant personnel.
In some cases, larger organizations will help their small business suppliers analyze their risks
and develop an information security program. If you have a business partners or large customers
that depend on your organization, consider asking for their input or participation in your risk
management process.

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3

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALS

Safeguarding Your Information

This publication uses the Framework for Improving Critical Infrastructure Cybersecurity (the“Cybersecurity Framework”) to organize the processes and tools that you should consider toprotect your information [CSF14]. Appendix C contains more information about the
Cybersecurity Framework. This is not a one-time process, but a continual, on-going set of
activities. Although the Cybersecurity Framework was originally developed specifically forcritical infrastructure organizations, it has proven useful to a variety of audiences as it provides asimple, common language for helping organizations to identify, assess, and manage
cybersecurity risks.
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

This section provides activities you can implement in your business. In addition, Section 4 of thispublication lists some common practices you and your employees can implement to help keep
your business safe. The specific mitigation activities in this section are grouped into the five
broad categories of the Cybersecurity Framework, as pictured in Figure 3. Some of the activities
in this publication are suggestions for consideration. This means that those activities arerecommended when a higher level of assurance (confidentiality, integrity, or availability) isneeded to protect the information and meet business needs than is provided by the more basic
practices.

Identify
Protect

Recover

DetectRespondFigure 3: The Cybersecurity Framework Categories

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALS

Identify

As described in the Cybersecurity Framework, the activities in the Identify Function help
increase an organization’s understanding of their resources and risks. 5•

Identify and control who has access to your business information
Determine who has or should have access to your business’s information and technology.
Include whether or not a key, administrative privilege, or password is required. To help
collect this information, review your list of accounts and what privileges those accounts
have.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Be aware of anyone who has access to your business. Do not allow unknown orunauthorized persons to have physical access to any of your business computers. This
includes cleaning crews and maintenance personnel. Do not allow computer or network
repair personnel to work on systems or devices unsupervised. No unrecognized person
should be able to enter your office space without being questioned by an employee. If acriminal gains physical access to an unlocked machine, they can relatively easily steal
any private or sensitive information on that machine.
Physically lock up your laptops and other mobile devices when they are not in use. You
should also utilize the session lock feature included with many operating systems, whichlocks the screen if the computer is not used for a specified period of time (e.g. 2 minutes).
Use a privacy screen or position each computer’s display so that people walking by
cannot see the information on the screen.
•

Conduct Background Checks
Do a full, nationwide, criminal background check, sexual offender check, and if possible
a credit check on all prospective employees (especially if they will be handing yourbusiness funds). You can request one directly from the FBI or an FBI-approved
Channeler [FBI].
In addition, consider doing a background check on yourself. Many people become awarethat they are victims of identity theft only after they do a background check onthemselves and find reported arrest records and unusual previous addresses where they
never lived. This can be an indication that your identity has been stolen.
If prospective employees are applying for a job with educational requirements, call theschools they attended and verify their actual degree(s), date(s) of graduation, and GPA(s).
If they provided references, call those references to verify the dates they worked for acompany and other specifics to ensure the employee is being honest.

5 The Cybersecurity Framework includes those processes found in section 2 of this publication in the “Identify” function of the

Framework [CSF14].

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Require individual user accounts for each employee.
Set up a separate account for each user (including any contractors needing access) andrequire that strong, unique passwords be used for each account. Without individual
accounts for each user, you may find it difficult to investigate data loss or unauthorized
data manipulation. Ensure that all employees use computer accounts without
administrative privileges to perform typical work functions. This will hinder any
attempt—intentional or not—to install unauthorized software. Consider using a guest
account with minimal privileges (e.g. internet access only) if needed for your business.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Create policies and procedures for information security
Policies and procedures are used to identify acceptable practices and expectations forbusiness operations, can be used to train new employees on your information security
expectations, and can aid an investigation in case of an incident. These policies andprocedures should be readily accessible to employees – such as in an employee handbook
or manual.
The scope and breadth of policies is largely determined by the type of business and thedegree of control and accountability desired by management. Have a legal professionalfamiliar with cyber law review the policies to ensure they are compliant with local laws
and regulations.
Policies and procedures for information security and cybersecurity should clearly
describe your expectations for protecting your information and systems. These policies
should identify the information and other resources that are important and should clearly
describe how management expects those resources to be used and protected by all
employees. See Appendix E for sample policy and procedure statements. Other examples
are readily available online or a legal, insurance, or cybersecurity professional may haveexample policies.
All employees should sign a statement agreeing that they have read the policies andrelevant procedures, that they will follow the policies and procedures. If there arepenalties associated with the policies and procedures, employees should be aware ofthem. The signed agreement should be kept in the employee’s HR file.
Policies and procedures should be reviewed and updated at least annually and as there arechanges in the organization or technology. Whenever the policies are changed,
employees should be made aware of the changes and sign the new policy acknowledging
their understanding. This can be done in conjunction with annual training activities (seeSection 3.2).

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3.2

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALS

Protect

The Protect Function supports the ability to limit or contain the impact of a potential informationor cybersecurity event. 6•

Limit employee access to data and information

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Where possible, do not allow any employee to have access to all of the business’s
information or systems (financial, personnel, inventory, manufacturing, etc) 7. Allow
employees to access only those systems and only the specific information that they needto do their jobs. Likewise, do not allow a single individual to both initiate and approve atransaction (financial or otherwise). This includes executives and senior managers.
Insiders – employees or others who work for a business – are a main source of security
incidents. Because they are already known, trusted, and have been given access toimportant business information and systems, they can easily harm the business(deliberately or unintentionally). Unfortunately, these types of events can be difficult to
detect, so protecting against them is very important.
When an employee leaves the business, ensure they no longer have access to thebusiness’s information or systems. This may involve collecting their business ID,
deleting their username and account from all systems, changing any group passwords or
combination locks they may have known, and collecting any keys they were given.
•

Install Surge Protectors and Uninterruptible Power Supplies (UPS)
Surge protectors prevent spikes and dips in power from damaging your electronicsystems. Uninterruptible Power Supplies (UPS) provide a limited amount of battery
power to allow you to work through short power outages and provide enough time tosave your data when the electricity goes off. UPS’s often provide surge protection as
well. The size and type of UPS should be sufficient to meet the needs of your particularbusiness.
Ensure each of your computers and critical network devices are plugged into a UPS. Plugless sensitive electronics into surge protectors. Test and replace UPSs and surge
protectors as recommended by the manufacturer.

6 The Cybersecurity Framework specifies cybersecurity events only, but can be applied to information security events [CSF14].
7 The “process of granting access to information system resources only to authorized users, programs, processes, or othersystems” is called “access control” [SP800-32].

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSPatch your operating systems and applications
Any software application including operating systems, firmware, or plugin installed on asystem could provide the means for an attack. Only install those applications that you
need to run your business and patch/update them regularly. Many software vendors
provide patches and updates to their supported products in order to correct security
concerns and to improve functionality. Ensure that you know how to update and patch all
software on each device you own or use.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

When you purchase new computers, check for updates immediately. Do the same when
installing new software. You should only install a current and vendor-supported versionof software you choose to use. Vendors are not required to provide security updates for
unsupported products. For example, Microsoft ended support for Windows XP on April
8, 2014 and no new patches will be provided for that operating system, even though it has
known vulnerabilities [Msoft WLFS].
It may be useful to assign a day each month to check for patches. There are products
which can scan your system and notify you when there is an update for an application
you have installed. If you use one of these products, make sure it checks for updates forevery application you use. You can check for updates directly with the original
manufacturers of the applications you have installed.
•

Install and activate software and hardware firewalls on all your business networks
Firewalls can be used to block unwanted traffic such as known malicious
communications or browsing to inappropriate websites, depending on the settings. Installand operate a hardware firewall between your internal network and the Internet. This may
be a function of a wireless access point/router, or it may be a function of a routerprovided by the Internet Service Provider (ISP) of the small business. There are many
hardware vendors that provide firewall wireless access points/routers, firewall routers,
and separate firewall devices. Ensure there is antivirus software installed on the firewall.
For these devices, change the administrative password upon installation and regularly
thereafter. Consider changing the administrator’s log-in as well. The default values are
typically known or easily guessed, and, if not changed, may allow hackers to control yourdevice and thus, to monitor or record your communications and data via the Internet.
In addition, install, use, and regularly update a software firewall on each computer systemused in your small business (including smart phones and other networked devices if
possible). If given the option, ensure logging is enabled which will aid in theinvestigation of an event by providing evidence. Many operating systems include afirewall, but you should ensure that the firewall is operating and logging activity 8.

8 See Microsoft’s Safety & Security Center [Msoft SSC] and Apple’s OSX support page [Apple16].

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSYou should only use a current (updated), authentic, and vendor-supported version of the
hardware and software firewall.
It is necessary to have firewalls on each of your computers and networks even if you use
a cloud service provider or a virtual private network (VPN). If employees are allowed to
do any kind of work at home, ensure that their home network and systems have hardware
and software firewalls installed and operational, and that they are regularly updated.
In addition to a basic hardware firewall, you may want to consider installing an Intrusion
Detection / Prevention System (IDPS). These devices analyze network traffic at a moredetailed level and can provide a greater level of protection.
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Secure your wireless access point and networks
If you use wireless networking, set up your router as follows (view the owner’s manualfor directions on how to make these changes):-

Change the administrative password that was on the device when you received it.
Set the wireless access point so that it does not broadcast its Service Set Identifier(SSID).
Set your router to use WiFi Protected Access 2 (WPA-2), with the Advanced
Encryption Standard (AES) for encryption. Do not use WEP (Wired-Equivalent
Privacy) as it is not considered secure.

If your business provides wireless internet access to customers, ensure that it is separated
from your business network.
Avoid connecting to unknown or unsecured / guest wireless access points, even for
performing non-business activities. Access only those wireless access points that you
own or trust (i.e. are assured of their security).
If you or your employees must connect to unknown networks or conduct work from
home, you may want to consider implementing an encrypted virtual private network(VPN) capability, which will allow for a more secure connection.
•

Set up web and email filters
Email filters can help remove emails known to have malware attached and prevent yourinbox from being cluttered by unsolicited and undesired (i.e. “spam”) email. Emailproviders may offer this capability. If your business hosts your own email servers, use
filtering if possible.
Similarly, many web browsers allow web filtering – notifying the user if a website may
contain malware and potentially preventing them from accessing that website. Enable thisoption if available.

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You may want to consider blocking employees from going to websites that are frequently
associated with cybersecurity threats. This may include sites with pornographic content
or social media. This can help prevent employees from accidentally downloading
malware, wasting business resources, and conducting illicit activity using businessresources. Many firewalls and routers can be set up to block certain addresses (blacklist),or allow only certain addresses (whitelist). Blacklists can be downloaded online or
obtained as part of a service.
•

Use encryption for sensitive business information

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Encryption is a process of making your electronically stored information unreadable toanyone not having the correct password or key 9. Use full-disk encryption—whichencrypts all information on the storage media – on all of your computers, tablets, andsmart phones. Many systems come with full-disk encryption capabilities. Not all mobile
devices provide this capability.
Do not forget your encryption password or key! If you lose or forget your key, youwill lose your information. Save a copy of your encryption password or key in a secure
location separate from where your backups are stored.
If, in your business, you send sensitive documents or emails, you may want to consider
encrypting those documents and/or emails. Many document, and email applications
provide for this capability. Typically, the receiver will need to have the same application
to de-crypt the message or document as you used to encrypt it. If you need to send them apassword or key, give it to them via phone or other method. Never send it in the sameemail as the encrypted document.
•

Dispose of old computers and media safely
Small businesses may sell, throw away, or donate old computers and media. Whendisposing of old business computers, first electronically wipe the hard drive(s). Many
operating systems provide this capability and there are several downloadable applications
that can also do this. If you can’t wipe the hard drive for any reason, consider degaussing
the hard drive.
After wiping the hard drive(s), remove them and have them physically destroyed. You
can sell, donate, or recycle the machine after the hard drive has been removed. Manycompanies will crush or shred them for you. Consider choosing companies that will allow
you to watch the process.

9 NIST SP 800-101 Rev. 1, Guidelines on Mobile Device Forensics, defines encryption as “Any procedure used in cryptography

to convert plain text into cipher text to prevent anyone but the intended recipient from reading that data” [SP800-101].

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSInstall a remote-wiping application on your computer, tablet, cell phone, and othermobile device. If the device is lost or stolen, you can use these applications wipe all
information from the device.
When disposing of old media (CDs, floppy disks, USB drives, etc), first delete any
sensitive business or personal data. Then destroy the media either by shredding it or
taking it to a company that will shred it for you. When disposing of paper containing
sensitive information, destroy it by using a crosscut shredder.
You may want to consider incinerating paper and other media that contains very sensitive
information.
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Train your employees
Train employees immediately when hired and at least annually thereafter about yourinformation security policies and what they will be expected to do to protect yourbusiness’s information and technology. Ensure they sign a paper stating that they will
follow your policies, and that they understand the penalties for not following yourpolicies.
Train employees on the following:••••

What they are allowed to use business computers and mobile devices for, such asif they are allowed to use them to check their personal email.
How they are expected to treat customer or business information, for example
whether or not they can take that information home with them.
What to do in case of an emergency or security incident (see Section 3.4).
Basic practices as contained in Section 4 of this document.

You may be able to obtain training from various organizations, such as your local Small
Business Development Center (SBDC), SCORE Chapter, community college, technicalcollege, or commercial training vendors. In addition, the Small Business Administration(SBA) and Federal Trade Commission (FTC) produce videos and topic-specific tips andinformation which can be used for training [SBA LC] [FTC].
Continually reinforce the training in everyday conversations or meetings. Monthly orquarterly training, meetings, or newsletters on a specific subject can help reinforce theimportance of security and develop a culture of security in your employees and in yourbusiness.

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3.3

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALS

Detect

The activities under the Detect Function enable timely discovery of information security or
cybersecurity events.
•

Install and update anti-virus, -spyware, and other –malware programs
Malware (short for Malicious Software or Malicious Code) is computer code written to
steal or harm 10. It includes viruses, spyware, and ransomware. Sometimes malware onlyuses up computing resources (e.g. memory), but other times it can record your actions or
send your personal and sensitive information to cyber criminals.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Install, use, and regularly update anti-virus and anti-spyware software on every device
used in your business (including computers, smart phones, and tablets).
It may be useful to set the anti-virus and anti-spyware software to automatically check for
updates at least daily (or in “real-time”, if available), and then set it to run a complete
scan soon afterwards. Many businesses run their anti-virus programs at some scheduled
time each night (e.g. 12:00 midnight) and schedule a virus scan to run about half an hourlater (e.g. 12:30 am); then they run their anti-spyware software (e.g. 2:30 am) and run afull system scan (e.g. 3:00 am). This assumes that you have an always-on, high-speed
connection to the Internet. Regardless of the actual scheduled times for the above updates
and scans, schedule them so that only one activity is taking place at any given time.
If your employees do any work from home computers or personal devices, obtain copiesof your business anti-malware software for those systems or require your employees touse anti-virus and anti-spyware software.
You may want to consider using two different anti-virus solutions from different vendors.
This can improve the chances a virus will be detected. Often routers, firewalls, andIntrusion Detection / Prevention Systems will have some anti-virus capabilities, but theseshould not be exclusively relied upon to protect the network.
•

Maintain and monitor logs
Protection / detection hardware or software (e.g. firewalls, anti-virus) often has thecapability of keeping a log of activity. Ensure this functionality is enabled (check theoperating manual for instructions on how to do this). Logs can be used to identify
suspicious activity and may be valuable in case of an investigation. Logs should be

10 CNSSI 4009-2015 and NIST SP 800-53 Rev. 4 define Malicious Code as: “Software or firmware intended to perform anunauthorized process that will have adverse impact on the confidentiality, integrity, or availability of an information system.
A virus, worm, Trojan horse, or other code-based entity that infects a host. Spyware and some forms of adware are also
examples of malicious code.” [CNSSI4009, p.79] [SP800-53, p.B-13]

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backed up and saved for at least a year; some types of information may need to be stored
for a minimum of six years 11.
You may want to consider having a cybersecurity professional review the logs for any
unusual or unwanted trends, such as a large use of social media websites or an unusual
number of viruses consistently found on a particular computer. These trends may indicate
a more serious problem or signal the need for stronger protections in a particular area.
3.4

Respond

The Respond Function supports the ability to contain or reduce the impact of an event.
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Develop a plan for disasters and information security incidents
Develop a plan for what immediate actions you will take in case of a fire, medical
emergency, burglary, or natural disaster.
The plan should include the following:•

Roles and Responsibilities. This includes who makes the decision to initiate
recovery procedures and who will be the contact with appropriate law
enforcement personnel.

•

What to do with your information and information systems in case of anincident. This includes shutting down or locking computers, moving to a
backup site, physically removing important documents, etc.

•

Who to call in case of an incident. This should include how and when tocontact senior executives, emergency personnel, cybersecurity professionals,
legal professionals, service providers, or insurance providers. Be sure toinclude relevant contact information in the plan.
Many states have “notification laws,” requiring you to notify customers if
there is a possibility any of their information was stolen, disclosed, orotherwise lost. Make sure you know the laws for your area and include
relevant information in your plans.
Include when to notify appropriate authorities. If there is a possibility thatany personal information, intellectual property, or other sensitive information
was stolen, you should contact your local police department to file a report.
In addition, you may want to contact your local FBI office [DoJ15].

11 E.g., Patient health records have a retention requirement of “at least 6 years from date of last entry, and longer if required by

State statute.” 42 C.F.R. §491.10(c), Patient health records. Available at: http://www.ecfr.gov/cgi-bin/textidx?SID=8575b14705ead743d3cbeb9b04fc6896&mc=true&node=se42.5.491_110&rgn=div8 (accessed 10/13/2016).

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Types of activities that constitute an information security incident. Thisshould include activities such as your business website being down for morethan a certain length of time or evidence of information being stolen.

You may want to consider developing procedures for each job role that describe exactly
what the employee in that role will be expected to do if there is an incident or emergency.
Appendix E discusses what a procedure document should contain.
3.5

Recover

The Recover Function helps an organization resume normal operations after an event.
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Make full backups of important business data/information 12
Conduct a full, encrypted backup of the data on each computer and mobile device used inyour business at least once a month, shortly after a complete virus scan. Store thesebackups away from your office location in a protected place so that if something happens
to your office (fire, flood, tornado, theft, etc), your data is safe. Save a copy of yourencryption password or key in a secure location separate from where your backups are
stored.
Backups will let you restore your data in case a computer breaks, an employee makes a
mistake, or a malicious program infects your system. Without data backups, you may
have to recreate your business information manually (e.g. from paper records). Data thatyou should backup includes (but is not limited to) word processing documents, electronic
spreadsheets, databases, financial files, human resources files, accounts
receivable/payable files, system logs, and other information used in or generated by yourbusiness. Back up only your data, not the software applications themselves.
You can easily store backups on removable media, such as an external USB hard drive,or online using a Cloud Service Provider. If you choose to store your data online, do yourdue diligence when selecting a Cloud Service Provider. It is recommended that you
encrypt all data prior to storing it in the Cloud. 13
If you use a hard drive, ensure it is large enough to hold all of your monthly backups for ayear. It is helpful to create a separate folder for each of your computers. When you
connect the external disk to your computer to make your backups, copy your data into theappropriate designated folder.

12 The Cybersecurity Framework defines making backups as a “Protect” activity, and restoring from a backup as a “Recover”

activity. For this document, both making and restoring from the backups is listed under “Recover” for simplicity [CSF14].
13 The Cloud Security Alliance (CSA) provides information and guidance for using the Cloud safely [CSA11].

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Test your backups immediately after generating them to ensure that the backup was
successful and that you can restore the data if necessary.
•

Make incremental backups of important business data/information 14

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Conduct an automatic incremental or differential backup of each of your businesscomputers and mobile devices at least once a week. This type of backup only records any
changes made since the last backup. In some cases, it may be prudent to conduct backups
every day or every hour depending on how much information is changed or generated inthat time and the potential impact of losing that information. Many security software
suites offer automated backup functions that will do this on a regular schedule for you.
These backups should be stored on:•••

removable media (e.g. external hard drive);a separate server that is isolated from the network, oronline storage (e.g. a cloud service provider).

In general, the storage device should have enough capacity to hold data for 52 weekly
backups 15, so its size should be about 52 times the amount of data that you have.
Remember this should be done for each of your computers and mobile devices. You may
choose to store your backups in multiple locations (e.g. one in the office, one in a safety
deposit box across town, and one in the cloud). This provides additional security in caseone of the backups becomes destroyed.
Periodically test your backed up data to ensure that you can read it reliably. If you don’t
test your backups, you will have no grounds for confidence that you can use them in theevent of a disaster or security incident.
You may want to consider encrypting your backups. Many software applications willallow you to encrypt your backups. This provides an added layer of security and isimportant if your backups contain any sensitive personal or business information. Make
sure to keep a copy of your encryption password or key in a secure location separate from
where you keep your backups.
•

Consider cyber insurance
Cyber insurance is similar to other types of insurance (e.g. flood, fire) that you may havefor your business. Cyber insurance may help you respond to and recover from a security
incident. In some cases, cyber insurance companies may also provide cybersecurity

14 The Cybersecurity Framework defines making backups as a “Protect” activity, and restoring from a backup as a “Recover”

activity. For this document, both making and restoring from the backups is listed under “Recover” for simplicity [CSF14].
15 Various industries may have specific requirements for how long data backups should be kept, but for cybersecurity, 52 weekly

backups provide ability to both recover from and track incidents that weren’t noticed immediately.

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expertise and help you identify where you are vulnerable, what kinds of actions you needto take to protect your systems, and help you investigate an incident and report it toappropriate authorities.
As you might with any type of insurance, perform due-diligence when considering cyber
insurance. Determine your risks (see Section 2) before purchasing a policy. Research thecompany offering protection, the services they provide, the type of events they cover, andensure that they have a good reputation and will be able to meet their contractual
agreement.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Make improvements to processes / procedures / technologies
Regularly assess your processes, procedures, and technology solutions according to yourrisks (see Section 2). Make corrections and improvements as necessary.
You may want to consider conducting training or table-top exercises which simulate or
run-through a major event scenario in order to identify potential weaknesses in yourprocesses, procedures, technology, or personnel readiness. Make corrections as needed.

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4

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSWorking Safely and Securely

Many incidents can be prevented by practicing safe and secure business habits. Unlike theprevious section, which looked at programmatic steps you can take within your business, thissection focuses on every-day activities you and your employees can do to help keep yourbusiness safe and secure. While criminals are becoming more sophisticated, most criminals still
use well-known and easily avoidable methods. This section provides a list of recommended
practices to help protect your business. Each employee should be trained to follow these basic
practices.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Pay attention to the people you work with and aroundGet to know them and maintain contact with your employees, including any contractors
your business or building may employ (e.g. for cleaning, security, or maintenance). 16
Watch for unusual activity or warning signs such as the employee mentions financial
problems, begins working strange hours, asks for a lot of overtime, or becomes unusually
secretive. In most cases, this activity is benign, but occasionally it can be an indicator thatthe employee is or may begin stealing information or money from the business, orotherwise damaging the company.
Watch for unusual activity near your place of business or in your industry. Similarly,
know if other businesses in your area perform any activities which may pose anenvironmental or safety risk. An event that affects your neighbors may affect yourbusiness as well, or indicate new risks in your area, so it is important to remain aware.

•

Be careful of email attachments and web links
One of the more common means of distributing malware is via email attachments or links
embedded in email. Usually the malware is attached to emails that pretend to belegitimate or from someone you know (“phishing” or “spear phishing” attacks). Links
and attachments can be disguised to appear legitimate but in reality download malware
onto your computer.
Do not click on a link or open an attachment that you were not expecting. If it
appears important, call the sender to verify they sent the email and ask them to describe
what the attachment or link is.
Before you click a link (in an email or on social media, instant messages, other webpages,
or other means), hover over that link to see the actual web address it will take you to(usually shown at the bottom of the browser window). If you do not recognize or trust theaddress, try searching for relevant key terms in a web browser. This way you can find the

16 Current or former employees, contractors, or other business partners who have or had authorized access to an organization's

network, system, or data and intentionally misused that access to negatively affect the confidentiality, integrity, oravailability of the organization's information or information systems is called “insider threat” (Software Engineering
Institute CERT, https://www.cert.org/insider-threat/).

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article, video, or webpage without directly clicking on the suspicious link. Train
employees to recognize phishing attempts and who to notify when one occurs.
•

Use separate personal and business computers, mobile devices, and accounts

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

As much as possible, have separate devices and email accounts for personal and businessuse. This is especially important if other people such as children use your personal
devices. Do not conduct business or any sensitive activities (e.g. online business banking)on a personal computer or device and do not engage in activities such as web surfing,
gaming, downloading videos, etc., on business computers or devices. Do not send
sensitive business information to your personal email address.
Personal or home computers and electronics may be less secure than business systems.
Personal devices may be used for web surfing to untrustworthy sites and have
untrustworthy applications installed such as games which are not required for work andwhich add vulnerabilities that a hacker could exploit.
Some businesses may want to consider using a separate computer that is not connected to
any network for certain business functions or for extremely sensitive information.
Because most cyber attacks require network connectivity, disconnecting extremely
sensitive information from the network prevents these kinds of attacks.
•

Do not connect personal or untrusted storage devices or hardware into your computer,mobile device, or network.
Do not share USB drives or external hard drives between personal and businesscomputers or devices. Do not connect any unknown / untrusted hardware into yoursystem or network and do not insert any unknown CD, DVD, or USB drive. These
devices may have malware on them. Criminals are known to place USB drives in public
places where their target business’s employees gather, knowing that curious individuals
will pick them up and plug them in. What is on them is generally malware which will spy
on or take control of the computer.
Disable the AutoRun feature for the USB ports and optical drives like CD and DVD
drives on your business computers to help prevent such malicious programs frominstalling on your systems.

•

Be careful downloading software
Do not download software from an unknown web page.
Only those web pages belonging to reputable businesses with which you have a business
relationship should be considered reasonably safe for downloading software.

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NISTIR 7621 REV. 1

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSBe very careful if you decide to download and use freeware or shareware. Most of these
do not come with technical support and some do not have the full functionality you might
believe will be provided.
•

Do not give out personal or business information

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Social engineering is an attempt to obtain physical or electronic access to your businessinformation by manipulating people. A very common type of attack involves a person,
website, or email that pretends to be something it’s not. A social engineer will research
your business to learn names, titles, responsibilities, and any personal information they
can find. Afterwards, the social engineer usually calls or sends an email with abelievable, but made-up, story designed to convince the person to give them certain
information.
If you receive an unsolicited phone call asking for personal information from a company
you recognize (such as from your bank or doctor’s office), ask for identifying informationthat only a person associated with the organization would know. If this is not possible,
ask the person for their name and office or division and tell them you will call them rightback. Call the company using the information from their website or on your contract orbill – do not use any phone number provided by the person who called you. Then ask forthe representative who called you.
Never respond to an unsolicited phone call from a company you do not recognize thatasks for sensitive personal or business information. Employees should notify their
management whenever there is an attempt or request for sensitive business information.
Never give out your username or password. No company should ask you for thisinformation for any reason. Also beware of people asking what kind of operating system
you use, what brand firewalls you have, what internet browser you use, or what
applications you have installed. This is all information that can make it easier for a hacker
to break in to your system.
•

Watch for harmful pop-ups
When connected to and using the Internet, do not respond to popup windows requestingthat you click “OK” for anything. Use a popup blocker and only allow popups on
websites you trust.
If a window pops up on your screen unexpectedly, DO NOT close the popup window,
either by clicking “okay” or by selecting the X in the upper right corner of the popup
window, especially if the pop up is informing you that your system has a virus andsuggesting you download a program to fix it. Do not respond to popup windows
informing you that you have to download a new codec, driver, or special program for the
web page you are visiting. Some of these popup windows are actually trying to trick you
into clicking on “OK” which will allow it to download and install spyware or othermalware onto your computer. Be aware that some of these popup windows are
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programmed to interpret any mouse click anywhere on the window as an “OK” and act
accordingly.
If you encounter this kind of pop-up window, disconnect from the network and force thebrowser to close (in Windows, hit “ctrl + alt + del” and delete the browser from runningtasks. In OSX, right-click the application in the bar and select “force close”). You shouldsave any files you have open and reboot the computer, then run your anti-virus software.
•

Use strong passwords

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Good passwords consist of a random sequence of letters (upper case and lower case),
numbers, and special characters, and are at least 12 characters long 17. For systems orapplications that have important information, use multiple forms of identification (called“multi-factor” or “dual factor” authentication). For example, when a user logs in with apassword, they may be sent a text message with a code they have to enter as well.
Biometrics (e.g. fingerprint scanners) and other devices may be used, but can be
expensive and difficult to install or maintain.
Many devices come with default administration passwords – these should be changed
immediately when installing and regularly thereafter. Default passwords are easily foundor known by hackers and can be used to access the device. The manual or those who
install the system should be able to show you how to change them.
Passwords that do not change for long periods of time allow hackers time to crack themand may be shared and become common knowledge to an individual user’s coworkers.
Therefore, passwords should be changed at least every 3 months 18. Consider configuringsystems and devices to require users to change their passwords every 3 months if
possible.
Passwords to devices and applications that deal with business information should not be
re-used. If a hacker gains access to one account, they will have access to all others thatshare that password. It may be difficult to remember a number of different passwords so a
password management system may be an option. However, these systems place all
passwords into one place which may be lost or compromised. Carefully compare
password management solutions before purchasing.
You may want to consider using a password management application to store yourpasswords for you. Ensure the application encrypts all passwords stored on it. Use astrong password on the application and change the password regularly.

17 NIST SP 800-63-2, Electronic Authentication Guideline discusses password entropy [SP800-63].
18 Ibid.

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Conduct online business more securely
Online business/commerce/banking should only be done using a secure browser
connection. This will normally be indicated by a small lock visible in the lower rightcorner or upper left of your web browser window.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Erase your web browser cache, temporary internet files, cookies, and history regularly.
Make sure to erase this data after using any public computer and after any online
commerce or banking session. This prevents important information from being stolen if
your system is compromised. This will also help your system run faster. Typically, this isdone in the web browser’s “privacy” or “security” menu. Review your web browser’s
help manual for guidance.
If you do online business banking, you may want to consider having a dedicatedcomputer which is used ONLY for online banking. Do not use it for Internet searches,
personal banking, or email. Use it only for online banking for the business and disconnect
it when not in use.

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSAppendix A—Glossary and List of Acronyms

Application

A software program hosted by an information system.

[CNSSI4009]

Availability

Ensuring timely and reliable access to and use of information.

[44USC]

Backup[SP800-34]
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Blacklist[CNSSI4009][SP800-94]

Compact Disc (CD)A copy of files and programs made to facilitate recovery ifnecessary.
A list of discrete entities, such as hosts or applications that havebeen previously determined to be associated with malicious
activity.
A class of media from which data are read by optical means.

[SP800-88]

Confidentiality[44USC]

Cybersecurity[CNSSI4009]

A Digital Video Disc(DVD)
[SP800-88]

Encryption

Preserving authorized restrictions on information access anddisclosure, including means for protecting personal privacy andproprietary information.
Prevention of damage to, protection of, and restoration ofcomputers, electronic communications systems, electronic
communications services, wire communication, and electronic
communication, including information contained therein, toensure its availability, integrity, authentication, confidentiality,and nonrepudiation.
Has the same shape and size as a CD, but with a higher densitythat gives the option for data to be double-sided and/or doublelayered.
The process of changing plaintext into ciphertext.

[CNSSI4009][ISO7498-2]

FTC

Federal Trade Commission

FirewallA gateway that limits access between networks in accordancewith local security policy.

[SP800-32][CNSSI4009]

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NISTIR 7621 REV. 1

Impact[SP800-53]

Information Security[44USC]This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Insider[CNSSI4009, adapted]

Integrity[44USC]

Intrusion Detection /Prevention System(IDPS)[SP800-61]

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSThe effect on organizational operations, organizational assets,
individuals, other organizations, or the Nation (including thenational security interests of the United States) of a loss ofconfidentiality, integrity, or availability of information or an
information system.
The protection of information and information systems fromunauthorized access, use, disclosure, disruption, modification, or
destruction in order to provide confidentiality, integrity, andavailability.
Any person with authorized access to business resources,
including personnel, facilities, information, equipment, networks,
or systems.
Guarding against improper information modification or
destruction, and includes ensuring information non-repudiation
and authenticity.
Software that automates the process of monitoring the eventsoccurring in a computer system or network and analyzing themfor signs of possible incidents and attempting to stop detected
possible incidents.

Inventory

A listing of items including identification and location
information.

Likelihood

A weighted factor based on a subjective analysis of theprobability that a given threat is capable of exploiting a given
vulnerability or a set of vulnerabilities.

[SP800-30][CNSSI4009, "likelihood of
occurrence"]

Malware[SP800-53, "malicious
code"]

Operating System[SP800-44]

Software or firmware intended to perform an unauthorizedprocess that will have adverse impact on the confidentiality,
integrity, or availability of an information system. A virus, worm,
Trojan horse, or other code-based entity that infects a host.
Spyware and some forms of adware are also examples ofmalicious code.
The software “master control application” that runs the computer.
It is the first program loaded when the computer is turned on, andits main component, the kernel, resides in memory at all times.
The operating system sets the standards for all application
programs (such as the Web server) that run in the computer. The
applications communicate with the operating system for mostuser interface and file management operations.
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NISTIR 7621 REV. 1

Password[SP800-57]

Policy[SP800-95]

Risk[SP800-53]
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Risk Management[SP800-53]

Service Set Identifier(SSID)

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALS

A string of characters (letters, numbers and other symbols) thatare used to authenticate an identity, to verify access authorizationor to derive cryptographic keys.
Statements, rules or assertions that specify the correct or expectedbehavior of an entity. For example, an authorization policy might
specify the correct access control rules for a software component.
A measure of the extent to which an entity is threatened by apotential circumstance or event, and typically a function of: (i)the adverse impacts that would arise if the circumstance or event
occurs; and (ii) the likelihood of occurrence.
The program and supporting processes to manage information
security risk to organizational operations (including mission,functions, image, reputation), organizational assets, individuals,
other organizations, and the Nation, and includes: (i) establishing
the context for risk-related activities; (ii) assessing risk; (iii)
responding to risk once determined; and (iv) monitoring risk overtime.
A name assigned to a wireless access point that allows stations to
distinguish one wireless access point from another.

[SP800-48, adapted]

Small business

Small businesses are defined differently depending on theindustry sector. For this publication, the definition of a small
business includes for-profit, non-profit, and similar organizations
with up to 500 employees. Synonymous with “Small Enterpriseor Small Organization”. See the SBA website www.sba.gov formore information.

SBA

Small Business Administration

SBDC

Small Business Development Center

Spam

Electronic junk mail or the abuse of electronic messaging systems
to indiscriminately send unsolicited bulk messages.

[CNSSI4009]

Surge Protector

A device designed to protect electrical devices from voltage
spikes or dips.

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Threat[SP800-53]

SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALS

Any circumstance or event with the potential to adversely impact
organizational operations (including mission, functions, image, or
reputation), organizational assets, individuals, otherorganizations, or the Nation through an information system via
unauthorized access, destruction, disclosure, modification of
information, and/or denial of service.

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1

Uninterruptible Power
Supply (UPS)

A device with an internal battery that allows connected devices to
run for at least a short time when the primary power source is
lost.

Universal Serial Bus(USB)

Type of standard cable, connector, and protocol for connecting
computers, electronic devices, and power sources.

Vulnerability

Weakness in an information system, system security procedures,internal controls, or implementation that could be exploited or
triggered by a threat source.

[SP800-53]

Wired-Equivalent Privacy(WEP)

Security protocol specified in the IEEE Wireless Fidelity (Wi-Fi)
standard 802.11b.

Whitelist[CNSSI4009, "whitelisting"]

An approved list or register of entities that are provided aparticular privilege, service, mobility, access or recognition.

WiFi Protected Access 2(WPA-2)

Wireless Fidelity (Wi-Fi) security protocol and certification
program developed by the Wi-Fi Alliance.

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSAppendix B—References

This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1[44USC]

44 U.S.C. Sec 3552, Public Printing and Documents / Coordination ofFederal Information Policy / Information Security / Definitions, U.S.
Government Printing Office, 2014,
https://www.gpo.gov/fdsys/pkg/USCODE-2014-title44/pdf/USCODE-2014title44-chap35-subchapII-sec3552.pdf (accessed October 7, 2016).

[Apple16]

Apple Inc., OSX: About the application firewall, Last modified: March 22,
2016, https://support.apple.com/en-us/HT201642 (accessed October 7,2016).

[CNSSI4009]

Committee on National Security Systems, Committee on National Security
Systems (CNSS) Glossary, CNSS Instruction (CNSSI) 4009, April 6, 2015.
https://www.cnss.gov/CNSS/issuances/Instructions.cfm (accessed October 7,2016).

[CSA11]Cloud Security Alliance, Security Guidance for Critical Areas of Focus in
Cloud Computing v3.0, 2011,https://cloudsecurityalliance.org/download/security-guidance-for-criticalareas-of-focus-in-cloud-computing-v3/ (accessed October 7, 2016).

[CSF14]

National Institute of Standards and Technology, Framework for Improving
Critical Infrastructure Cybersecurity [Cybersecurity Framework], Version
1.0, February 12, 2014.
https://www.nist.gov/sites/default/files/documents/cyberframework/cybersec
urity-framework-021214.pdf (accessed October 7, 2016).

[DoJ15]

Department of Justice, Cybersecurity Unit, Best Practices for Victim
Response and Reporting of Cyber Incidents, version 1.0, April 2015,
http://www.justice.gov/sites/default/files/criminalccips/legacy/2015/04/30/04272015reporting-cyber-incidents-final.pdf(accessed October 7, 2016).

[EY14]

Ernst & Young, How to Use Cybersecurity to Generate Business Value,
2014, http://www.ey.com/Publication/vwLUAssets/EY_CIO__How_to_use_cybersecurity_to_generate_business_value/$FILE/EY-CIOHow-to-use-cybersecurity.pdf (accessed October 7, 2016).

[FBI]

Federal Bureau of Investigation, Identity History Summary Checks [Webpage], https://www.fbi.gov/about-us/cjis/identity-history-summary-checks(accessed October 7, 2016).

[FTC]

Federal Trade Commission, Data Security [Web page],https://www.ftc.gov/tips-advice/business-center/privacy-and-security/datasecurity (accessed October 7, 2016).

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSThis publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1[Grady05]

Grady, Mark F. and Francesco Parisi (eds.), The Law and Economics ofCybersecurity, Cambridge University Press, November 28, 2005.

[HSPD23]

The White House, Cybersecurity Policy, National Security Presidential
Directive (NSPD)-54/Homeland Security Presidential Directive (HSPD)-23,
January 2008.

[InfraGard]

InfraGard [Web site], https://www.infragard.org/ (accessed October 7, 2016).

[ISACA]ISACA [Web site], https://isaca.org/ (accessed October 7, 2016).

[ISO7498-2]

International Standardization Organization/International ElectrotechnicalCommission (ISO/IEC), Information processing systems—Open Systems
Interconnection—Basic Reference Model—Part 2: Security Architecture,
ISO/IEC 7498-2:1989, February 2, 1989.

[Msoft SSC]

Microsoft Corporation, Safety & Security Center [Web page],https://www.microsoft.com/en-us/security/ (accessed October 7, 2016).

[Msoft WLFS]

Microsoft Corporation, Windows lifecycle fact sheet [Web page], Last
updated January 2016, https://support.microsoft.com/enus/help/13853/windows-lifecycle-fact-sheet (accessed October 7, 2016).

[NVD]

National Institute of Standards and Technology, National Vulnerability
Database [Web site], https://nvd.nist.gov (accessed October 7, 2016).

[OMBM-07-16]

Office of Management and Budget, Safeguarding Against and Responding to
the Breach of Personally Identifiable Information, OMB Memorandum M07-16, May 22, 2007.
https://www.whitehouse.gov/sites/default/files/omb/memoranda/fy2007/m07-16.pdf (accessed October 7, 2016).

[SBA FAQ]

U.S. Small Business Administration, Office of Advocacy, Frequently Asked
Questions, March 2014,
https://www.sba.gov/sites/default/files/FAQ_March_2014_0.pdf (accessed
October 7, 2016).

[SBA LC]

U.S. Small Business Administration, SBA Learning Center [Web page],https://www.sba.gov/tools/sba-learning-center/training/cybersecurity-smallbusinesses (accessed October 7, 2016)[SBA SBSStds]

U.S. Small Business Administration, Table of Small Business Size Standards
Matched to North American Industry Classification System Codes, July 14,
2014, https://www.sba.gov/sites/default/files/Size_Standards_Table.pdf(accessed October 7, 2016).

[SCORE]SCORE [Web site], https://www.score.org/ (accessed October 7, 2016).

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THE FUNDAMENTALSThis publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1[SP800-30]

National Institute of Standards and Technology, Guide for Conducting Risk
Assessments, Special Publication (SP) 800-30 Revision 1, September 2012,https://doi.org/10.6028/NIST.SP.800-30r1.

[SP800-32]

National Institute of Standards and Technology, Introduction to the Federal
Key Technology and the Federal PKI Infrastructure, Special Publication(SP) 800-32, February 26, 2001, https://doi.org/10.6028/NIST.SP.800-32.

[SP800-34]

National Institute of Standards and Technology, Contingency Planning
Guide for Federal Information Systems, Special Publication (SP) 800-34
Revision 1, May 2010, https://doi.org/10.6028/NIST.SP.800-34r1.

[SP800-44]

National Institute of Standards and Technology, Guidelines on Securing
Public Web Servers, Special Publication (SP) 800-44 Version 2, September
2007, https://doi.org/10.6028/NIST.SP.800-44ver2.

[SP800-48]

National Institute of Standards and Technology, Guide to Securing Legacy
IEEE 802.11 Wireless Networks, Special Publication (SP) 800-48 Revision
1, July 2008, https://doi.org/10.6028/NIST.SP.800-48r1.

[SP800-53]

National Institute of Standards and Technology, Security and Privacy
Controls for Federal Information Systems and Organizations, Special
Publication (SP) 800-53 Revision 4, April 2013 (updated January 22, 2015),
https://doi.org/10.6028/NIST.SP.800-53r4.

[SP800-57]

National Institute of Standards and Technology, Recommendation for Key
Management—Part 1: General, Special Publication (SP) 800-57 Part 1
Revision 4, January 2016, https://doi.org/10.6028/NIST.SP.800-57pt1r4.

[SP800-61]

National Institute of Standards and Technology, Computer Security Incident
Handling Guide, Special Publication (SP) 800-61 Revision 2, August 2012,https://doi.org/10.6028/NIST.SP.800-61r2.

[SP800-63]

National Institute of Standards and Technology, Electronic Authentication
Guideline, Special Publication (SP) 800-63-2, August 2013,https://doi.org/10.6028/NIST.SP.800-63-2.

[SP800-88]

National Institute of Standards and Technology, Guidelines for Media
Sanitization, Special Publication (SP) 800-88 Revision 1, December 2014,
https://doi.org/10.6028/NIST.SP.800-88r1.

[SP800-94]

National Institute of Standards and Technology, Guide to Intrusion
Detection and Prevention Systems (IDPS), Special Publication (SP) 800-94,
February 2007, https://doi.org/10.6028/NIST.SP.800-94.

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSThis publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1[SP800-95]

National Institute of Standards and Technology, Guide to Secure Web
Services, Special Publication (SP) 800-95, August 2007,https://doi.org/10.6028/NIST.SP.800-95.

[SP800-101]

National Institute of Standards and Technology, Guidelines on Mobile
Device Forensics, Special Publication (SP) 800-101 Revision 1, May 2014,
https://doi.org/10.6028/NIST.SP.800-101r1.

[SP800-171]

National Institute of Standards and Technology, Protecting Controlled
Unclassified Information in Nonfederal Information Systems andOrganizations, Special Publication (SP) 800-171, June 2015 (updated
January 14, 2016), https://doi.org/10.6028/NIST.SP.800-171.

[US-CERT]

Department of Homeland Security, United States Computer Emergency
Readiness Team [Web site], https://www.us-cert.gov/ (accessed October 7,2016).

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSAppendix C—About the Framework for Improving Critical Infrastructure Cybersecurity

The Framework for Improving Critical Infrastructure Cybersecurity [CSF14] is voluntary
guidance, based on existing standards, guidelines, and practices, for critical infrastructureorganizations to better manage and reduce cybersecurity risk. 19 It provides a common language
to address cybersecurity risk management and is especially helpful in improving
communications both within and outside of an organization. It includes the five Framework Core
Functions defined below. These Functions are not intended to form a serial path, or lead to astatic desired end state. Rather, the Functions can be performed concurrently and continuously toform an operational culture that addresses the dynamic cybersecurity risk.
This publication is available free of charge from: https://doi.org/10.6028/NIST.IR.7621r1•

Identify – Develop the organizational understanding to manage cybersecurity risk tosystems, assets, data, and capabilities.
Understanding the business context, the resources that support critical functions, and therelated cybersecurity risks enables an organization to focus and prioritize its efforts,
consistent with its risk management strategy and business needs. Examples of outcome
Categories within this Function include: Asset Management; Business Environment;
Governance; Risk Assessment; and Risk Management Strategy.

•

Protect – Develop and implement the appropriate safeguards to ensure delivery ofcritical infrastructure services.
The Protect Function supports the ability to limit or contain the impact of a potential
cybersecurity event. Examples of outcome Categories within this Function include:
Access Control; Awareness and Training; Data Security; Information Protection
Processes and Procedures; Maintenance; and Protective Technology.

•

Detect – Develop and implement the appropriate activities to identify the occurrence of acybersecurity event.
The Detect Function enables timely discovery of cybersecurity events. Examples ofoutcome Categories within this Function include: Anomalies and Events; Security
Continuous Monitoring; and Detection Processes.

•

Respond – Develop and implement the appropriate activities to take action regarding a
detected cybersecurity event.
The Respond Function supports the ability to contain the impact of a potential
cybersecurity event. Examples of outcome Categories within this Function include:
Response Planning; Communications; Analysis; Mitigation; and Improvements.

•

Recover – Develop and implement the appropriate activities to maintain plans forresilience and to restore any capabilities or services that were impaired due to acybersecurity event.
The Recover Function supports timely recovery to normal operations to reduce theimpact from a cybersecurity event. Examples of outcome Categories within this Function
include: Recovery Planning; Improvements; and Communications.

19 For additional information, see NIST’s Cybersecurity Framework homepage: http://www.nist.gov/cyberframework/.

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSAppendix D—Worksheets

The worksheets in this document are designed to be customizable to your business needs. It issuggested that you replicate, customize, and edit these worksheets in an electronic spreadsheet
format so that it will be easily scalable and updateable for your business needs.
•

Identify and prioritize your information types
1) List all of the information types used in your organization (define “information type”
in any way that makes sense in your business). Think about all the information usedby and in your business.

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2) Enter estimated costs for each of the categories on the left. If you are unable to assign
a dollar amount, use a scale such as low-medium-high, or 1-10. Avoid using a range(e.g. $2,500 to $50,000) and simply enter a best-guess average.
3) Based on the estimated costs, prioritize your information types in the bottom row.
You may do this by calculating an overall ranking or risk score for each information
type. Either add the values to give a total value or use the highest value or score
given. For example, if the information type has one “high” rating, the entire
information type should be rated as “high”.
Table 1: Identify and Prioritize Information Types
Info type 1

Info type 2

Cost of revelation(Confidentiality)
Cost to verify
information (Integrity)
Cost of lost access(Availability)
Cost of lost work
Fines, penalties,
customer notification
Other legal costs
Reputation / public
Relations costs
Cost to identify andrepair problem
PRIORITY:

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Info type 3…

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Develop an Inventory
1) List what technology comes in contact with (accesses, processes, transmits or stores)
your information. This can include hardware (e.g. computers) and software
applications (e.g. browser email).
2) In the first column, include identifying information such as the make, model,
nickname, title, version, owner, and serial number.

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3) Identify where that product is located. For software, identify what machine(s) thesoftware has been loaded on to.
4) List the information type(s) that the hardware / software technology comes in contact
with.
5) Review the information types and identify the highest priority level of the information(from Table 1).
Table 2: Inventory
Description (e.g. nickname,make, model, serial number,service ID, other identifying
information)

Location

1
2
3
4
5
6
…

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Type of information the productcomes in contact with.

OverallPotential
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SMALL BUSINESS INFORMATION SECURITY:
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Identify Threats, Vulnerabilities, and the Likelihood of an Incident
1) Identify any threats or vulnerabilities your business may have. Information about
threats and common vulnerabilities can be found through the media, industryspecific news, your local Infragard chapter, US-CERT 20, your local SCORE 21
chapter, hardware or software vendor announcements, and your local police
department.

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2) Develop a list of threat events or scenarios based on the threats and vulnerabilities
you identified. This example organizes scenarios by “Confidentiality”,“Integrity”, and “Availability” in the left-hand column. It does not include all
scenarios your business is likely to face.
3) List your information types (from Table 1) and the technologies that come incontact with that information (from Table 2) in the column headers. You may
wish to combine or group technologies or information types that are essentiallysimilar (e.g. all mobile devices may be grouped together, or all information thathas the same impact score).
4) Identify the likelihood that the threat event will happen to each Information type /Technology. Consider any existing protections you may have (such as firewalls,
backups, fire extinguishers, etc.) and also any special vulnerabilities (broken
locks, past history of problems, unpatched software vulnerability, etc.) which may
alter the likelihood score you assign.
5) Calculate total likelihood scores in the bottom row. Either add the values to give a
total value or use the highest value or score given. For example, if the information
type has one “high” rating, the entire information type should be rated as “high”.

20 United States Computer Emergency Readiness Team, https://www.us-cert.gov/.
21 Originally known as the Service Corps of Retired Executives, it is now simply referred to as SCORE, https://www.score.org/.

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Table 3: Identify Threats, Vulnerabilities, and the Likelihood of an Incident
Info type /Technology

Info type /Technology

Info type /Technology…

Confidentiality
Theft by criminal
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Accidental disclosure
Integrity
Accidental alteration byuser / employee
Intentional alteration by
external criminal /hackerAvailability
Accidental Destruction(fire, water, user error)
Intentional Destruction
Overall Likelihood:•

Prioritize your mitigation activities
1) Compare the scores from Tables 1 and 3 to the table below. Information Typesfrom Table 1 with a high impact score and a high likelihood score from Table 3(with any technology) should be assigned a “Priority 1”, meaning you should
immediately invest in processes or solutions to better secure this information.
2) List your priorities.
3) Identify potential solutions (see Section 3) according to those priorities.
4) Develop a resolution plan, including funding, to implement the solutions you
identified.

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Table 4: Prioritize Resolution Action

High

Priority 3 – schedule aresolution. Focus on Respondand Recover solutions.

Priority 1 – Implement
immediate resolution. Focus on
Detect and Protect solutions.

No action needed

Priority 2 – schedule aresolution. Focus on Detect andProtect solutions.

Low

High

ImpactLow
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Likelihood

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SMALL BUSINESS INFORMATION SECURITY:
THE FUNDAMENTALSAppendix E—Sample Policy & Procedure Statements

A security policy states, in writing, requirements for protecting your business information. A
security policy specifies:
1) The information you care about (see Table 1)
2) Why the information needs to be protected (see Table 3)3) Who is responsible for the implementation of the policy4) To whom does the policy apply
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Common policy topics include:•

Acceptable use (of information technology)•

Training and awareness•Physical security•

Password•

Contingency planning

Example policy statements:•

All employee personnel data will be protected from viewing or changing by unauthorized
persons.

•

All computer users will have their own account and password.

•

Passwords are not to be shared with anyone!

•

All computer users will read and sign an access and use agreement•

Information Types A, B, C, D, E, and F will be backed up regularly in accordance with
their determined priority/criticality

Employees should be required to read the business’s policies and sign a statement stating thatthey understand and will comply. Employees should receive annual training on the policies.
Procedures support policies. They specify the details for implementing a policy, including
answering questions such as who, what, when, where, and how, and how often. Procedures canbe updated more frequently than policies as business processes and technologies change. They
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can be useful for conducting employee training and supervisors should periodically check toensure the procedures are being followed.
Example procedure supporting a policy:
Policy: All computer users will have their own account and password.
Procedure:
1. Supervisor completes/signs account creation request form for new user and sends
it to the system administrator [Note that the account request form would be partof the procedure];
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2. System administrator creates new account with unique identifier;
3. System administrator assigns a temporary password to new account;
4. System administrator notifies the new user of the unique account identifier andtemporary password;
5. New user logs into the new account and is prompted to immediately change thepassword;
6. System administrator reviews user accounts monthly.

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