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^AjjjJi 'N^ST OF STANDARDS & TECH R.I.C.

1C100 .US7 NO.SOO-iya 1989 V19 6.1 NIST- lecnnoiogy

U.S. DEPARTMENT OF

COMMERCE

National Institute of Standards and

Technology

NtST

PUBLICATJONS

NIST Special Publication 500-172

Computer Security

Training Guidelines

Mary Anne Todd

Constance Guitian
rheNational Institute of Standards and Technology^ was established by an act of Congress on March 3, 1901. The Institute's overall goal is to strengthen and advance the Nation's science and technology and

facilitate their effective application for public benefit To this end, the Institute conducts research to assure international competitiveness and leadership of U.S. industry, science and technology. NIST work involves development

and transfer of measurements, standards and related science and technology, in support of continually improving

U.S. productivity, product quality and reliability, innovation and underlying science and engineering. The Institute's technical work is performed by the National Measurement Laboratory, the National Engineering Laboratory, the National Computer Systems Laboratory, and tJie Institute for Materials Science and Engineering.

The National Measurement Laboratory

Provides the national system of physical and chemical measurement;

coordinates the system with measurement systems of other nations and furnishes essential services leading to accurate and uniform

physical and chemical measurement throughout the Nation's scientific community, industry, and commerce; provides advisory and research

services to other Government agencies; conducts physical and chemical

research; develops, produces, and distributes Standard Reference

Materials; provides calibration services; and manages the National

Standard Reference Data System. The Laboratory consists of the following centers: The National Engineering Laboratory

Provides technology and technical services to the public and private

sectors to address national needs and to solve national problems;

conducts research in engineering and applied science in support of these

efforts; builds and maintains competence in the necessary disciplines

required to carry out this research and technical service; develops engineering data and measurement capabilities; provides engineering measure- ment traceability services; develops test methods and proposes engineering standards and code changes; develops and proposes new

engineering practices; and develops and improves mechanisms to

transfer results of its research to tiie ultimate user. The Laboratory

consists of the following centers: The National Computer Systems Laboratory

Basic Standards^

Radiation Research

Chemical Physics

Analytical Chemistry

Computing and Applied

Mathematics

Electronics and Electrical Engineering^

Manufacturing Engineering

Building Technology

Fire Research

Chemical Engineering^

Conducts research and provides scientific and technical services to aid Federal agencies in the selection, acquisition, application, and use of computer technology to improve effectiveness and economy in Government operations in accordance with Public Law 89-306 (40 U.S.C. 759), relevant Executive Orders, and other directives; carries out this mission

by managing the Federal Information Processing Standards Program,

developing Federal ADP standards guidelines, and managing Federal

participation in ADP voluntary standardization activities; provides scientific and technological advisory services and assistance to Federal

agencies; and provides the technical foundation for computer-related

policies of the Federal Government The Laboratory consists of the following divisions: The Institute for Materials Science and Engineering

Information Systems

Engineering

Systems and Software

Technology

Computer Security

Systems and Network

Architecture

Advanced Systems

Conducts research and provides measurements, data, standards, refer- ence materials, quantitative understanding and other technical information fundamental to the processing, structure, properties and perfor- mance of materials; addresses the scientific basis for new advanced

materials technologies; plans research around cross-cutting scientific themes such as nondestructive evaluation and phase diagram development; oversees Institute-wide technical programs in nuclear reactor

radiation research and nondestructive evaluation; and broadly disseminates generic technical information resulting from its programs. The

Institute consists of the following divisions:

Ceramics

Fracture and Deformation^

Polymers

Metallurgy Reactor Radiation

'Headquarters and Laboratories at Gaithersburg, MD, unless otherwise noted; mailing address

Gaithersburg, MD 20899. %ome divisions within the center are located at Boulder, CO 80303.

^ Located at Boulder, CO, with some elements at Gaithersburg, MD.

NATIONAL INSTITUTE OF STANDARDS &

TECHNOLOGY

Research Information Center

Gaithersburg, MD 20899
NIST Special Publication 500-172 A^'^^r^

CiC(L

Computer Security

Training Guidelines

Mary Anne Todd

Constance Guitian

National Computer Systems Laboratory

National Institute of Standards and Technology

Gaithersburg, MD 20899

November 1989

U.S. DEPARTMENT OF COMMERCE

Robert A. Mosbacher, Secretary

NATIONAL INSTITUTE OF STANDARDS

AND TECHNOLOGY

Raymond G. Kammer, Acting Director
Reports on Computer Systems Technology

The National Institute of Standards and Technology (NIST) (formerly the National Bureau of Standards)

has a unique responsibility for computer systems technology within the Federal government. NIST's

National Computer Systems Laboratory (NCSL) develops standards and guidelines, provides technical

assistance, and conducts research for computers and related telecommunications systems to achieve more effective utilization of Federal information technology resources, NCSL's responsibilities include

development of technical, management, physical, and administrative standards and guidelines for the

cost-effective security and privacy of sensitive unclassified information processed in Federal computers.

NCSL assists agencies in developing security plans and in improving computer security awareness training. This Special Publication 500 series reports NCSL research and guidelines to Federal agencies as well as to organizations in industry, government, and academia.

Library of Congress Catalog Card Number: 89-600771

National Institute of Standards and Technology Special Publication 500-1 72

Natl. Inst. Stand. Technol. Spec. Publ. 500-172, 38 pages (Nov. 1989)

CODEN: NSPUE2

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1989

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402
EXECUTIVE SUMMARY

The Computer Security Act of 1987, P.L. 100-235, was enacted to improve the security and

privacy of sensitive information in Federal computer systems. As one way of meeting that goal,

the law requires that "each agency shall provide for the mandatory periodic training in computer

security awareness and accepted computer practices of all employees who are involved with the

management, use, or operation of each federal computer system within or under the supervision of

that agency."

The National Institute of Standards and Technology (NIST) is responsible for developing

standards, providing technical assistance, and conducting research for computers and related systems.

These activities provide technical support to government and industry in the effective, safe, and

economical use of computers. With the passage of P.L. 100-235, NIST's activities also include the

development of standards and guidelines needed to assure the cost-effective security and privacy of

information in Federal computer systems.

In fulfilling this responsibility, NIST has developed this document to provide a framework

for identifying computer security training requirements for a diversity of audiences who should

receive some form of computer security training. It focuses on learning objectives based upon the extent to which computer security knowledge is required by an individual as it applies to his or her

job function.

These guidelines divide employees involved in the management, operation, and use of

computer systems into five audience categories:

0 Executives

0 Program/Functional Managers

0 IRM, Security, and Audit Personnel

0 ADP Management, Operations, and Programming Staff o End Users

These guidelines identify five training content, or subject matter, areas. The level of

training required in each area will vary from general awareness training to specific courses in such

areas as contingency planning, depending upon the training objectives established by the agency.

The five areas are:

0 Computer Security Basics

0 Security Planning and Management

0 Computer Security Policies and Procedures

0 Contingency Planning

0 Systems Life Cycle Management

The actual selection of the computer security training will depend upon the specific security

responsibilities involving duties assigned to individual personnel.

This document is intended to be used by agencies as guidance in developing, acquiring,

evaluating or selecting training courses in computer security.

iii

TABLE OF CONTENTS

EXECUTIVE SUMMARY i

INTRODUCTION 1 PURPOSE AND SCOPE 1 USING THE GUIDELINES 1 DOCUMENT OVERVIEW 2

CROSS REFERENCES TO EXISTING PUBLICATIONS 3

AUDIENCE CATEGORIES 3

TRAINING CONTENT AREAS 4

TRAINING LEVELS 4

TRAINING MATRIX 6

TRAINING FRAMEWORK FOR EACH AUDIENCE CATEGORY 7

EXECUTIVES (POLICY MAKERS) 8

PROGRAM/FUNCTIONAL MANAGERS 11 IRM, SECURITY, AND AUDIT PERSONNEL 14

ADP MANAGEMENT, OPERATIONS, and

PROGRAMMING STAFF 19

END USERS 25

CROSS REFERENCES TO EXISTING PUBLICATIONS 28

COMPUTER SECURITY BASICS 28

SECURITY PLANNING AND MANAGEMENT 28

COMPUTER SECURITY POLICIES AND PROCEDURES 29

CONTINGENCY PLANNING 31

SYSTEMS LIFE CYCLE MANAGEMENT 31

V

INTRODUCTION

PURPOSE AND SCOPE

The Computer Security Act of 1987 (P.L. 100-235) was passed because "improving the

security and privacy of sensitive information in Federal computer systems is in the public interest..." The law assigns to the National Institute of Standards and Technology the responsibility for developing guidelines for the training of employees who process sensitive information. The law

further states that "Each agency shall provide for the mandatory periodic training in computer

security awareness and accepted computer practices of all employees who are involved with the

management, use, or operation of each Federal computer system within or under the supervision of

that agency."

This guideline provides a framework for determining the training needs of employees

involved with computer systems. It describes the learning objectives of agency computer security

training programs. A focus on learning objectives - what the employee should know and be able

to direct or actually perform ~ is a generic way to write the guidelines so that agencies may use

the guidance in developing, acquiring, evaluating, and selecting training courses in computer

security that fit t'r.e agency environment. This approach also allows agencies to state clearly the

purpose of the training so that effectiveness can be measured by determining how many of the

learning objectives have been met.

The training outlined in these guidelines should be incorporated as much as possible into

existing training programs rather than as a separate training program. For example, security awareness training could be included in orientation programs for new employees. All training courses involved with automated information systems equipment and software packages could

include modules on computer security responsibilities. As training for managers and supervisors is redesigned, it could include modules on computer security in the area of planning and management,

policy and procedures, contingency planning and systems life cycle management.

The guidance contained in this document applies to managers, operators, and users of all agency computer systems, both large and small. The basic principles of computer security apply to office information systems and personal computers as well as medium to large mainframe systems.

USING THE GUIDELINES

The law requires that employees responsible for the management, operation, and use of

computer systems receive training in computer security awareness and acceptable computer

practices. This guide divides these employees into five audience categories:

0 Executives

0 Program/Functional Managers

0 IRM, Security, and Audit Personnel o ADP Management, Operations, and Programming Staff o End Users

The groupings are based on the fact that employees within a given category generally need

to know or be able to perform the same or similar types of tasks. But this does not mean that every employee in the group must be trained to do all the tasks. Agencies will determine specific

1
training needs to assure that each employee receives the appropriate training.

In addition to the audience categories discussed above, this guide also identifies five training content areas (e.g., computer security basics, security planning and management) and assumes that each audience category requires some level of training in each of the five training areas. For

example, (refer to the Training Matrix), Program Managers and End Users (two different audience

categories) both need training in security planning and management, a single training area. However, Program Managers usually have direct responsibility for the planning for and management

of security in the computer systems that support their program areas, while end users typically need

only be aware of security planning and management activities. Thus, the level of training for

Program Managers and End Users in the security planning and management area is Implementation

and Basic, respectively. There may be situations where employees require knowledge only in some

of the training subject areas. In these cases, the agency will design a training program by selecting

those topics that provide the employees with the skills at the level appropriate to their current

position. Many employees may fall into more than one audience category because they will be

End Users and something else (e.g.. Program Manager). These employees should receive both

types of training.

DOCUMENT OVERVIEW

There are five training content, or subject matter, areas:

0 Computer Security Basics

0 Security Planning & Management

0 Computer Security Policy and Procedures

' ' o Contingency Planning

0 Systems Life Cycle Management

Each of these is explained under "Training Content Areas" section of this document.

There are four training levels:

o Awareness

0 Policy o Implementation

o Performance

The level of training required in each area will vary from general awareness training to specific courses in such areas as contingency planning, depending upon the training objectives

established by the agency. The learning objectives at the appropriate training level for the audience

are listed for each training content area. Different audiences may be expected to reach the same

training level but the leaming objectives may be different. For example. Program and Functional

Managers and ADP Management personnel are both to be trained to the Performance level in

Contingency Planning. Functional Managers must be able to identify critical workload, establish

priorities, and assure the adequacy of contingency plans relating to the safety and availability of

data supporting their function. The managers of ADP facilities must assume primary responsibility

for developing emergency response plans, and backup and recovery plans for DP-supported

functions which meet the requirements of the Program or Functional Managers. Thus, while each

has implementation responsibilities in contingency planning, the leaming objectives would be

different due to the differences in the way they implement contingency planning in their job

2
functions.

To use these guidelines, an agency should, for each audience category, design training

which meets the learning objectives for that group. As an example, executives should receive awareness level training in computer security basics, and policy level training in security planning

and managing. The TRAINING MATRIX included in this document can assist agencies in

making these decisions.

CROSS REFERENCES TO EXISTING PUBLICATIONS

These guidelines provide a listing which cross-references the training content areas to some

of the existing publications which course developers and agency training officers may find useful in

obtaining information and guidance in each topical area. Among the references are publications

developed by the National Institute of Standards and Technology in its role to improve the

utilization and management of computers and automatic data processing in the Federal Government.

Also included are applicable Office of Management and Budget (0MB) requirements, Federal laws,

and results of studies on computer crime conducted by the Department of Justice.

AUDIENCE CATEGORIES

Employees involved in the management, operation, and use of computer systems are divided

into five audience categories:

Executives are those senior managers who are responsible for setting agency computer security

policy, assigning responsibility for implementing the policy, determining acceptable levels of risk,

and providing the resources and support for the computer security program.

Program and Functional Managers are those managers and supervisors who have a program or

functional responsibility (not in the area of computer security) within the agency. They have

primary responsibility for the security of their data. This means that they designate the sensitivity

and criticaUty of data and processes, assess the risks to those data, and identify security

requirements to the supporting data processing organization, physical security staff, physical

facilities persormel, and users of their data. Functional Managers are responsible for assuring the

adequacy of aU contingency plans relating to the safety and continuing availability of their data.

IRM, Security, and Audit Personnel are all involved with the daily management of the agency's

information resources, including the accuracy, availability, and safety of these resources. Each

agency assigns responsibility somewhat differently but as a group these persons issue procedures,

guidelines, and standards to implement the agency's policy for information security, and to monitor

its effectiveness and efficiency. They provide technical assistance to users, functional managers,

and to the data processing organization in such areas as risk assessment and available security

products and technologies. They review and evaluate the functional and program groups'

performance in information security.

3

V
ADP Management, Operations, and Programming Staff are all involved with the daily management

and operations of the automated data processing services. They provide for tlie protection of data

in their custody and identify to the data owners what those security measures are. This group

includes such diverse positions as computer operators, schedulers, tape librarians, data base

administrators, and systems and applications programmers. They provide ttie technical expertise for

implementing security-related controls within the automated environment. They have primary

responsibility for all aspects of contingency planning.

End Users are any employees who have access to an agency computer system that processes

sensitive information. This is the largest and most heterogenous group of employees. It consists of

everyone from the executive who has a PC with sensitive information to data entry clerks.

TRAINING CONTENT AREAS

There are five training content, or subject matter, areas. The actual selection of the

computer security training will depend upon the specific security responsibilities involving duties

assigned to individual personnel. The five areas are:

Computer Security Basics is the introduction to the basic concepts behind computer security

practices and the importance of the need to protect the information from vulnerabilities to known

threats.

Security Planning and Management is concerned with risk analysis, the determination of security

requirements, security training and internal agency organization to carry out the computer security

function.

Computer Security Policies and Procedures looks at government-wide and agency-specific security

practices in the areas of physical, personnel, software, communications, data, and administrative

security.

Contingency Planning covers the concepts of all aspects of contingency planning, including

emergency response plans, backup plans and recovery plans. It identifies the roles and

responsibilities of all the players involved.

Systems Life Cycle Management discusses how security is addressed during each phase of a systems life cycle (e.g., system design, development, test and evaluation, implementation and

maintenance). It addresses procurement, certification, and accreditation.

TRAINING LEVELS

The level of training required in each training, or subject matter, area will vary from

general awareness training to specific courses in such areas as Contingency Planning, depending

upon the training objectives established by the agency. Note that not every training level is needed

for a given audience category or for a given content area.

Awareness training creates the sensitivity to threats and vulnerabilities and the recognition of the

4
need to protect data, information, and the means of processing them.

Policy level training provides the ability to understand computer security principles so that executives can make informed poUcy decisions about computer and information security programs.

Implementation level training provides the ability to recognize and assess the threats and

vulnerabilities to automated information resources so that the responsible managers can set security

requirements which implement agency security policies.

Performance level training provides the employee with the skill to design, execute, or evaluate

agency computer security procedures and practices. The objective of this training is that employees

will be able to apply security concepts while performing the tasks that relate to their particular

positions. It may require education in basic principles and training in state-of-the-art applications.

5
TRAINING MATRIX

Training ^Area

Audience

Category

EXECUTIVES

PRCXjRAM &

FUNCTIONAL

MANAGERS

IRM,

SECURITY,

AND

AUDIT

ADP

MANAGEMENT

AND

OPERATIONS

END

USERS

COMPUTER

SECURITY

BASICS

SECURITY

PLANNING

&

MGMT.

COMPUTER

SECURITY

POLICY &

[PROCEDURES

CONTINGENCY

PLANNING

SYSTEMS

LIFE CYCLE

MGMT.

KEY: TRAINING LEVEL

AWARENESS

POLICY

IMPLEMENTATION

PERFORMANCE

6
TRAINING FRAMEWORK FOR EACH AUDIENCE CATEGORY

The following pages provide an outline of the training content, or subject matter, areas and

the appropriate skills level (e.g., Awareness, Performance, etc.), recommended for each of the five

audience categories.

7
A. AUDIENCE CATEGORY: EXECUTIVES (POLICY MAKERS)

AWARENESS TRAINING

Creates the sensitivity to the threats and vulnerabilities

of computer systems and the recognition of the need to protect data, information, and the means of processing

them.

POLICY LEVEL TRAINING

Provides the ability to understand computer security

principles so that executives can make informed policy

decisions about the computer security program.

1.0 Computer Security Basics (Awareness Level)

1.1 Understanding the threats to and vulnerabilities of

computer systems.

o Definition of terms o Major categories of threats, for example:

Unauthorized accidental or intentional

disclosure, modification, destruction, or delay

0 Threat impact areas

0- Common examples of computer abuse

0 Examples of common system vulnerabilities

1.2 Understanding the roles of various organizational units

in assuring adequate security and safety of information

resources.

0 Senior Management - the Policy makers o End Users and Program or Functional Managers

0 Data Processing Organization

0 IRM, Security and Audit Functions

1.3 Understanding the basic concepts of risk management.

o Threat and vulnerability assessment

0 Cost/benefit analysis of controls

0 Implementation of cost-effective controls o Monitor efficiency and effectiveness of controls

8
EXECUTIVES (POLICY MAKERS) cont.

2.0 Security Planning and Management (Policy Level)

2.1 Deciding on recommendations to organize security

program:

0 Setting security policy

0 Establishing roles and delegating authority

0 Assigning responsibility

2.2 Deciding on recommendations for security planning:

0 Setting security goals and objectives:

- Level of security, and security training

requirements o Establishing auditing and monitoring functions

0 Authorizing contingency plans

0 Providing resources to meet goals and objectives

2.3 Deciding on recommendations for major risk

management projects.

o Accepting risk as part of doing business

0 Reducing or eliminating risks by employing

corrective measures or modifying operations

3.0 Computer Security Policy & Procedures (Awareness Level)

3.1 Understanding the need for policies, procedures, and

guidance for protection of resources in various areas:

0 - Data and information

0 - Physical

0 - Persormel

0 - Software

0 - Communications

0 - Administrative

4.0 Contingency Planning (Awareness Level)

4.1 Understanding the basic concepts of Contingency

Planning.

o Why contingency planning is necessary o Who develops the plans

0 The difference between emergency plans,

backup plans, and recovery plans

9
EXECUTIVES (POLICY MAKERS) cont.

5.0 Systems Life Cycle Management (Awareness Level)

5.1 Understanding the basic concepts of Systems Life Cycle

Management.

^ o Addressing security and internal controls during

each phase of automated information system design:

- Initiation

- Development

- Implementation

- Certification

10
B, AUDIENCE CATEGORY: PROGRAM/FUNCTIONAL MANAGERS

AWARENESS TRAINING

Creates the sensitivity to threats and vulnerabilities of

computer systems and the recognition of the need to protect data, information, and the means of processing them.

IMPLEMENTATION LEVEL TRAINING

Provides the ability to recognize and assess threats and

vulnerabilities to automated information resources so that

they can set security requirements which implement agency

security policies.

PERFORMANCE LEVEL TRAINING

Provides the employee with the skill or ability to design,

execute, or evaluate agency computer security procedures

and practices. The objective of this training is that

employees will be able to apply security concepts while

performing the tasks that relate to their particular

positions. It may require education in basic principles

and training in state-of-the-art applications.

1.0 Computer Security Basics (Awareness Level)

1.1 Understanding the threats to and vulnerabilities of

computer systems

0 Definition of temis o Major categories of threats, for example:

Unauthorized accidental or intentional

disclosure, modification, destruction, or delay

0 Threat impact areas o Common examples of computer abuse

0 Examples of common system vulnerabilities

1.2 Understanding agency policy and goals for protecting

data and information

o Understanding of agency computer security policies o Understanding of agency policy on employee

accountability for agency information

resources

11
PROGRAM/FUNCTIONAL MANAGERS (cont.)

1.3 Understanding good computer security practices for:

o Protection of areas 0 Protection of equipment

0 Protection of passwords o Protection of files, data o Protection against viruses, worms, etc. 0 Backup of data and files 0 Protection of magnetic storage media which

contain sensitive infomiation

0 Reporting security violations

1.4 Understanding the roles of various organizational units

in assuring adequate security and safety of information

resources,

0 Senior Management - the Policy makers

0 End Users and Program or Functional Managers

0 Data Processing Organization

0 ERM, Security and Audit Functions

2.0 Security Planning and Management {Implementation Level)

2.1 ADP Security Planning

0 Assigning roles and responsibilities for

protection of data which they manage

0 Defining data/systems sensitivity and criticality

0 Determining security requirements

0 Determining security training needs for employees

who have access to data and processing equipment

0 Developing and recommending contingency planning

requirements

0 Preparing security plans for sensitive systems

0 Determining and requesting resources for

security requirements

2.2 Risk Analysis Process

0 Assessing threats and vulnerabilities

0 Performing cost analysis of recommended controls

0 Recommending implementation of controls

12
PROGRAM/FUNCTIONAL MANAGERS (cont.)

3.0 Security Policies and Procedures (Implementation Level)

3.1 Data and Information Security

o Authorizing access to data, information, and

systems o Establishing audit trails of records of program

and data use, and reviews for irregularities

0 Setting data quality attributes of timeliness,

accuracy, completeness, and confidentiality

0 Establishing data transmission verification and

validation procedures for data communications

0 Establishing separation of duties rules

3.2 Personnel Security Policies

0 Identifying position sensitivity o Initiating employee screening process

0 Talcing disciplinary actions

4.0 Contingency Planning (Performance Level)

4.1 Assuring adequacy of contingency plans relating to safety and availability of data for which

functional manager has primary responsibility:

0 Assigning roles and responsibilities for

emergency, backup, and recovery procedures o Coordinating emergency procedures with ADP,

security, and audit personnel

0 Planning and evaluating backup procedures

0 Planning and providing support in recovery

procedures

5.0 Systems Life Cycle Management Processes (Performance Level)

5.1 Participating in a management control process that ensures that

appropriate administrative, physical, and technical safeguards

incorporated into all new applications and into significant

modifications to existing applications:

0 Evaluating the sensitivity of an application

based upon risk analysis

0 Determining security requirements and

specifications for acquisitions o Evaluating design review and systems test documents to ensure required safeguards

are operationally adequate

0 Participating in systems certification and

accreditation process

13
C. AUDIENCE CATEGORY: IRM, SECURITY, AND AUDIT PERSONNEL

AWARENESS TRAINING

Creates a sensitivity to the threats and vulnerabilities of computer

systems and a recognition of the need to protect data, information,

and the means of processing them.

PERFORMANCE LEVEL TRAINING

Provides the employee with the skill or ability to design,

execute, or evaluate agency computer security procedures

and practices. The objective of this training is that

employees will be able to apply security concepts while

performing the tasks that relate to their particular

positions. It may require education in basic principles

and training in state-of-the-art applications.

1.0 Computer Security Basics (Awareness Level)

1.1 Understanding the threats to and vulnerabilities of

computer systems

o Definition of terais o . Major categories of threats, for example:

Unauthorized accidental or intentional

disclosure, modification, destruction, or delay

0 Threat impact areas 0 Common examples of computer abuse o Examples of common system vulnerabilities

1.2 Understanding good computer security practices for:

o Protection of areas 0 Protection of equipment o Protection of passwords

0 Protection of files, data

0 Protection against viruses, worms, etc. 0 Backup of data and files o Protection of magnetic storage media which

contain sensitive information

0 Reporting security violations

14
IRM, SECURITY, AND AUDIT PERSONNEL (cont.)

1.3 Understanding the roles of various organizational units

in assuring adequate security and safety of information

resources

o Senior Management - the Policy Makers

0 End Users and Program or Functional Managers

0 Data Processing Organization

0 IRM, Security and Audit Functions

1.4 Understanding the basic concepts of risic management

0 Threat and vulnerability assessment

0 Cost/benefit analysis of controls o Implementation of cost-effective controls o Monitoring efficiency and effectiveness of controls

2.0 Security Planning and Management {Performance Level)

2.1 Security Planning

0 Developing the agency computer security policy

statement for executive action o Preparing implementing directives and

procedures for computer security policy

0 Developing a computer security program budget

0 Evaluating the effectiveness of the computer

security program o Identifying security training requirements

for managers, operators, and users of agency

computer systems

2.2 Risk Analysis

0 Assisting in identifying the roles and

responsibilities of all the players in the risk

analysis process o Integrating vulnerability assessments required by

0MB Circulars A- 123 and A- 130

0 Coordinating and participating in risk analysis

studies

0 Assisting in evaluating risk analysis results 0 Recommending corrective actions to ADP and

functional managers

15
IRM, SECURITY, AND AUDIT PERSONNEL (cont.)

2.4 Audit and Monitoring

0 Evaluating the effectiveness of computer

security programs

0 Conducting ADP security reviews

0 Participating in verification, validation,

testing, and evaluation processes

0 Monitoring ADP systems for accuracy and

abnormalities

3.0 Computer Security Policies and Procedures {Performance Level)

3.1 Information security

o Developing, recommending, or performing duties

associated with the formulation and

implementation of policies and procedures for

protecting data and information in areas of:

- access authorization and authentication

- designation of sensitive data and applications

- marking of sensitive data

- accountability for sensitive data

- safeguarding and storage of data

- reproduction of sensitive data

- transmission of sensitive data

- destruction of sensitive data

- reporting of computer misuse or abuse

3.2 Physical security

o Evaluating and recommending physical security measures which meet the objectives of the

agency's security policies in areas of:

- Building construction

- Data Processing Centers

- Physical access control systems

- Security measures for stand-alone

systems and remote terminals

- Environmental controls

- Fire safety controls

- Storage area controls

- Proper housekeeping procedures

16
IRM, SECURITY, AND AUDIT PERSONNEL (cont.)

3.3 Personnel Security

0 Developing, recommending, implementing, or

evaluating personnel security practices and

procedures which support the agency's security

policies for:

- Position sensitivity

- Employee screening process

- Security training and awareness

3.4 Software Security

0 Developing, recommending, implementing, or

evaluating agency security requirements in the

developm.ent of agency systems and applications

software and configuration management systems

for:

- Programming standards and controls

- Documentation

- Change controls

- Software security systems

- Audit trails and logging

- Operating systems security features

3.5 Administrative Security

0 Monitoring administrative procedural controls in

each functional area where data and information

are received, processed, stored, and

disseminated

0 Providing guidance and assisting functional

managers in preparation of security plans,

including:

- Investigation of security breaches

- Reviewing audit trails and logs

- Reviewing software design standards

- Reviewing accountability controls in the

Data Processing and functional areas

17
IRM, SECURITY, AND AUDIT PERSONNEL (cont.)

3.6 Communications Security

0 Developing, evaluating, or recommending

communications security measures for:

- Capabilities and limitations of various

communications systems

- Commercial communications protection devices

- Cryptography

4.0 Contingency Planning {Performance Level)

4.1 Providing assistance in the development, coordination,

testing, evaluation and implementation of agency

contingency plans, as follows:

0 Developing agency response procedures o Serving as a team member in responding to an emergency situation

0 Preparing guidelines for determining

critical and essential workload

0 Determining backup requirements

0 Advising and assisting in development of

procedures for off-site processing

0 Advising and assisting in development or implementation of plans for recovery actions

after a disruptive event

5.0 Systems Life Cycle Management (Performance Level)

5.1 Developing, recommending, implementing, or reviewing

management control processes that ensure that

appropriate administrative, physical, and technical

safeguards are incorporated into all new applications

and into significant modifications to existing

applications:

o Assisting in evaluation of sensitivity of the

application based upon risk analysis

0 Assisting functional management to determine

security specifications

0 Performing or assisting in design review and

systems test to ensure required safeguards are operationally adequate

0 Performing or assisting in systems certification

and accreditation process

18
D. AUDIENCE CATEGORY: ADP MANAGEMENT, OPERATIONS, and

PROGRAMMING STAFF

AWARENESS TRAINING

Creates a sensitivity to the threats and vulnerabilities

of computer systems and a recognition of the need to protect data, information, and the means of processing

them.

PERFORMANCE LEVEL TRAINING

Provides the employee with the skill or ability to design,

execute, or evaluate agency computer security procedures

and practices. The objective of this training is that

employees will be able to apply security concepts while

performing the tasks that relate to their particular

positions. It may require education in basic principles

and training in state-of-the-art applications.

1.0 Computer Security Basics {Awareness Level)

1.1 Understanding the threats to and vulnerabilities of

computer systems

o Definition of terms o Major categories of threats, for example:

Unauthorized accidental or intentional

disclosure, modification, destruction, or delay

0 Threat impact areas o Common examples of computer abuse

0 Examples of common system vulnerabilities

1.2 Understanding good computer security practices for:

0 Protection of areas o Protection of equipment o Protection of passwords o Protection of files, data o Protection against viruses, worms, etc. o Backup of data and files o Protection of magnetic storage media which

contain sensitive information

0 Reporting security violations

19
ADP MANAGEMENT, OPERATIONS, and PROGRAMMING STAFF (cont.)

1.3 Understanding the roles of various organizational units

in assuring adequate security and safety of information

resources

0 Senior Management - the Policy makers o End Users and Program or Functional Managers o Data Processing Organization

0 IRM, Security, and Audit Functions

1.4 Understanding the basic concepts of risk management

o Threat and vulnerability assessment

0 Cost/benefit analysis of controls o Implementation of cost-effective controls o Monitoring efficiency and effectiveness of controls

2.0 Security Planning and Management {Performance Level)

2.1 Establishing a security organizational structure vyithin

the data processing environment which implements the

agency security program objectives

o Defining roles and responsibilities for:

- Data security administrators

- Computer security officers

0 .; Interpreting functional management security

requirements and applying state-of-the art technology in selection of computer security

controls

0 Preparing a computer security program budget for

data processing operations

0 Evaluating effectiveness of the computer security

program within data processing area 0 Identifying security training requirements for

data processing personnel

2.2 Risk Analysis

o Coordinating and assisting in risk analysis

studies

0 Evaluating risk analysis results 0 Recommending and implementing corrective actions

to deficiencies identified during risk analysis

studies

20
ADP MANAGEMENT, OPERATIONS, and PROGRAMMING STAFF (cont.)

2.3 Audit and Monitoring

o Conducting ADP security reviews

0 Coordinating and assisting in the verification,

validation, testing, and evaluation process for

new or revised systems

0 Assisting in regular reviews of ADP systems for

accuracy and abnormalities

0 Maintaining and regularly reviewing both automated

and manual logs of:

- equipment malfunction

- program aborts

- magnetic storage media activity

- program library changes

- production scheduling and processing

- input/output activity

- physical access to data processing areas

- remote access to computer systems

- security logs citing security breaches, e.g., unauthorized access attempt

3.0 Computer Security Policies and Procedures {Performance Level)

3.1 Information security

o Developing, recommending, or performing duties

associated with the formulation and implementation

of policies and procedures for protecting data and

information in areas of:

- access authorization and authentication

- marking of sensitive data

- accoimtability for sensitive data

- safeguarding and storage of data

- reproduction of sensitive data

- transmission of sensitive data

- destruction of sensitive data

- reporting of computer misuse or abuse

21
ADP MANAGEMENT, OPERATIONS, and PROGRAMMING STAFF (cont.)

3.2 Physical security

o Implementing physical security measures within the

data processing environment which meet the

objectives of the agency's security policy for:

- Physical access control systems

- Security measures for stand-alone

systems and remote terminals

- Environmental controls

- Fire safety controls

- Storage area controls

- Proper housekeeping procedures

3.3 Personnel Security

o Developing, recommending, implementing,

evaluating, or supervising personnel security

practices which support the agency's security

policy for:

- Position sensitivity

- Employee screening process

- Security training and awareness

- Recognizing and reporting suspected

computer abuse by employees

3.4 Software Security

o Developing, implementing, evaluating, and

monitoring the agency security requirements in

the development and implementation of systems

and applications software and configuration

management systems.

- Programming standards and controls

- Documentation

- Change controls

- Software security systems

- Audit trails and logging

- Operating systems security features

- System test and evaluation process

22
ADP MANAGEMENT, OPERATIONS, and PROGRAMMING STAFF (cont.)

3.5 Administrative Security

o Monitoring administrative and procedural controls

in each functional area where data and information

are received, processed, stored, and disseminated,

for example:

- Investigating security breaches

- Reviewing audit trails and logs

- Reviewing software design standards

- Reviewing and testing of new or revised

application programs

- Reviewing accountability controls in the

Data Processing and functional areas

3.6 Communications Security

0 Developing, implementing, evaluating, or recommending communication security measures

in areas of:

- Capabilities and limitations of various

communications systems

- Commercial communications protection devices

- Cryptography

4.0 Contingency Planning (Performance Level)

4.1 Providing assistance and coordinating the development,

testing, and implementation of agency contingency

plans:

0 Developing agency emergency response procedures

to reduce the probability of a disaster

through effective damage control o Assuming the leading role in development of the

agency contingency plan

0 Identifying and determining cost justification of

recovery altematives available to management

o Preparing a plan for assignment of resources and

responsibilities backing up the processing of

the critical workload o Advising and assisting functional management in

contingency planning

0 Developing, maintaining, and executing disaster

recovery plans for resumption of processing

after a disruptive event

23
ADP MANAGEMENT, OPERATIONS, and PROGRAMMING STAFF (cont.)

5.0 Systems Life Cycle Management {Performance Level)

5.1 Participating in a management control process that ensures that appropriate administrative, physical, and

technical safeguards are incorporated into all new

applications and into significant modifications to existing applications:

0 Assisting in evaluating sensitivity of the

application based upon risk analysis

0 Assisting functional management in detemiining

security specifications o Performing or assisting in design review and

systems test to ensure required safeguards are operationally adequate o Performing or assisting in systems certification

and accreditation process

24
E. AUDIENCE CATEGORY: END USERS

AWARENESS TRAINING

Creates the sensitivity to the threats and

vulnerabilities of computer systems and provides

information on agency policy for protecting data,

information, and the means of processing them.

PERFORMANCE LEVEL TRAINING

Provides the employee with the skill or ability to design,

execute, or evaluate agency computer security procedures

and practices. The objective of this training is that

employees will be able to apply security concepts while

performing the tasks that relate to their particular

positions. It may require education in basic principles

and training in state-of-the-art applications.

1.0 Computer Security Basics {Awareness Level)

1.1 Understanding the threats to and vulnerabilities of

computer systems

o Definition of terms

0 Major categories of threats, for example:

Unauthorized accidental or intentional

disclosure , modification, destruction, or delay

0 Threat impact areas o Common examples of computer abuse

0 Examples of common system vulnerabilities

1.2 Understanding agency policy and goals for protecting

data and information

0 Understanding of agency computer security policies o Understanding of agency policy on employee

accountability for agency information

resources

25
END USERS (cont.)

1.3 Understanding good computer security practices for:

0 Protection of areas 0 Protection of equipment

0 Protection of passwords

0 Protection of files, data

0 Protection against viruses, worms, etc. 0 Backup of data and files 0 Protecuon of magnetic storage media which

contain sensitive information

0 Reporting security violadons

2.0 Security Planning and Management (Awareness Level)

2.1 Understanding the roles of various organizational units

in assuring adequate security and safety of information

resources

0 Senior Management - the Policy makers

G End Users and Program or Functional Managers

0 Data Processing Organizafion

0 IRM, Security, and Audit Functions

2.2 Understanding the basic concepts of risk

management

0 Threat and vulnerability assessment

0 Cost benefit analysis of controls

0 Implementation of cost effective controls

0 Monitor efficiency and effectiveness of controls

3.0 Computer Security Policies and Procedures (Performance Level)

3.1 Following agency administrative procedures for

protection of sensitive data

0 Designation of sensitive data, applications and

systems

0 Marking of sensitive data

0 Accountability for sensitive data

0 Reproduction of sensitive data

0 Transmission of sensitive data

0 Destruction of sensitive data

0 Disclosure of sensitive data

0 Reporting computer abuse

26
END USERS (cont.)

3.2 Following agency procedures for physical security measures employed to protect data and information:

o Access controls

0 Fire prevention and protection measures o Proper housekeeping procedures o Remote terminal protection devices

0 Cryptography device protection

4.0 Contingency Planning {Performance Levet)

4.1 Following agency emergency procedures by implementing

the following:

0 Identifying critical workload

0 Scheduling for backup of critical data o Storing and protecting backup files/data

0 Periodically testing with backup files

4.3 Implementing or assisting in implementation of

agency recovery procedures:

o Woric scheduling

0 Reconstruction of data bases

5.0 Systems Life Cycle Management {Awareness Levet)

5.1 Understanding the basic concepts of Systems Life Cycle

Management

o Addressing security and intemal controls during

each phase of automated information system design:

- Initiation

- Development

- Implementation

- Certification

27
CROSS REFERENCES TO EXISTING PUBLICATIONS

COMPUTER SECURITY BASICS

0MB Circular A- 130 "Management of Federal Information Resources"

Privacy Act of 1974, PL 93-579

Computer Fraud and Abuse Act of 1986, PL 99-474

Computer Security Act of 1987, PL 100-235

Computer Crime: Electronic Fund Transfer Systems and Crime,

U. S. Dept. of Justice

Computer Crime: Legislative Resource Manual, U.S. Dept. of Justice

FIPS PUB 31, "Guidelines for ADP Security and Risk Management"

FIPS PUB 39 "Glossary for Computer Systems Security"

HPS PUB 87 "Guidelines for ADP Contingency Planning"

HPS PUB 112 "Standard on Password Usage"

NBS Special PUB 500-120 "Security of Personal Computer Systems - A Management Guide"

NBS Special PUB 500-153 "Guide to Auditing for Controls and Security - A System Development Life Cycle Approach"

NIST Special PUB 500-166 "Computer Viruses and Related Threats:

A Management Guide"

SECURITY PLANNING AND MANAGEMENT

0MB Circular No. A- 123 "Internal Control Systems"

0MB Circular No. A- 127 "Financial Management Systems"

0MB Circular No. A- 130 "Management of Federal Information Resources"

0MB Bulletin 88-16 "Guidance for Preparation and Submission of Security

Plans for Federal Computer Systems Containing Sensitive Information"

FIPS PUB 31 "Guidelines for ADP Security and Risk Management"

28
CROSS REFERENCES TO EXISTING PUBLICATIONS

2.0 SECURITY PLANNING AND MANAGEMENT (cont.)

FIPS PUB 41 "Computer Security Guidelines for Implementing the

Privacy Act of 1974"

FIPS PUB 65 "Guideline for Automatic Data Processing Risk Analysis"

HPS PUB 73 "Guidelines for Security of Computer Applications"

HPS PUB 94 "Guideline on Electrical Power for ADP Installations"

NBS Special PUB 500-25 "An Analysis of Computer Security Safeguards

for Detection and Prevention of Intentional Computer Misuse"

NBS Special PUB 500-33 "Considerations in the Selection of Security

Measures of Automatic Data Processing Systems"

NBS Special PUB 500-57 "Evaluation of Computer Security"

NBS Special PUB 500-85 "Executive Guide to ADP Contingency Planning"

NBS Special PUB 500-120 "Security of Personal Computer Systems - A Management Guide"

NBS Special PUB 500-133 "Technology Assessment: Methods for Measuring

the Level of Computer Security"

NBS Special PUB 500-153 "Guide to Auditing for Controls and Security:

A System Development Life Cycle Approach"

NIST Special PUB 500-166 "Computer Viruses and Related Threats:

A Management Guide"

NBSIR 86 "Work Priority Scheme for EDP Audit and Computer Security

Review"

0PM 5 CFR PART 930 "Training Requirement for the Computer Security Act"

3.0 COMPUTER SECURITY POLICIES AND PROCEDURES

Privacy Act of 1974, PL 93-579

Federal Manager's Financial Integrity Act of 1982, PL 97-255

Computer Fraud and Abuse Act of 1986, PL 99-474

29
CROSS REFERENCES TO EXISTING PUBLICATIONS

3.0 COMPUTER SECURITY POLICIES AND PROCEDURES (cont.)

Electronic Communications Privacy Act of 1986, PL 99-508

Computer Security Act of 1987, PL 100-235

0MB Circular No. A- 123 "Internal Control Systems"

0MB Circular No. A- 127 "Financial Management Systems"

0MB Circular No. A- 130 "Management of Federal Information Resources"

FIPS PUB 39 "Glossary for Computer Systems Security"

nPS PUB 46-1 "Data Encryption Standard"

FIPS PUB 48 "Guidelines on Evaluation of Techniques for Automated

Personnel Identification"

FIPS PUB 74 "Guideline for Implementing and Using the NBS Data

Encryption Standard"

HPS PUB 81 "DES Modes of Operation"

HPS PUB 1 12 "Standard on Password Usage"

FIPS PUB 113 "Standard on Computer Data Authentication"

NBS Publication List 58 "Federal Information Processing Standards

Publications (HPS PUBs) Index"

NBS Publication List 88 "Computer Science and Technology Publications"

NBS Publication List 91 "Computer Security Publications"

NBS Special PUB 500-61 "Maintenance Testing for the Data Encryption

Standard"

NBS Special PUB 500-120 "Security of Personal Computer Systems - A Management Guide"

NBS Special PUB 500-121 "Guidance on Planning and Implementing Computer

Systems Reliability"

NBS Special PUB 500-133 "Technology Assessment; Methods for Measuring

the Level of Computer Security"

30
CROSS REFERENCES TO EXISTING PUBLICATIONS

CONTINGENCY PLANNING

0MB Circular No. A- 130 "Management of Federal Information

Resources"

Federal Personnel Manual Chapter 732 "Personnel Security"

PIPS PUB 87 "Guidelines for ADP Contingency Planning"

NBS Special PUB 500-85 "Executive Guide to ADP Contingency

Planning"

NBS Special PUB 500-134 "Guide on Selecting ADP Backup"

NBS Special PUB 500-156 "Message Authentication Code (MAC) Vahdation

System: Requirements and Procedures"

NBS Special PUB 500-157 "Smart Card Technology: New Methods for Computer

Access Control"

NIST Special Publication 500-166 "Computer Viruses and Related Threats - A Management Guide"

SYSTEMS LIFE CYCLE MANAGEMENT

0MB Circular No. A- 123 "Internal Control Systems"

0MB Circular No. A- 127 "Financial Management Systems"

0MB Circular No. A- 130 "Management of Federal Information Resources"

GAO "Policy and Procedures Manual for Guidance of Federal Agencies,

Title II Accounting"

GSA Federal Information Resource Management Regulation (FIRMR),

Part 201-30-007 "Determination of Need and Requirements Analysis"

FIPS PUB 38 "Guidelines for Documentation of Computer Programs

and Automated Data Systems"

HPS PUB 64 "Guidelines for Docimientation of Computer Programs

and Automated Data Systems for the Initiation Phase"

31
CROSS REFERENCES TO EXISTING PUBLICATIONS

5.0 SYSTEMS LIFE CYCLE MANAGEMENT (cont.)

FIPS PUB 83 "Guideline on User Authentication Techniques

for Computer Network Access Control"

FIPS PUB 88 "Guideline on hitegrity Assurance and Control

in Database Applications"

FIPS PUB 102 "Guideline for Computer Security Certification

and Accreditation"

KBS Special PUB 500-105 "Guide to Software Conversion Management"

NBS Special PUB 500-109 "Overview of Computer Security

Certification and Accreditation"

NBS Special PUB 500-121 "Guidance on Planning and

Implementing Computer Systems Reliability"

NBS Special PUB 500-133 "Technology Assessment: Methods for

Measuring the Level of Computer Security"

NIST Special PUB 500-166 "Computer Viruses and Related Threats - A Management Guide"

PCMI and PCIE "Model Framework for Management Control over Automated Information Systems"

32

<I U . S . GOVERNMENT PRINTING 0 F F I C E t I 9 8 9 - 2 6 1 - 9 1 3 / 0 0 0 8 1
NBS-n4A (REV. 2-eo) U.S. DEPT. OF COMM.

BIBLIOGRAPHICDATA

SHEET (See instructions)

1. PUBLICATION OR

REPORT NO.

NIST/SP-500/172

2. Performing Organ. Report No 3. Publication Date November 1989

4. TITLE AND SUBTITLE

COMPUTER SECURITY TRAINING GUIDELINES

5. AUTHOR(S)

Mary Anne Todd and Constance Guitian

6. PERFORMING ORGANIZATION (If joint or other tttan NBS. see instruct/onsj

NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

(fornwrty NATIONAL BUREAU OF STANDARDS)

U.S. DEPARTMENT OF COMMERCE

QAITHERSBURQ, MD 20899

7. Contract/Grant No.

8. Type of Report & Period Covered

Final

9. SPONSORING ORGANIZATION NAME AND COMPLETE ADDRESS (Street. City. State. ZIP)

Same as Item #6

10. SUPPLEMENTARY NOTES

Library of Congress Catalog Card Number: 89-600771

I I Document describes a computer program; SF-185, FIPS Software Summary, is attached.

11. ABSTRACT (A 200-word or less factual summary of most significant information. If document includes a significant

bibliography or literature survey, mention it here)

These guidelines describe what should be the learning objectives of

agency security training programs » They focus on what the employee

should know, and what they should be able to direct or perform. This

allows agencies to design training programs that fit their

environments and to clearly state the purpose of the training.

Effectiveness can be measured by determining how many of the learning

objectives were met.

12. KEY WORDS (Six to twelve entries; alphabetical order; capitalize only proper names; and separate key words by semicolons)

ADP Management and operations staff; audience categories; end users; learning

objectives; program and functional managers; security awareness;

training content areas » i-i-aTnino Ipvpla

13. AVAILABILITY

fXl Unlimited

I I For Official Distribution. Do Not Release to NTIS

["X~| Order From Superintendent of Documents, U.S. Government Printing Office, Washington, D.C.

20402. QOrder From National Technical Information Service (NTIS), Springfield, VA. 22161

14. NO. OF

PRINTED PAGES

38

15. Price

USCOMM-DC 9043-P80

ANNOUNCEMENT OF NEW PUBLICATIONS ON

COMPUTER SYSTEMS TECHNOLOGY

Superintendent of Documents

Government Printing Office

Washington, DC 20402

Dear Sir:

Please add my name to the annoimcement list of new publications to be issued in the series: National Institute of Standards and Technology Special Publication 500-.

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