Abstract:
A method for assessing an information security policy and practice of an organization, including determining a risk associated with the information security policy and practice, collecting information about the information security policy and practice, generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, generating a list of corrective actions using the rating, executing the list of corrective actions to create a new security information policy and practice, and monitoring the new security information policy and practice.

Description:
BACKGROUND OF INVENTION  
         [0001]    Information Security encompasses the protection of information against unauthorized disclosure, transfer, modification, or destruction, whether accidental or intentional. Information security has become a prevalent concern of organizations as a result of the trends towards e-commerce, e-business, universal email and web access, and well-publicized security exploits. As a result, organizations are attempting to apply information security principles in a pragmatic framework.  
           [0002]    To enable organizations to apply information security principles in a pragmatic framework, a number of information standards and tools have been developed. One widely recognized standard, BS7799/ISO17799, was developed by the British Standards Institution (BSI) and adopted by the International Organization for Standardization (ISO). The BS7799/ISO17799 standard is a comprehensive set of controls that outline best mode practices in information security. The aim of BS7799/ISO17799 is to serve as a single reference point to determine the appropriate information security policy for a variety of systems and organizations. The BS7799/ISO17799 standard includes 10 sections, each addressing a specific area of information security. See, “ISO17799 Security Standard: ISO 17799 Compliance &amp; Positioning,” http://www.securityauditor.net/iso17799/.  
           [0003]    The process of managing compliance with the BS7799/ISO17799 is a non-trivial task. As a result, a number of risk analysis and risk management products have been developed to help organizations comply with the BS7799/ISO017799 standard. One such product is COBRA, which was developed by C &amp; A Systems, Inc. COBRA is used to semi-automate the assessment process. COBRA utilizes a series of online questionnaires to obtain information about the current security policy. Using the answers from the questionnaires, COBRA creates reports that provide information about the organization&#39;s current compliance position, on a pass/fail basis, with respect to each section of the BS7799/ISO17799 standard.  
           [0004]    Another tool that has been developed to enable organizations to apply information security principles in a pragmatic framework is the Systems Security Engineering Capability Maturity Model (SSE-CMM). The SSE-CMM is derived from concepts of the Software Engineering Institute (SEI) Capability Maturity Model initially created for software development. The SSE-CMM describes the essential characteristics of an organization&#39;s security engineering process that must exist to ensure good security engineering. The SSE-CMM does not prescribe a process or standard such as BS7799/ISO17799, but rather uses a model that captures practices generally observed in the industry. Additionally, the SSE-CMM is based on a maturity model that defines specific goals and practices for the entire life cycle of an organization. Further, the SSE-CMM defines an overall assessment process and roles for security engineering within an organization. See, “System Security Engineering Capability Maturity Model-Model &amp; Appraisal Method Summary April 1999,” http://www.sse-cmm.org/. The resulting assessment obtained from applying the SSE-CCM is typically not associated with a reporting tool to report the maturity level.  
         SUMMARY OF INVENTION  
         [0005]    In general, in one aspect, the invention relates to a method for assessing an information security policy and practice of an organization, comprising determining a risk associated with the information security policy and practice, collecting information about the information security policy and practice, generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, generating a list of corrective actions using the rating, executing the list of corrective actions to create a new security information policy and practice, and monitoring the new security information policy and practice.  
           [0006]    In general, in one aspect, the invention relates to an apparatus for assessing an information security policy and practice of an organization, comprising means for determining a risk associated with the information security policy and practice, means for collecting information about the information security policy and practice, means for generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, means for generating a list of corrective actions using the rating, means for executing the list of corrective actions to create a new security information policy, and means for monitoring the new security information policy.  
           [0007]    In general, in one aspect, the invention relates to a computer system for assessing an information security policy and practice of an organization, comprising a processor, a memory, an input means, and software instructions stored in the memory for enabling the computer system under control of the processor, to perform determining a risk associated with the information security policy and practice, collecting information about the information security policy and practice using the input means, generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, generating a list of corrective actions using the rating, executing the list of corrective actions to create a new security information policy and practice, and monitoring the new security information policy and practice.  
           [0008]    Other aspects and advantages of the invention will be apparent from the following description and the appended claims. 
       
    
    
     BRIEF DESCRIPTION OF DRAWINGS  
       [0009]    [0009]FIG. 1 illustrates a typical computer system.  
         [0010]    [0010]FIG. 2 illustrates a flowchart detailing the Security Maturity Assessment method in accordance with one embodiment of the invention.  
         [0011]    [0011]FIG. 3 illustrates a portion of a Security Maturity Assessment Reporting Tool report in accordance with one or more embodiments of the invention.  
         [0012]    [0012]FIG. 4 illustrates a flowchart detailing the Security Maturity Assessment method in accordance with another embodiment of the invention. 
     
    
     DETAILED DESCRIPTION  
       [0013]    Exemplary embodiments of the invention will be described with reference to the accompanying drawings. Like items are denoted by like reference numerals throughout the drawings for consistency.  
         [0014]    In the following detailed description of the invention, numerous specific details are set forth in order to provide a more thorough understanding of the invention. However, it will be apparent to one of ordinary skill in the art that the invention may be practiced without these specific details. In other instances, well-known features have not been described in detail to avoid obscuring the invention.  
         [0015]    The invention relates to a method for assessing a security maturity of an organization. Further, the invention relates to assessing the security maturity of an organization using a security assessment matrix. Further, the invention relates to basing the security assessment matrix on the BS7799/ISO17799 standard and the Capability Maturity Model (CMM). Further, the invention relates to a method for providing quantitative, action-oriented results using the security assessment matrix. Further, the invention relates to a method to compare the security maturity of an organization to a pre-determined goal, or to the security maturity of the same organization at another point in time, or to the security maturity level mandated by another organization or authority.  
         [0016]    The invention may be implemented on virtually any type computer regardless of the platform being used. For example, as shown in FIG. 1, a typical computer ( 28 ) includes a processor ( 30 ), associated memory ( 32 ), a storage device ( 34 ), and numerous other elements and functionalities typical of today&#39;s computers (not shown). The computer ( 28 ) may also include input means, such as a keyboard ( 36 ) and a mouse ( 38 ), and output means, such as a monitor ( 40 ). Those skilled in the art will appreciate that these input and output means may take other forms in an accessible environment.  
         [0017]    The Security Maturity Assessment (SMA) method involves five distinct stages: (1) management awareness and commitment, (2) security maturity assessment, (3) corrective action plan (CAP), (4) corrective action plan execution (CAPE), and (5) ongoing monitoring. Each of the aforementioned stages is explained below in greater detail. Those skilled in the art will appreciate that the names used to denote the stages may vary without detracting from the invention.  
         [0018]    [0018]FIG. 2 illustrates a flowchart detailing the SMA method in accordance with one embodiment of the invention. The SMA method is initiated by ensuring that an organization&#39;s management is aware and committed to improving the organization&#39;s information security practices and policies (Step  100 ). An assessment entity (e.g., individual/company conducting assessment) then assesses the organization&#39;s information security practices and policies (Step  102 ). Using the information gained in Step  102 , the assessment entity develops a corrective action plan (Step  104 ). The corrective action plan is subsequently executed (Step  106 ). If the organization desires continuous monitoring after the execution of the corrective action plan (Step  108 ), then the assessment entity may continuously monitor revised information security policies and practices of the organization (Step  110 ). Following the continuous monitoring, the method may return to Step  100  to ensure that the organization&#39;s management is still aware and committed, or potentially proceed directly to Step  102  if the organization&#39;s management continues to be aware and committed. If the organization desires not to have continuous monitoring after the execution of the corrective action plan (Step  108 ), then the method ends.  
         [0019]    The management awareness and commitment stage is the first stage of the SMA method and is used to raise awareness within the management of the organization being assessed and to initiate gathering of information. Specifically, in the management awareness and commitment stage, an assessment entity gathers information to understand the organization&#39;s business goals. Further, the assessment entity gathers information to understand the associated risks in terms of information security. For example, if the organization is using a wireless Local Area Network (LAN), there are different information security risks to consider than if the organization is using a conventional LAN where all computers are connected via Ethernet cable. Additionally, the assessment entity creates awareness in the organization by presenting the security maturity assessment methodology and method. In one or more embodiments of the invention, the assessment entity may also provide additional information about the underlying standards, e.g., the ISO standard. In one or more embodiments of the invention, the assessment entity may also provide an explanation of the concept of a maturity model as it applies to the security assessment.  
         [0020]    The security maturity assessment stage is initiated by the assessment entity identifying participants required to perform the SMA. Additionally, the assessment entity, in conjunction with the organization, determines the effect and cost to be used to perform the SMA. A time line is also set to allow the assessment entity and the organization to have a means to track the progress of the SMA. At this point, in one or more embodiments of the invention, the assessment entity may request that the organization sign an assessment contract to ensure commitment by the organization to follow through with the SMA. Once the aforementioned steps have been completed, the assessment entity proceeds to perform the SMA.  
         [0021]    The assessment entity initiates the SMA by collecting documents detailing the organization&#39;s existing information security policies and practices. After review of the collected documents, additional information is typically obtained via interviews with participants identified at the beginning of this stage. Using the information obtained from the collected documents and the interviews, a preliminary rating is generated. The preliminary rating details the maturity of individual sections and the overall maturity level of the organization&#39;s information security practices and policies.  
         [0022]    In one or more embodiments of the invention, the preliminary rating is generated using a security assessment matrix (SAM). The SAM defines each level of maturity for each information security item. The SAM includes 61 rows corresponding to the groups of the BS7799/ISO17799 standard information security items, and 5 columns defining the maturity level. The five maturity levels, arranged from least mature to most mature, are Initial (Level 1), Repeatable (Level 2), Defined (Level 3), Managed (Level 4), and Optimizing (Level 5). For each intersection of row and column, there is a paragraph that defines a specific “capability maturity” level. The paragraphs contained in a given row of the SAM represent successive capability maturity levels for the same information security item. Further, some rows of the SAM represent successive capability maturity levels associated with a single information security item, as described in one paragraph of the BS7799/ISO17799 standard. Other rows of the SAM may represent successive capability maturity levels of information security items that the BS7799/ISO17799 standard describes in separate paragraphs or sections.  
         [0023]    In one or more embodiments of the invention, an item definition for each information security item is included in the SAM. The item definition acts as a legend for the level definitions for a particular information security item. Further, in one or more embodiments of the invention, the SAM includes level definitions as follows: Level 1—Initial; Level 2—Not written down, but communicated via coaching; Level 3—Written down; Level 4—Responsibility is defined; Level 5—Process exists for catching deviations and improving the information security to prevent them. Further, in one or more embodiments of the invention, the SAM includes scope requirements. The scope requirements indicate to which various aspect of an organization&#39;s operations the criteria set forth in a particular row of the SAM must be applied.  
         [0024]    The combination of a certain level definition (e.g., Level 1) with one information security item (i.e., a specific row of the SAM) yields a specific criterion that one skilled in the art can apply to establish if the organization being assessed meets, fails or exceeds this level of maturity for this information security item. Furthermore, those skilled in the art can apply the general definition of the maturity level (Level 1 through 5) to a specific information security item in such a way that they can readily determine whether the organization being assessed meets, fails or exceeds this level of maturity for this security item, even if the specific criterion set forth at the intersection of this row and column of the SAM is, for any reason, not directly applicable in the case of this organization.  
         [0025]    Table 1 illustrates the SAM in accordance with one or more embodiments of the invention:  
                                                                                                                                                                                                         TABLE 1                           Security Assessment Matrix                Level Definitions                        Level 2                                   (Repeatable)           Level 5                   Not written       Level 4   (Optimizing)                   down, but   Level 3   (Managed)   Process exists for catching       ISO 17799   Item   Level 1   communicated   (Defined)   Responsibility is   deviations and making   Scope       Categories   Definitions   (Initial)   via coaching   Written down   defined   constant improvements   Requirements                    III.1   Information   Coverage of   No security   Security policy   Specific   Security policy   Clear responsibilities and   Goal and principle of           Security Policy   Security Policy   policy in   exists, but as a   policy exists,   covers all areas of   mechanisms in place to   every information security               Review of effective   place   general   clearly stating   business. Security   upgrade policy if required   Information sharing               implementation of       statement.   in detail what   policy is owned by   after every breach of   management and               information security       Inferring what   is mandated   appropriate functions   policy, also if business   responsibilities               policy       is specifically   or prohibited.   including IT but also   changes (acquisition,               Review of       mandated or   A “normal”   Finance, HR, Legal,   divestiture, or major changes               Information       prohibited   person can   etc. Organization   in process such as               Security Policy       requires   easily   policies define the   outsourcing) occur.                       consulting   understand it.   roles and responsibilities in                       specialized   Reviews   following procedures.                       personnel. No   carried out at   Reviews                       regular reviews.   intervals, but   carried out - intervals                           no clear   and responsibility for                           management   the reviews are                           responsibility   defined explicitly in the                           to trigger   policy.                           reviews or                           exploit results               Availability of   No security   Security policy   There is a   Security policy   Each security incident is   Staff awareness and               Security Policy to   policy   is discussed   Security   communication is   subject to a post mortem   education               Employees   communication   with employees   Policy   part of written IT and   procedure that includes a   Responsibilities and emergency               Security Education   to   and contract or   manual,   Personnel procedures.   review of whether applicable   arrangements               and Technical   employees   temporary   mentioned on   Training and/or   policies were   Well defined policy               Training   (non-   personnel upon   public notice   communication on   correctly communicated.   Security training integrated into                   existent, or   hiring.   board and/or   security policy occur at least   Users are taught the   personnel development program                   limited to       on web page.   once a year.   incident reporting procedures.   Management                   IT                   responsibility to provide security                   personnel).                   training, including the                                       specification of a clear desk and                                       clear screen policy for                                       all employees.               Review of Security   Issued once,   Occasionally   Reviewed at   A clearly   There is a defined   General management               Process   never   reviewed if   intervals, but   designated person   mechanism to   responsibility                   reviewed   senior   no clear   or body has   review and                           management,   management   responsibility for   upgrade the                       auditors, etc.,   responsibility   the process, and   policy after every                       ask   to trigger   reviews it regularly.   security incident                           reviews of       (is anything missing                           exploit results       from the policy that could                                   have prevented the problem?)       IV.1   Information   Responsibility for   No   Specific   A matrix for   A specific party is   Security   Individual           Security   the protection of   responsibility   individuals are   the   responsible for   responsibility is a   assets refer to           Infrastructure   individual assets   is assigned.   aware of their   responsibility   defining and   required field in   the                       responsibility   of protection   maintaining the   the asset   organization&#39;s                       to protect some   of assets   responsibility   management process, so rows   physical                       assets. The list   exists and is   matrix for the   in the matrix are created when   assets (e.g.,                       of assigned   published.   protection of   new assets are acquired. Assets   computers,                       responsibilities       individual assets.   without a responsible party is   printers,                       is not       Successive   immediately flagged for   media, etc.)                       documented.       versions of the matrix are   corrective action.                               archived to help in                               future investigations.               Security in job   No formally   Specific   Responsibility   A specific party is   Job descriptions   Interpretation               definition and   defined   individuals are   for security   responsible for   and personnel   is based on               resourcing   process.   aware of their   decision   developing job   screening   SSO/IRT                       responsibility.   making has   responsibilities,   arrangements are   type position.                           been assigned   personnel   periodically                           and   screening and   reviewed to                           documented.   confidentiality   conform to the                               agreements.   changing security                                   needs of the                                   business. Also                                   personnel are                                   required to sign                                   and agree to                                   confidentiality                                   agreements.               Information security   No formally   Key members   Training for   A specific party is   Security curriculum is               education and   defined   of personnel   personnel is   responsible for   periodically reviewed to               training   training plan   are trained on   defined and   defining the   conform to the changing                       an ad-hoc   performed   training plan   needs of the business.                       basis.   periodically.   developing   Training records are reviewed                               training schedules   against policy and exceptions                               for all personnel   lead to training program updates.               Approval process   No approval   Informal,   A clear   A specific party is   The approval               for the acquisition   process   undocumented   approval   responsible for   process is               and installation of   exists.   knowledge of   process is   defining and   periodically               IT facilities.       steps to be   defined for   maintaining the   reviewed to                       followed when   the   approval process   conform to the                       acquiring or   acquisition   for IT facility   changing needs                       installing IT   and   acquisition and   of the business.                       facilities exists.   installation of   installation.   The approval                           IT facilities       process for each                           and published       acquisition and                           across the       installation of IT                           enterprise.       facilities is                                   reviewed for                                   accuracy and                                   corrective action                                   is taken where                                   appropriate.       IV.2   Security of   Security Control of   No control   Physical access   The access   Third-party access   The access logs           Third Party   Third Party Access   mechanism   control allows   control rules   is linked to the rest   and the list of           Access   to Information       ad hoc   are   of the   authorized third               Processing Facilities       decisions by IT   documented.   organization&#39;s   parties is                       staff, who have   There is a   security system   regularly audited                       been told   formal   through the   and changes to                       informally   contract with   issuance of access   procedures is                       what to do.   each party   tokens, and   made when the                           that requires   accesses are   need arises.                           access.   logged.       IV.3   Outsourcing   Security Controls   None;   IT, Security,   The   There is a registry   Procedures are   Critical applications               for External   contractors   Legal, or   procedures for   of contractors.   reviewed on at   stay in house               Contractors   are handled   Purchasing   contractor   They sign the   least an annual   Approval of business owners.                   by task   apply some   security are   security policy,   basis for possible   Implications for business                   owner   regular steps   documented   NODE and IP   improvements.   continuity plans.                   without   when a   in writing and   agreements.       Security standards and                   specific   contract is   personnel and   Audits are run at       compliance                   policies or   issued. These   managers   least quarterly to       Security incident procedures.                   procedures.   steps are not   have access to   make sure the list                       specifically   them and are   of contractors is                           documented.   aware of their   current. The                           contents.   owner of the                                   process is defined.           V.1   Accountability   Coverage of Asset   No inventory   Manual   Inventory   Schedule, triggers,   There is a process   Information           for Assets   Inventory       inventory,   performed   roles and   to review what   Asset               Maintenance       occasional, on   according to   responsibly, are   happened after   Inventory                       demand.   written   defined.   each inventory.   Software                           procedures,   Ownership is clear   Inventories are   Asset                           but schedule   and known   incremental, not   Inventory                           and triggering   throughout the IT   from scratch   Physical                           events are not   organization and   every time. Asset   Asset                           well defined.   management.   inventories are   Inventory                           Typically not       automated.   Services                           automated.           Inventory               Ease of Alteration   Information   There is   There is a   There are control   There is a   Printed               of Information   assets can be   informal   documented   mechanisms (e.g.,   mechanism in   Reports               Assets   altered   knowledge that   change   access controls) to   place to review   Screen                   without   classified   procedure that   prevent alteration   the effectiveness   Displays                   control   documents   applies to all   without proper   of the change   Magnetic                       cannot be   classified   authorization.   control process   Media                       altered at will,   information       and detect the   Electronic                       but no   assets. No       need for   Messages                       systematic   systematic       improvements.   File Transfers                       procedures.   control                           mechanisms                           in place.               Coverage of   No   Covers some   There is an   Information   Information   Information               Information   procedures in   information   Information   handling   handling training   Asset               Handling   place for   assets. Little   Handling   procedures are   is part of written   Inventory               Procedures   handling   formality. No   manual,   owned by   IT and Personnel   Software                   information.   regular   mentioned on   appropriate   procedures.   Asset                       reviews.   the public   functions including   Processes in   Inventory                       Applied by few   web page, and   IT but also   place to report   Physical                       business units.   covering   Finance, HR,   and learn from   Asset                           essentially all   Legal, etc.   cases when   Inventory                           types of assets   Organization   information has   Services                           and all   policies define the   been handled   Inventory                           business   roles and   incorrectly.   Printed                           units.   responsibilities in       Reports                               following       Screen                               procedures.       Displays                                       Magnetic                                       Media                                       Electronic                                       Messages                                       File Transfers                                       (“Handling” =                                       copying,                                       storage,                                       electronic                                       transmission,                                       spoken                                       transmission,                                       destruction)       V.2   Information   Classification of   No   Ad hoc   Information   Ownership of the   Security   Printed           Classification   Information Assets   classification   classification,   asset   classification is   classification is   Reports               Labeling of       at document   classification   clearly defined as   reviewed   Engineering               Information Assets       owner&#39;s   is published   part of company   periodically. List   files (photos,                       initiative.   and “pushed”   procedures and is   of documents   microfiche,                       Most   to all potential   known of   with highest   etc.)                       documents not   document   management.   classification is   Screen                       marked. If   owners. It       reviewed   Displays                       marked, labels   covers       periodically.   Magnetic                       are   security.       Declassification   Media                       inconsistent.   Classified       procedures exist.   Electronic                       No systematic   information is           Messages File Transfers                       awareness   labeled,                       campaign.   consistently.       VI.1   Security in Job   Screening of   Incomplete   Screening of   Documented and   A specific party is   Procedures are   Applicant           Definition and   new   or a lack of   applicants is   published   responsible for   reviewed regularly   refers to all           Resourcing   applicants.   screening of   performed   procedures for   defining and   for improvements   employees               Complete   applicants.   informally, is   applicant   maintaining the   and compliance.   (contractor,               checking of   Contractor   not documented,   screening exist   screening procedure.   Security issues found   permanent,               the new   hiring are   and is not   and are used by   Results of the   to be related to   or part time)               applicant&#39;s   not vetted   performed   the organization.   screening are   failings in the               CV.   through HR.   consistently.       captured in the   screening procedure               Screening of               applicant&#39;s HR file.   mandate immediate               contractor                   review and update of               and                   the procedure.               temporary               staff       VI.2   User Training   Security   Little   Discussed with   Documented in   Roles and   Audits of the security               awareness of   awareness of   employees and   writing and made   responsibilities to   acknowledgments are               personnel   corporate   contract or   available to all   maintain and   performed. A system                   security.   temporary   staff. Employees   communicate the   of re-                       personnel upon   receive a copy of   security policy are   acknowledgment                       hiring.   security policy on   defined.   occurs periodically                           hiring and are   Acknowledgement   and upon changes to                           required to   of the policy is   the security policy.                           acknowledge   tracked and stored   Incidents are                           receipt.   as part of the HR   analyzed for                               policy of the   performance                               employee.   improvement to the                                   security awareness procedures.               Security   No education   Security   Security   A specific party is   Training plans are               education   or training is   education and   education is   responsible for   periodically reviewed               and technical   provided.   technical   documented and   defining and   to conform to the               training       training are not   included as part   maintaining the   changing needs of the                       provided   of the hiring   security education   business. Training                       consistently and   process.   and technical   records are reviewed                       the   Technical   training program.   against policy and                       responsibility is   training roadmaps   Training records are   exceptions lead to                       at the discretion   exist for each   captured in the   corrective actions.                       of management.   employee.   employee&#39;s file.                               Review and                               planning for future                               training is part of                               the appraisal                               process.       VI.3   Responding to   Disciplinary   None   Managers have   The definition of   The documented   After each incident           Security   Process for   documented.   intuitive   violations,   process includes   that causes the           Incidents and   Company   Reaction is   awareness of   investigation   roles and   procedure to be           Malfunctions   Security   ad hoc.   need, can quote   process, and list   responsibilities for   invoked, the process               Violation       multiple levels   of applicable   each step, and a   is reviewed and,                       of penalty,   penalties is   clear workflow.   when applicable, the                       including but not   documented,       process is revised                       limited to firing.   distributed,       (including the                       Managers and   signed by the       training or the                       HR   appropriate       penalty clauses).                       independently   parties, and                       agree on how to   personnel has                       initiate and   been educated as                       conduct   to the content.                       disciplinary                       actions.       VII.1   Secure Areas   Protection   The IT   Access control is   List of secure   All access to secure   Auditing of access               from   equipment is   provided on an   perimeters and   IT areas is   control system logs is               unauthorized   left   ad hoc basis   access rights to   performed by a   done periodically.               access.   unattended   typically by IT   those areas are   mechanism (e.g.,   Changes in facilities               Physical   with no   manager. No   documented and   badge access control   and management               entry control   controls   defined list of   published.   system) that allows   trigger a review and               to office,   beyond   access rights is       for personal   revision of the access               room.   physical   published or       identification and   procedures.               Physical   building   managed.       auditing. Access               security for   access.           control is managed               IT facilities.               centrally for                               granting and                               revoking rights and                               is linked to hiring                               and termination                               policies.       VII.2   Equipment   Fire alarm   The fire   Procedures for   The fire alarm   Reaction to actual           Security   system in not   alarm system   the fire alarm   system is tested.   alarms is reviewed               present.   exists and   system are   Procedures exist   and improvements                   people have   visible and   for evaluation of   implemented into                   been   posted,   the fire alarm   the current system                   informally   including   system including   and alternative                   made aware   evacuation path,   damage   systems reviewed                   of the   behavioral   assessment and   where necessary.                   system.   actions, Halon   recovery,                       warnings, etc.   evacuation                           headcount, etc.               Personal   No policies   Policies for   There is a   A specific party is   The personal               workstation   for personal   personal   documented   responsible for   workstation policy is               policy   workstations   workstations   policy for   defining and   regularly reviewed to                   exist.   exist but are not   personal   maintaining the   ensure it conforms to                       published or   workstations and   personal   the changing needs of                       adopted fully   steps are taken to   workstation   the business. Personal                       across the   spread its   policy.   workstation needs are                       organization.   awareness among   Sensitive   reviewed and changes                           employees.   information is   are made where                               protected by   necessary. Audits are                               means of   carried out to ensure                               encryption.   that the organization                                   maintains a recognized                                   workstation policy to                                   ensure efficient                                   management.               Protection   There are no   There is an   There is a formal   A specific party is   The safety threat policy               from   procedures   informal safety   documented   responsible for   is regularly reviewed to               environment   in place to   threat protection   policy in place. It   defining and   ensure it conforms with               al threats and   protect from   policy in place.   details all the   maintaining the   the changing needs of               hazards.   safety threats   This is not   steps that need to   safety threat   the business. The               Protection   or hazards.   enforced   be followed to   control guidelines.   policy is regularly               from human       throughout the   protect from       reviewed and changes               carelessness       organization and   potential hazards.       are made where               (eating,       the details of the           necessary to ensure               smoking,       policy are not           continued compliance.               drinking).       documented.               Protection               from power               and               communication               cabling               from               interception               or damage.       VII.3   General Controls   Inspection of   Incoming   There is no   There is a   A responsible   The key goods               incoming   goods are   formal process   documented   party is identified   screening process is               goods for   not   to inspect   process whereby   to manage the   regularly reviewed to               hazards   inspected.   incoming goods.   all incoming   processes and   ensure they conform to                       It is carried out   goods are   procedures for   the changing needs of                       in an adhoc   inspected per a   inspecting   the business. Goods                       manner.   defined plan.   incoming goods   screening needs are                               for safety   reviewed and changes                               compliance.   are made where                                   necessary. The                                   organization maintains                                   historical files of                                   incoming goods; these                                   are regularly reviewed                                   to ensure that there are                                   no discrepancies.               Process of   There is no   An informal   A formal process   An inventory of   Audits of the               removal of   standardized   process exists   is documented   organizational   organization&#39;s property               organization&#39;s   procedure   for property   and published the   property is   are carried out               property   for removal   removal.   to organization   maintained and   periodically and                   of property.       for property   updated regularly.   changes to the removal                           removal.   A group or   process are made                               individual is   where necessary.                               identified to verify                               that the process is                               followed.               Equipment   There are no   Equipment   Equipment is   A responsible   Record of equipment               maintenance   equipment   maintenance is   covered by   party is identified   maintenance is                   maintenance   carried out on an   insurance and the   to oversee   examined to determine                   policies and   ad hoc basis   equipment   equipment   fault patterns or abuses.                   the   based on   maintenance   maintenance   Appropriate changes                   equipment   manufacturer   controls the   policies are   are incorporated into                   maintenance   recommended   determination of   followed.   the maintenance                   is done only   service intervals   risk.       policies.                   on failure.               Sensitive   Data   Data disposal   Data disposal   A responsible   The disposal procedure               data disposal   disposal   procedure is   procedure is   party is identified   is audited regularly and               procedure   procedure is   informally   formally defined   to oversee that the   appropriate steps                   not defined.   defined.   and published to   disposal procedure   incorporated into the                           the organization.   is followed.   procedure.       VIII.1   Operational   Management   None —each   Common   Documented in   Roles and   Procedures include a   Reporting           Procedures and   Responsibilities   incident is   awareness of   writing and made   responsibilities are   mechanism to evolve   procedures           Responsibilities   and   handled ad   procedures.   available to all IT   defined.   them. Incidents are   cover:               Procedures   hoc on a best   Effort for   staff (and other   Escalation and   analyzed to suggest   All types of               Incident   effort basis.   repeatability   department staff   reporting chains   improvements. There   security               Reporting       includes staff   with IT roles)   exist. Issues and   is a quality   incident               Procedures       meetings,       requests are   improvement process,   Contingency                       training       recorded as   documented and   plans                       sessions,       trouble tickets.   applied.   Audit trails                       coaching               and similar                                       Recover actions and authority       VIII.2   System Planning   Testing of   None; new   Testing is   A formal   The responsibility   Policy is   Includes issues           and Acceptance   new   systems are   informal and is   document   to define, review,   periodically   of capacity               information   placed in   performed based   defining the   and ensure   reviewed and   planning and               systems   operation   on individuals&#39;   testing and   compliance with   revised upon any   Systems               requirements   without any   knowledge, not   deployment of   the testing policy   change in the   Acceptance.               and upgrades   formal test   on a formal   new and   is defined. There   production systems   Issues to be               prior to   procedure.   process.   upgraded systems   are system level   or organizational   considered               deployment           is defined.   tools that prevent   structure. Testing   include:                               unauthorized   methodology and   Performance                               changes to   tools are   and Computer                               production   continuously   Capacity                               systems.   examined to   Requirements                               Documents exist   determine   Error Recovery                               detailing   applicability to the   and Restart                               interfaces into the   organization and   Procedures                               change   then introduced.   Security                               management       Controls/Issues                               process.       Manual                                       Processes                                       Business                                       Continuity                                       Arrangements                                       Additional                                       Load on existing machines                                       Training in the                                       operation of the new equipment       VIII.3   Protection   Detection and   No   IT staff has   A formal,   A specific party is   The procedure   Procedures           Against   protection   detection,   informally   documented   responsible for   includes a   cover:           Malicious   against   protection   defined   procedure for   defining and   mechanism for   All types of           Software   malicious   measures,   procedures for   detecting and   maintaining the   evolution. Incidents   virus and               software.   reporting,   detecting and   handling   detection and   are analyzed to   malicious               User   or recovery   handling   malicious   protection   suggest   software               awareness of   procedures   malicious   software and   procedures,   improvements. The   incident               procedures to   exist, and   software and   virus attacks   informing and   toolset is   Contingency               deal with   dealing   virus attacks.   exists and is   training the users,   continuously   plans               malicious   with   There are no   communicated to   managing the   examined and   Audit trails and               software   malicious   common tools,   all employees as   detection and   updated to provide   similar               Procedures   software   formal   part of the   recovery efforts,   maximum protection   Recover actions               for reporting   and virus   documentation,   corporate security   and selecting and   against changing   and authority               and recovery   attacks is   or training   policy. A   maintaining the   treats.               from virus   entirely   programs for all   standard set of   protective tools.               attacks   reactive   employees.   protective tools is                   and       defined and                   handled in       deployed.                   an ad hoc       Training is given                   manner.       to all employees.               Policy   No policy   Software   A software   A specific party is   List of authorized               relating to   or   monitoring   licensing policy   responsible for   software is               licensed   monitoring   policies are   is documented   monitoring and   periodically               software and   exists   informal and   and published to   maintaining   reviewed to conform               prohibition of   regarding   performed on an   all employees.   authorized   to the changing               unauthorized   software   ad hoc basis. The       software licenses   needs of the               software   installation   IT organization,       for the enterprise.   business. Software                       when involved in       A software   audits are reviewed                       software       inventory   and exceptions lead                       procurement,       licensing tool is   to corrective actions.                       applies controls       used to monitor                       informally.       and ensure compliance.       VIII.4   Housekeeping   Monitoring of   No   Informal   Capacity plan and   Ownership of the   New technology,               processing   monitoring   monitoring as   capacity   capacity plan and   contractual               power and   exists.   part of system   management   capacity   agreements, and               storage to   Capacity   management   process covering   management   supplier selection               ensure   adjustments   procedures   processing   process is defined.   are continuously               availability   are   performed on an   power, memory,   Formal   researched and                   performed   as needed basis.   disc space,   mechanism for   introduced into the                   in reaction   No management   LAN/WAN   business managers   environment in                   to   capacity plan or   capacity, backup   to place   order to provide the                   problems.   model is   capacity, number   requirements into   necessary resources                       specifically   of user   the plan and a link   while optimizing the                       defined.   workstations,   exists between the   costs.                           physical space   capacity planning                           and power.   process and the                               budgeting process.       VIII.5   Network   Covered by other                Management   questions in this section            VIII.6   Media Handling   Procedures   No   IT staff has   Formal,   A specific party is   Procedures are   Media includes:           and Security   and controls   procedures   informally   documented   responsible for   periodically   IT computer               to protect   or controls   defined   procedures for   defining and   reviewed to address   room media               computer   are in place   procedures and   protecting   maintaining the   changes in the type   (e.g., backup               media   to protect   controls for   computer media   procedures for the   or volume of   tapes,                   computer   protecting   exist and are   access control   computer media to   removable hard                   media.   computer media.   communicated to   systems and   be handled. Audit   drives, CD-                       There is no   all employees as   auditing of access   logs are reviewed   ROMs, etc.)                       formal   part of the   to computer media.   and exceptions lead   User media                       documentation,   corporate security       to corrective action.   (e.g., CD-                       access logs, or   policy. Controls           ROMs, floppy                       training programs   are in place to           discs, etc.)                       for all employees.   limit and track                           access to media.                           Training is given                           to all employees.       VIII.7   Exchanges of   Security of   No defined   No corporate   A corporate   A specific party is   The standards are   Standards for           Information and   exchange of   procedures   standard or policy   standard for the   responsible for   periodically   secure           Software   data and   to secure   exists addressing   security exchange   defining and   reviewed to address   exchange of               software with   the   securing the   of data and   maintaining the   changes to the data   data and               other   exchange   exchange of data   software with   standards for the   being exchanged or   software with               organizations.   of data or   and software with   other   secure exchange   the means of   3rd parties and                   software.   other   organizations is   of data and   exchanging. The   outsourcing                       organizations.   documented and   software. An   information   vendors.                           published to all   information   classification policy   Information                           employees.   classification   continually evolves.   classification policy                               policy determines                               what can be and                               how it is transmitted.       IX.1   Business   Documentation   No   An informal,   An access policy   A specific party is   The access policy   Access rights           Requirements   of business   awareness   undocumented   statement   responsible for   statement is   encompasses           for Access   requirements   or practice   access control   defining access   defining and   periodically   accounts for           Control   for access   of access   practice is   rights of each   maintaining the   reviewed to conform   network,               control.   control.   applied on an ad   user or group of   access policy   to the changing   operating               Access policy       hoc basis.   users exists and is   statement and   needs of the   system, and               statement           published.   ensuring it is in   business. Security   application               defining the               alignment with   incidents are   access.               access right of               business   reviewed and   ACLs, user and system               each user or               requirements.   modifications to the   accounts, etc.               group of users.                   access policy   Automatic identification of               Protection of                   statement are made   terminals and portable               connected                   where appropriate.   devices. Timeout of               services from                       remote systems               unauthorized                       left unattended               use.                       for extended               Review of user                       periods of time               access right               and               capabilities               Policy               concerning the               use of network               and network               services.               Network               controls in               place       IX.2   User Access   System of   No   An informal,   A user account   A specific party is   The user account   Deletion vs.           Management   formal   control   undocumented   policy defining   responsible for   policy is   disabling               registration/de-   over   user account   access rights,   defining and   periodically   accounts.               registration for   access to   practice is   privilege levels,   maintaining the   reviewed to conform   Unique id for               access to IT   IT   applied on an ad   and   user account   to the changing   all users.               services.   services.   hoc basis.   creation/deletion   policy. User   needs of the               Immediate           rules exists and is   account   business. Audit               account           published.   creation/deletion   requirements are               removal for               records are   reviewed and               users who               archived.   modifications to the               change duties                   user account policy               or leave the                   are made where               company.                   appropriate.               User&#39;s                   Multiple accounts               privilege in                   per individual are               overriding                   created or deleted               system/application                   through a single               restriction.                   point of control.               Record kept of               all privileges               allocated.               System routine               to grant               privilege to               users.               Access control               to program               source library       IX.3   User   Security of user   Passwords   An informal,   A published   A specific party   The password policy is   Limit the number           Responsibilities   password. User   are not   undocumented   password   is responsible   periodically reviewed   of password               password   used.   password   policy defines   for defining and   to conform to the   attempt before               confidentiality       practice is   password   maintaining the   changing needs of the   the system locks               level       applied on an   strength (e.g.,   password policy.   business. Periodic   out the user.                       ad hoc basis.   length,   Record of   audits (cracking) of   Record and make                           inclusion of   password   passwords are   user aware of                           special   histories is   performed to ensure   unsuccessful                           characters),   archived.   compliance and   logon attempts                           aging, and       exceptions are noted,   Enforcement of                           usage.       documented, and   password rules                                   corrective action is taken.               Good-practice   No   An informal,   A good-practice   A specific party   A process exists to   No display of               guidelines to   guidelines   undocumented   guidelines   is responsible   solicit suggestions for   system identifiers               users in   exist.   guidelines is   statement is   for defining and   best-practice guidelines   until logon has               ensuring good       provided to   defined and   maintaining the   from internal and   been successful               security.       users on an ad   incorporated   good-practice   external sources and to   General notice                       hoc basis.   into user   guidelines.   incorporate them into   warning that the                           training       the organization&#39;s user   system should                           programs.       security guidelines.   only be used by                                       authorized users                                       If error occurs at                                       logon do not                                       indicate what the                                       error was               Cryptographic   No   An informal,   A good-practice   A specific party   A process exists to               Controls   guidelines   undocumented   guidelines   is responsible   solicit suggestions for                   exist.   guidelines is   statement is   for defining and   best-practice guidelines                       provided to   defined and   maintaining the   from internal and                       users on an ad   incorporated   good-practice   external sources and to                       hoc basis.   into user   guidelines.   incorporate them into                           training       the organization&#39;s user                           programs. The       security guidelines.                           guidelines                           cover:                           encryption,                           digital                           signatures, key                           management,                           non-repudiation                           services            IX.4   Network   Covered in other area in this           Access Control   section       IX.5   Operating   Covered in other area in this           System Access   section           Control       IX.6   Application   Covered in other area in this           Access Control   section       IX.7   Monitoring   Covered in other area in this           System Access   section           and Use            IX.8   Mobile   Mobile   No   An informal,   A good-practice   A specific party   A process exists to   Laptop, Mobile,           Computing and   Computing and   guidelines   undocumented   guidelines   is responsible   solicit suggestions for   and Palmtop           Teleworking   Teleworking   exist.   guidelines is   statement is   for defining and   best-practice guidelines   security to ensure                       provided to   defined and   maintaining the   from internal and   company                       users on an ad   incorporated   good-practice   external sources and to   information is not                       hoc basis.   into user   guidelines.   incorporate them into   compromised.                           training       the organization&#39;s user                           programs.       security guidelines.       X.1   Security   Risk   There is no   An informal   A published   A specific party   The risk assessment           Requirements   assessment and   framework   undocumented   risk assessment   is responsible   and risk management           of Systems   risk   of risk   risk   and risk   for defining and   policies are               management   assessment.   assessment   management   maintaining the   periodically reviewed               used for       and risk   procedure   risk assessment   to conform to the               analyzing       management   exists.   and risk   changing needs of the               security       practice is       management   business. Changes are               requirement       applied on an       guidelines.   made to the policy                       ad-hoc basis.       An archive is   where required.                               kept of the risks                               identified and                               the action taken                               to manage the                               risk.               Safety check   No safety   An informal   There is a   A specific party   The safety checks are               while procuring   checks are   procedure   documented   is responsible   regularly reviewed to               new program   carried out   exists whereby   procedure that   for defining and   ensure that they               and software   when   new programs   is followed   maintaining the   conform to the                   procuring   and software   before any   software safety   changing needs of the                   new   are assessed   software is   check   business. There is a                   software.   before being   purchased.   guidelines.   regular risk analysis is                       put in to the   This ensures   Modifications to   carried out to ensure                       operational   that all software   vendor supplied   safety of existing                       environment.   purchased   packages are   systems and                       This task in   conforms to   made to comply   compromise to their                       performed on   company   with system   security is controlled.                       an ad-hoc   security   requirements   Emphasis is given on                       basis.   guidelines.   and vendor   quality certification of                               consent is   new products.                               obtained before                               doing so.       X.2   Security in   Validation   There is no   An informal   There is a   A specific party   The validation control           Application   control while   validation   process exists   published   is responsible   procedure is regularly           Systems   data input to   of   where data is   standard which   for defining and   reviewed to ensure that               application   information   both verified   describes the   maintaining the   they conform to the               system   on   before it is   validation tests   validation   changing needs of the               Data validation   application   entered in to   that are   control   business. Periodic               of stored   systems.   applications   performed.   guidelines.   audits are performed of               information       and existing   There is a       data on application               Output Data       data is   documented       systems to ensure               Validation       verified. Basic   process which       compliance.                       tests like   is followed.       Exceptions are noted,                       missing or           documented and                       incomplete           corrective action is                       data, invalid           taken.                       characters in                       fields are                       performed on                       an ad-hoc                       basis.       X.3   Cryptographic   Cryptographic   There are   There is an   There is a   A specific party   The cryptographic           Controls   control   no   informal   documented   is responsible   controls are regularly                   cryptographic   practice   procedure   for defining and   reviewed to ensure that                   controls   employed   which defines   maintaining the   they conform to the                   or existing   whereby some   the steps which   cryptography   changing needs of the                   system   files are   outlines which   control   business. Audits are                   architecture   encrypted.   document   guidelines.   carried regularly to                   does not   This is done at   classifications   Separate key   ensure that information                   support   the user   need to be   management   that should be                   cryptography.   discretion and   encrypted and   procedures are   encrypted is kept                       on an ad-hoc   the process to   used for digital   encrypted and that the                       basis.   be followed to   signatures and   encryption method                           achieve this.   encryption.   used is adequate.               Vulnerabilities   There are   There is a   There is a   A specific party   The key management               of   no key   process in   documented   is responsible   system is regularly               cryptographic   management   place where by   key   for defining and   reviewed to ensure               keys.   procedures.   suitable key   management   maintaining the   they conform to the               Key       management   system which   key management   changing needs of the               management       exists, based   defines the   system.   business. Key               system.       upon an   steps to be   Separate key   management needs are               Documentation       informal set of   followed. This   management   reviewed and changes               of key       standards,   ensures that the   procedures are   are made where               management       procedures and   type of   used for digital   necessary. Audits are               system       secure   algorithm and   signatures and   carried out to ensure               (activation &amp;       methods.   length of keys   encryption.   that the organization               de-activation           are considered   Cryptographic   maintains a recognized               date, certificate           to identify level   keys have   certification authority               information)           of   defined   to ensure key                           cryptographic   activation and   protection and efficient                           protection   deactivation   key management.                               dates. All keys                               are protected                               against                               modification and                               destruction in                               case of private                               key                               compromise.       X.4   Security of   Protection and   No change   An informal   There is a   A specific party   The change control           System Files   control of   control   procedure   documented   is responsible   policy is regularly               system test   procedure   exists for   standard   for defining and   reviewed to ensure               data.   in place and   change   available to   maintaining the   that it conforms to               Change control   no   control. This   employs   change control   the changing needs               procedure   provisions   task is   describing the   guidelines.   of the business.               Control of   for the   performed on   procedures to   Version control   Version control               operational   protection   an ad-hoc   follow to ensure   for software   logs are audited and               software   of system   basis.   that the change   update is   any exceptions are                   test data.       control   maintained and   documented, noted                           procedures are   archives are kept   and corrective                           followed   of all versions.   action is taken if                           correctly       necessary.       X.5   Security in   Awareness of   There is no   An informal   There is a   A specific party   The software   The new software is           Development   software   process in   procedure   documented   is responsible   update policy is   put in a test           and Support   upgrade to   place to   exists to   standard   for defining and   regularly reviewed   environment to check           Processes   enhance the   monitor   monitor   available to   maintaining the   to ensure that it   for anomalies with               security level   security risk   vendor web   employees   software update   conforms to the   security policies                   posed by   sites to obtain   describing the   guidelines. An   changing needs of   before                   software   software   procedures to   archive is kept   the business.   implementation                   installed on   updates. This   follow to ensure   of all software   Periodic audits are                   machines.   task is   that all software   upgrades.   performed of                   Software   performed on   installed on   Change control   software upgrades                   upgrade   an ad-hoc   their machines   procedures and   to ensure                   does not   basis.   is of the latest   contractual   compliance.                   take into   Security issues   version.   agreements exist   Exceptions are                   account the   defined by the   All security   to escalate   noted, documented                   security of   vendors are   issues with the   security issues to   and corrective                   the new   only   new release   appropriate   action is taken if                   releases   considered.   specific to   levels and   necessary.                           organizational   remedy them.                           system platform                           are identified                           and confirmed                           with the                           vendor.       XI.1   Aspects of   Contents of   No plan.   There is some   There is a   Employees are   Includes process   Risk analysis of critical           Business   Business       knowledge of   written and   trained, and   for improvement   business processes.           Continuity   Continuity       what to do in   properly   training is   after each   Identifies events that           Management   Process       case of disaster   distributed plan.   periodically   invocation.   can cause interruptions               Procedures and       (e.g., based on   Process   refreshed.       to business processes,               Schedules       training or on   includes:   Plan includes       and includes assessment               Included in the       prior   Fallback   alternate       of the impact of those               Process       experience)   procedures   communication       interruptions.                       but no   Resumption   methods if                       documented   procedures   communication                       process.   Maintenance   is severely                           schedules   affected.                               Process also                               includes:                               Assignment of                               responsibilities                               Conditions for                               activation               Development of   Plan does   A set of   There is a   The   The process is   Business continuity               Business   not exist.   measures can   written business   management   reviewed in case   process covers events               Continuity   Some   be applied in   continuity   chain   of change in   that are specific to the               Process   awareness   case of a   process that   responsible for   system, staff,   local environment (i.e.,               Testing of   of measures   business   includes risks,   executing the   disaster recovery   flood, power outage,               Business   that can be   interruption.   events, roles   business   contractor or   political unrest, fire,               Continuity   taken in   They do not   and   continuity   contract,   hurricane, earthquakes,               Process   case of a   constitute   responsibilities,   process is   business,   etc.) and business needs               Review and   business   formal,   technical   define, and all   application,   (i.e., credit card center               Update of   interruption.   defined,   measures,   managers and   locations, or   cannot be down more               Continuity   Actions   published, or   reporting, and   staff know what   legislation.   than a few minutes)               Process   would occur   managed plan.   communication.   the chain is.   Post-mortem               Reasons that   in an ad hoc       The plan has   Testing occurs at   reviews after               Cause Review   manner.       been tested at   least annually   execution with               of the Plan           least once.   and maintains   documented                               the business   improvement                               continuity   actions.                               process.       XII.1   Compliance   Restrictions in   No   Ad hoc   Systematic   Clear   Periodic review   Copyright policy           with Legal   Place on the   restrictions   restriction on   restrictions,   responsibility to   of the policy for   Acquisition procedures           Requirements   Use of   in place.   some   documented,   enforce the   continuing   Copyright awareness               Materials for       documents   based on the   restrictions.   improvement.   information               Which There       only.   information   Training is   Periodic review   Maintenance of licenses               May Be           classification   provided.   of the   Check on software               Intellectual               Employees are   restrictions to   held/used               Property Rights               aware.   make sure   Policy on software                                   they&#39;re   disposal                                   appropriate.   Compliance with                                       licenses               Safeguards   No   Some   Clear   Safeguards in   Periodic review   Personnel information               against loss,   safeguards   organizational   responsibilities   place covering   of systems in   Copyright information               destruction or   employed.   data backed up   to ensure that   all   place and   Company confidential               falsification of   No defined   and secured.   organization   organizational   security of   information               organizational   hierarchy as   Backups may   records are not   records.   systems that deal   Public web sites               records   to whom   be kept onsite.   compromised.   Training   with                   has access   No logs kept   Some user   provided to   organizational                   to what   of user   activity is   educate users.   records. Each                   information.   activity.   logged.   Management   incident is                           Organizational   responsibly to   subject to a post                           data is kept   ensure that   mortem                           securely.   records are kept   procedure that                           Documents are   accurate and   includes a                           publicly   secure. Access   review of                           available that   rights and   whether                           describe the   privileges in   applicable                           policy and   place to restrict   policies were                           procedures that   access to certain   correctly                           employees   organizational   communicated.                           should follow   records. Web   Users are taught                           to maintain   sites protected   the incident                           integrity and   from   reporting                           safety of   defacement.   procedures. Full                           organizational   Critical files   audit logs                           records.   identified and   maintained with                               protected against   system                               falsification by   start/finish                               CRC checks,   times, system                               etc.   errors and                                   corrective action                                   and name of                                   person making                                   alterations to the                                   information.               Compliance   Knowledge   Data   Legislation is   Processes and   There is a               with data   of   protection   applied and   procedures are   regular process               protection   legislation   legislation is   Data protection   put in to place   in place to               legislation   is limited to   discussed with   legislation is   for monitoring   review changes                   specific   employees and   made available   to ensure that the   in legislation, or                   people or   contract or   to employees in   company is   new needs of the                   departments   temporary   a centralized   continually   business.                   (HR, Legal,   personnel   location.   compliant. The   Training is                   etc.) and is   upon hiring   Impact of   responsibility to   provided to                   not   into specific   legislation and   do so is clearly   users to ensure                   documented.   departments.   concerned data   assigned.   the continued                           has been       compliance with                           written up and       legislation. The                           made available       process and                           to employees.       responsibility to                           All affected       receive,                           processes       investigate and                           include       correct any                           appropriate       reported                           protection       exception is                           steps.       defined.               Compliance of   No   Standards and   Standards and   A clearly   There is a regular   Intellectual Property               information   published   codes of   codes of   designated   process in place to   Rights               systems with   codes of   practice are   practice are   person or body   review changes in   Copyright               published   practice and   generally   defined and   has   published standards   Data Protection Act               standards or   no   understood but   published   responsibility for   or codes of               codes of   awareness   are applied   internally and   the reviewing,   practice. Findings               practice       inconsistently   are made   maintaining, and   of non-compliance                       through the   available to   training users on   result in corrective                       organization.   employees in a   the published   action.                           centralized   standards or                           location.   codes of                               practice.       XII.2   Reviews of   Documentation   No   Some   Documents are   Responsibilities   Documents are   Laws on protection           Security Policy   of regulatory   documentation   documentation   made publicly   are assigned to   created as soon as   and/or correction of           and Technical   and contractual   exists.   exists although   available on the   individuals to   there is a change in   personal information           Compliance   requirements       it does not   corporate web   produce   the contractual or   (employees and/or               for each       cover all   site or on a   documents as   regulatory   clients, suppliers,               information       details of   public notice   soon as a new   requirements of the   etc.)               system       regulatory/cont   board. Full   system is   project.   Procedures for                       ractual   documentation   sourced.   Documentation is   disclosure to proper                       requirements   exists for   Templates exist   available to   authorities.                       for each IS.   contractual and   for the creation   personnel with   ISO 9000                       There is no   regulatory   of documents   correct clearance.   requirements                       standard   requirements   and there is a   Periodic inventory   Regulatory agencies                       document   for all   central   of information   (e.g., FDA or FCC in                       template used,   information   repository where   systems includes   the United States)                       documents are   systems in the   they are stored.   checks that                       created as and   organization.   The templates   compliance                       when required       have designated   requirements exist.                       by individual       owners.   Exceptions trigger                       employees.           a well-defined                       There is no           process to review                       central data           procedures in order                       store for the           to eliminate this                       documents           risk.                       (need to ask                       people who                       know).       XII.3   System Audit   Control Against   No controls   Terms of use   Terms of use of   The   Periodic reviews of           Considerations   Computer   or   of computer   organizations   responsibility of   who is authorized               Misuse   safeguards   equipment are   computer   managers is   to do what.               Safeguard of   in place   discussed with   equipment are   defined. Tools   Information               Audit Tools to       employees and   available from a   employed to   gathered from               Prevent Misuse       contract or   centralized   monitor usage of   monitoring tools is                       temporary   location   computer   used to make                       personnel   (Intranet site,   equipment.   decisions for future                       upon hiring.   office notice   Staff has well   policy.                           boards, etc)   defined roles   There is an incident                               and access rights   review procedure.                               to computer file   Periodic “white                               systems.   hat” intrusion                               Personnel are   attempts are made                               made aware that   and followed by                               their computer   corrective actions.                               related activities                               are being                               monitored, and                               to what extent.               Review/Audit   No process   Occasionally   Reviewed at   A clearly   There is a defined               of information   is in place   reviewed or   intervals, but no   designated   mechanism to               systems to       audited if   clear   person or body   review and upgrade               ensure they are       senior   management   has   the policy after               in compliance       management,   responsibility to   responsibility for   every security               with security       auditors, etc.,   trigger reviews   the process, and   incident (Is               policies and       ask   of exploit   reviews it   anything missing               standards           results   regularly.   from the policy that                                   could have                                   prevented the                                   problem?)               Coverage of   No   Few   Clear   Audit tools are   Safeguards in place               System Regime   coverage   safeguards in   responsibilities   only available   covering all audit               (event logging)   exists.   place. Audit   to ensure that   for use by key   tools. Periodic                       tools are not   audit tools are   personnel.   review of systems                       managed   not misused.   Access rights   in place and                       securely and   Training   and privileges   security of systems                       user access is   provided to   are enforced to   that audit systems.                       not monitored.   educate users.   maintain   Users are educated                               security.   on the importance                                   of safeguarding                                   their audit tools.               Compliance of   No   Standards and   Standards and   A clearly   There is a regular   Intellectual Property               information   published   codes of   codes of   designated   process in place to   Rights               systems with   codes of   practice are   practice are   person or body   review changes in   Copyright               published   practice and   generally   defined and   has   published standards   Data Protection Act               standards or   no   understood but   published   responsibility for   or codes of               codes of   awareness   are applied   internally and   the reviewing,   practice. Findings               practice       inconsistently   are made   maintaining, and   of non-compliance                       through the   available to   training users on   result in corrective                       organization.   employees in a   the published   action.                           centralized   standards or                           location.   codes of                               practice.                  
 
         [0026]    Referring to the Security Assessment Matrix shown in Table 1, to perform the assessment for a given item, the assessment entity need only perform the following steps: (i) find the item in question, first by category then by sub-category; (ii) read the descriptions under each maturity level and determine if requirements of that maturity level are met; and (iii) record the highest maturity level for that item that is met by the organization&#39;s current information security policies and practices.  
         [0027]    Once the preliminary rating has been completed, it may be displayed in a graphical manner. In one embodiment of the invention, the preliminary rating is displayed using a Security Maturity Assessment Reporting Tool (SMART). SMART allows the preliminary rating to be shown at a detailed level, i.e., all 61 elements are shown, or at a summary level, i.e., only 10 broad categories are shown. Further, SMART allows the organization to compare the preliminary rating to a predefined goal, an industry average, or to a prior assessment. Additionally, the layout of the SMART report allows an organization to readily identify areas that require improvement.  
         [0028]    [0028]FIG. 3 illustrates a portion of a SMART report in accordance with one or more embodiments of the invention. A first column ( 10 ) lists the broad categories. A second column ( 12 ) lists the items within each of the categories.  
         [0029]    A third column ( 14 ) graphically represents the “assessed capability maturity” (ACM) ( 16 ). The third column is sub-divided into five levels (L1, L2, L3, L4, and L5) corresponding to the maturity levels listed above. For each item, the ACM is represented by shading the corresponding row up to the appropriate level. If the ACM is not at a goal ( 18 ), i.e., the level at which the organization wishes to be for the particular item, then an additional shading representing a gap ( 20 ) between the goal ( 18 ) and the ACM ( 16 ) is present.  
         [0030]    For example, in FIG. 3, Category 2 contains four items: Item D ( 2 ), Item E ( 4 ), Item F ( 6 ), and Item G ( 8 ). Specifically, looking at Item G ( 8 ), the ACM ( 16 ) is at level 2 ( 22 ), while the goal ( 18 ) is at level 3 ( 24 ). Thus, a gap ( 20 ) is present between level 2 ( 22 ) and level 3 ( 24 ) on the row containing Item G ( 8 ). Thus, the organization can readily see that Item G ( 8 ) is below the goal ( 18 ). By contrast, the organization can also readily see that capability maturity level for Item F ( 6 ) is at the goal ( 26 ) set for this item, so there is no gap relative to Item F ( 6 ).  
         [0031]    Returning back to the SMA phase, once the preliminary rating has been completed, the assessment entity reviews the preliminary rating with the organization. During the review, the preliminary rating may be revised, if necessary. Once this has been completed, a final rating is generated.  
         [0032]    During the corrective action plan (CAP) phase, the CAP is generated using the final rating and the Security Assessment Matrix. The proposed actions are aimed at improving the items that have gaps and bringing the items Up to the goal. Additionally, items in the CAP may also be prioritized according to the needs and resources of the organization. During the corrective action plan execution phase, the CAP is executed. For example, if the SAM states that for a certain item to be at Level 3, “the policy is written down,” and to be at Level 4, “there is an assigned manager in charge of applying this policy,” then it follows that if an organization is assessed at Level 3 for this item, and its goal is to be at Level 4, then the CAP should include the following action: “Put a manager in charge of this policy.” 
         [0033]    The monitoring phase of the SMA includes periodic SMART reports to ensure that goals are met and maintained. Further, during this phase, the assessment entity may detect change in the environment that might require additions or changes to the security practices and/or policies. Additionally, during the monitoring phase, the assessment entity may provide assistance for debriefing the organization in the event of an information security incident. In one or more embodiments of the invention, the monitoring phase is optional.  
         [0034]    [0034]FIG. 4 illustrates a flowchart detailing the SMA method in accordance with another embodiment of the invention. Initially, the organization&#39;s business goals are determined (Step  112 ), as well as the associated risk in terms of information security (Step  114 ). Written documentation is then collected about the organization&#39;s existing information security policies and practices (Step  116 ). Additional information is then collected via interviews (Step  118 ). Using the information gathered in Steps  112  through  118 , the SAM rating is generated (Step  120 ). If additional information is obtained (Step  122 ), then step  120  may be repeated. If no additional information is obtained (Step  122 ), then a list of corrective actions is proposed (Step  124 ). The corrective actions are subsequently prioritized (Step  126 ) and executed (Step  128 ) to generate modified information security policies and procedures. The modified information security policies and procedures are then monitored (Step  130 ). If there is a change in the information security environment, e.g., a first organization merges with a second organization resulting in the first organization&#39;s network being integrated into the second organization&#39;s network, or if the time for a periodic review arrives (Step  132 ), then the process proceeds back to Step  116 .  
         [0035]    The invention, in one or more embodiments, may have one or more of the following advantages. The SMA method is a systematic approach that includes a process, a detailed method for assessment (i.e., SAM), and a reporting tool (i.e., SMART). Further, the SMA method covers all aspects of information security and explicitly defines what each level means for each item. Further, the SMA method is action oriented. Further, each item is assessed as a capability maturity rather than pass/fail, allowing an organization to readily gauge where the organization is with respect to a particular information security item and to measure progress over time or against a goal, even if that progress is gradual. Additionally, the security assessment matrix may be used as a list of recommendations to detail how the organization may attain its information security goals.  
         [0036]    Further, the SMA method is easy to apply, as each item and corresponding set of criteria for each maturity level associated with the item are clearly defined. Further, the SMA method is flexible, as it may be used for multiple purposes. For example, the SMA may be used for the purpose of establishing to a customer or regulatory authority that an organization has the required capability to perform a certain task. The SMA may also be used for the purpose of internally monitoring, over time, improvements decided by the organization&#39;s management. The SMA may also be used for the purpose of meeting a certain industry standard or reaching a goal established through analysis of the competition&#39;s security capabilities.  
         [0037]    Further, the invention produces an objective rating of an organization&#39;s information security practices and policies removing the subjective element of the assessment process.  
         [0038]    While the invention has been described with respect to a limited number of embodiments, those skilled in the art, having benefit of this disclosure, will appreciate that other embodiments can be devised which do not depart from the scope of the invention as disclosed herein. Accordingly, the scope of the invention should be limited only by the attached claims.