Risk management i
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- 1. TransformingLives. InventingtheFuture. www.iit.edu I ELLINOIS T UINS TI T OF TECHNOLOGY ITM 578 1 RiskManagement I Ray Trygstad ITM 578 Section 071 Summer 2003 Master of Information Technology & Management Program CenterforProfessional Development Slides based on Whitman, M. and Mattord, H., Principles of InformationSecurity; Thomson Course Technology 2003
- 2. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 2 ILLINOIS INSTITUTE OF TECHNOLOGY Learning Objectives: Upon completion of this lesson students should be able to: – Define risk management and its role in the SecSDLC – Describe how risk is identified – Assess risk based on the likelihood of occurrence and impact on an organization – Explain fundamental aspects of documenting risk identification and assessment
- 3. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 3 ILLINOIS INSTITUTE OF TECHNOLOGY Risk Management Investigate Analyze: Risk Identification (Chapter 4) Implement Maintain Analyze: Risk Control (Chapter 5) Design FIG URE 4-1 Risk Managagement and the Secure SDLC
- 4. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 4 ILLINOIS INSTITUTE OF TECHNOLOGY Risk Management “If you know the enemy and know yourself, you need not fear the result of a hundred battles. If you know yourself but not the enemy, for every victory gained you will also suffer a defeat. If you know neither the enemy nor yourself, you will succumb in every battle.” (Sun Tzu)
- 5. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 5 ILLINOIS INSTITUTE OF TECHNOLOGY Know Ourselves First, identify, examine, and understand the information, and systems, currently in place In order to protect our assets, defined here as the information and the systems that use, store, and transmit it, we must understand everything about the information Once these aspects are examined, we can then look at what we are already doing to protect the information and systems from the threats
- 6. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 6 ILLINOIS INSTITUTE OF TECHNOLOGY Know the Enemy For information security this means identifying, examining, and understanding the threats that most directly affect our organization and the security of our organization’s information assets We then can use our understanding of these aspects to create a list of threats prioritized by importance to the organization
- 7. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 7 ILLINOIS INSTITUTE OF TECHNOLOGY Accountability for Risk Management It is the responsibility of each community of interest to manage risks; each community has a role to play: – Information Security - best understands the threats and attacks that introduce risk into the organization – Management and Users – play a part in the early detection and response process - they also insure sufficient resources are allocated – Information Technology – must assist in building secure systems and operating them safely
- 8. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 8 ILLINOIS INSTITUTE OF TECHNOLOGY Accountability for Risk Management All three communities must also: – Evaluate the risk controls – Determine which control options are cost effective – Assist in acquiring or installing needed controls – Ensure that the controls remain effective
- 9. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 9 ILLINOIS INSTITUTE OF TECHNOLOGY Risk Management Process Management reviews asset inventory The threats and vulnerabilities that have been identified as dangerous to the asset inventory must be reviewed and verified as complete and current The potential controls and mitigation strategies should be reviewed for completeness
- 10. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 10 ILLINOIS INSTITUTE OF TECHNOLOGY Risk Management Process The cost effectiveness of each control should be reviewed as well, and the decisions about deployment of controls revisited Further, managers of all levels are accountable on a regular schedule for ensuring the ongoing effectiveness of every control deployed
- 11. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 11 ILLINOIS INSTITUTE OF TECHNOLOGY Risk Identification A risk management strategy calls on us to “know ourselves” by identifying, classifying, and prioritizing the organization’s information assets These assets are the targets of various threats and threat agents and our goal is to protect them from these threats
- 12. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 12 ILLINOIS INSTITUTE OF TECHNOLOGY Threat Identification Next comes threat identification: – Assess the circumstances and setting of each information asset – Identify the vulnerabilities and begin exploring the controls that might be used to manage the risks
- 13. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 13 ILLINOIS INSTITUTE OF TECHNOLOGY Asset Identification and Valuation This iterative process begins with the identification of assets, including all of the elements of an organization’s system: people, procedures, data and information, software, hardware, and networking elements Then, we classify and categorize the assets adding details as we dig deeper into the analysis
- 14. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 14 ILLINOIS INSTITUTE OF TECHNOLOGY Categorizing Components Traditional System Components SecDLC and risk management components People Employees Trusted employees Other Staff Nonemployees People at trusted organizations Strangers Procedures Procedures IT and business standard procedures IT and business sensitive procedures Data Information Transmisison Processing Storage Software Software Applications Operating Systems Security components Hardware System devices and peripherals System and peripherals security devices Networking components Intranet components Internet or DMZ components TABLE 4-1 Categorizing the components of an Information System
- 15. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 15 ILLINOIS INSTITUTE OF TECHNOLOGY Hardware, Software, and Network Asset Identification Automated tools can sometimes uncover the system elements that make up the hardware, software, and network components Once created, the inventory listing must be kept current, often through a tool that periodically refreshes the data
- 16. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 16 ILLINOIS INSTITUTE OF TECHNOLOGY Hardware, Software, and Network Asset Identification What attributes of each of these information assets should be tracked? When deciding which information assets to track, consider including these asset attributes: – Name – IP address – MAC address – Element type – Serial number – Manufacturer name – Manufacturer’s model number or part number – Software version, update revision, or FCO number – Physical location – Logical location – Controlling entity
- 17. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 17 ILLINOIS INSTITUTE OF TECHNOLOGY People, Procedures, and Data Asset Identification Unlike the tangible hardware and software elements already described, the human resources, documentation, and data information assets are not as readily discovered and documented These assets should be identified, described, and evaluated by people using knowledge, experience, and judgment As these elements are identified, they should also be recorded into some reliable data handling process
- 18. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 18 ILLINOIS INSTITUTE OF TECHNOLOGY Asset Information for People For People: – Position name/number/ID – try to avoid names and stick to identifying positions, roles, or functions – Supervisor – Security clearance level – Special skills
- 19. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 19 ILLINOIS INSTITUTE OF TECHNOLOGY Asset Information for Procedures For Procedures: – Description – Intended purpose – What elements is it tied to – Where is it stored for reference – Where is it stored for update purposes
- 20. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 20 ILLINOIS INSTITUTE OF TECHNOLOGY Asset Information for Data For Data: – Classification – Owner/creator/manager – Size of data structure – Data structure used – sequential, relational – Online or offline – Where located – Backup procedures employed
- 21. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 21 ILLINOIS INSTITUTE OF TECHNOLOGY Information Asset Classification Many organizations already have a classification scheme Examples of these kinds of classifications: – confidential data – internal data – public data Informal organizations may have to organize themselves to create a useable data classification model Other side of the data classification scheme is the personnel security clearance structure
- 22. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 22 ILLINOIS INSTITUTE OF TECHNOLOGY Information Asset Valuation Each asset is categorized Questions to assist in developing criteria to be used for asset valuation: – Which information asset is the most critical to the success of the organization? – Which information asset generates the most revenue? – Which information asset generates the most profitability?
- 23. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 23 ILLINOIS INSTITUTE OF TECHNOLOGY Information Asset Valuation More questions to assist in developing criteria to be used for asset valuation: – Which information asset would be the most expensive to replace? – Which information asset would be the most expensive to protect? – Which information asset would be the most embarrassing or cause the greatest liability if revealed?
- 24. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 24 ILLINOIS INSTITUTE OF TECHNOLOGY Example Worksheet SystemName: SLSE-Commerce . Date Evaluated: February2OO3 . Evaluated By: D.Jones . Information assets Data classification Impact to profitability Information Transmitted: EDI Document Set 1 — Logistics BOL to outsourcer (outbound) Confidential High EDI Document Set 2 — Supplier orders (Outbound) Confidential High EDI Document Set 2 — Supplier fulfillment advice (inbound) Confidential Medium Customer order via SSL (inbound) Confidential Critical Customer service Request via e-mail (inbound) Private Medium DMZ Assets: Edge Router Public Critical Web server #1 — home page and core site Public Critical Web server #2 — Application server Private Critical Notes: BOL: Bill of Lading: DMZ: Demilitarized Zone EDI: Electronic Data Interchange SSL: Secure Sockets LayerFIGURE 4-3 Example Worksheet for the Asset Identification of Information Systems
- 25. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 25 ILLINOIS INSTITUTE OF TECHNOLOGY Information Asset Valuation Create a weighting for each category based on the answers to the previous questions Which factor is the most important to the organization? Once each question has been weighted, calculating the importance of each asset is straightforward List the assets in order of importance using a weighted factor analysis worksheet
- 26. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 26 ILLINOIS INSTITUTE OF TECHNOLOGY Weighted Factor Analysis Worksheet Information asset Criteria 1: impact to revenue Criteria 2: impact to profitability Criteria 3: public image impact Weighted score Criterion Weight (1-100) Must total 100 30 40 30 EDI Document Set 1— Logistics BOL to outsourcer (outbound) 0.8 0.9 0.5 75 EDI Document Set 2— Supplier orders (outbound) 0.8 0.9 0.6 78 EDI Document Set 2— Supplier fulfillment advice (inbound) 0.4 0.5 0.3 41 Customer order via SSL (inbound) 1.0 1.0 1.0 100 Customer service request via e-mail (inbound) 0.4 0.4 0.9 55 Example of a Weighted Factor Analysis WorksheetTABLE 4-2 Notes: EDI: Electronic Data Interchange SSL: Secure Sockets Layer
- 27. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 27 ILLINOIS INSTITUTE OF TECHNOLOGY Data Classification and Management A variety of classification schemes are used by corporate and military organizations Information owners are responsible for classifying the information assets for which they are responsible Information owners must review information classifications periodically The military uses a five-level classification scheme but most organizations do not need the detailed level of classification used by the military or federal agencies
- 28. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 28 ILLINOIS INSTITUTE OF TECHNOLOGY Data Classification and Management DOD/Federal Classification Scheme – UNCLASSIFIED – FOR OFFICIAL USE ONLY (FOUO) (includes Formerly Restricted Data) – CONFIDENTIAL – SECRET – TOP SECRET
- 29. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 29 ILLINOIS INSTITUTE OF TECHNOLOGY Data Classification and Management A variety of classification schemes are used by corporate and military organizations Information owners are responsible for classifying the information assets for which they are responsible Information owners must review information classifications periodically The military uses a five-level classification scheme but most organizations do not need the detailed level of classification used by the military or federal agencies
- 30. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 30 ILLINOIS INSTITUTE OF TECHNOLOGY Security Clearances The other side of the data classification scheme is the personnel security clearance structure Each user of data in the organization is assigned a single level of authorization indicating the level of classification Before an individual is allowed access to a specific set of data, he or she must meet the need-to-know requirement This extra level of protection ensures that the confidentiality of information is properly maintained
- 31. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 31 ILLINOIS INSTITUTE OF TECHNOLOGY Management of Classified Data Includes the storage, distribution, portability, and destruction of classified information – Must be clearly marked as such – When stored, it must be unavailable to unauthorized individuals – When carried should be inconspicuous, as in a locked briefcase or portfolio Clean desk policies require all information to be stored in its appropriate storage container at the end of each day Proper care should be taken to destroy any unneeded copies Dumpster diving can prove embarrassing to the organization
- 32. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 32 ILLINOIS INSTITUTE OF TECHNOLOGY Threat Identification Each of the threats identified so far has the potential to attack any of the assets protected This will quickly become more complex and overwhelm the ability to plan To make this part of the process manageable, each step in the threat identification and vulnerability identification process is managed separately, and then coordinated at the end of the process
- 33. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 33 ILLINOIS INSTITUTE OF TECHNOLOGY Threats to Information Security Example Threat Act of human error or failure Accidents, employee mistakes Compromises to intellectual property Piracy, copyright infringement Deliberate acts of espionage or trespass Unauthorized access and data collection Deliberate acts of information extortion Blackmail for information disclosure Deliberate acts of sabotage or vandalism Destruction of systems or information Deliberate acts of theft Illegal confiscation of equipment or information Deliberate software attacks Viruses, worms, macros, denial of service Forces of nature Fire, flood, earthquake, lightning Quality of service deviations from service providers Power and WAN quality of service issues Technical hardware failures or errors Equipment failure Technical software failures or errors Bugs, code problems, unknown loopholes Technological obsolescence Antiquated or outdated technologies ©2003 ACM, Inc., Included here by permission. TABLE 4-3 Threats to Information Security
- 34. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 34 ILLINOIS INSTITUTE OF TECHNOLOGY Identify and Prioritize Threats Each threat must be further examined to assess its potential to impact organization - this is referred to as a threat assessment To frame the discussion of threat assessment, address each threat with a few questions: – Which threats present a danger to this organization’s assets in the given environment? – Which threats represent the most danger to the organization’s information? – How much would it cost to recover from a successful attack? – Which of these threats would require the greatest expenditure to prevent?
- 35. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 35 ILLINOIS INSTITUTE OF TECHNOLOGY Vulnerability Identification We now face the challenge of reviewing each information asset for each threat it faces and creating a list of the vulnerabilities that remain viable risks to the organization Vulnerabilities are specific avenues that threat agents can exploit to attack an information asset
- 36. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 36 ILLINOIS INSTITUTE OF TECHNOLOGY Vulnerability Assessment Example Vulnerability assessment of a hypothetical DMZ router Threat Possible vulnerabilities Deliberate software attacks Internet protocol is vulnerable to denial of service Outsider IP fingerprinting activities can reveal sensitive information unless suitable controls are implemented Act of human error or failure Employees or contractors may cause outage if configuration errors are made Technical software failures or errors Vendor-supplied routing software could fail and cause an outage Technical hardware failures or errors Hardware can fail and cause an outage Power system failures are always possible Quality of service deviations from service providers Unless suitable electrical power conditioning is provided, failure is probable over time Deliberate acts of espionage or trespass This information asset has little intrinsic value, but other assets protected by this device could be attacked if it compromised Deliberate theft This information asset has little intrinsic value, but other assets protected by this device could be attacked if it is compromised Deliberate acts of sabotage or vandalism Internet protocol is vulnerable to denial of service This device may be subject to defacement or cache poisoning Technological obsolescence If this asset is not reviewed and periodically updated, it may fall too far behind its vendor support model to be kept in service Forces of nature All information assets in the organization are sub-ject to forces of nature, unless suitable controls are provided Compromises to intellectual property This information asset has little intrinsic value, but other assets protected by this device could be attacked if it is compromised Deliberate acts of information extortion This information asset has little intrinsic value, but other assets protected by this device could be attacked if it is compromised TABLE 4-4
- 37. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 37 ILLINOIS INSTITUTE OF TECHNOLOGY Vulnerability Identification Examine how each of the threats that are possible or likely could be perpetrated and list the organization’s assets and their vulnerabilities The process works best when groups of people with diverse backgrounds within the organization work iteratively in a series of brainstorming sessions At the end of the process, an information asset / vulnerability list has been developed – this list is the starting point for the next step, risk assessment
- 38. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 38 ILLINOIS INSTITUTE OF TECHNOLOGY Risk Assessment We can determine the relative risk for each of the vulnerabilities through a process called risk assessment Risk assessment assigns a risk rating or score to each specific information asset, useful in gauging the relative risk introduced by each vulnerable information asset and making comparative ratings later in the risk control process
- 39. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 39 ILLINOIS INSTITUTE OF TECHNOLOGY Introduction to Risk Assessment Risk Identification Estimate Factors – Likelihood – Value of Information Assets – Percent of Risk Mitigated – Uncertainty
- 40. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 40 ILLINOIS INSTITUTE OF TECHNOLOGY Risk Determination For the purpose of relative risk assessment: Risk= likelihood of vulnerability occurrence multiplied by value of the information asset (or impact) minus percentage risk already controlled plus
- 41. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 41 ILLINOIS INSTITUTE OF TECHNOLOGY Identify Possible Controls For each threat and its associated vulnerabilities that have any residual risk, create a preliminary list of control ideas Residual risk is the risk that remains to the information asset even after the existing control has been applied
- 42. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 42 ILLINOIS INSTITUTE OF TECHNOLOGY Access Controls One particular application of controls is in the area of access controls Access controls are those controls that specifically address admission of a user into a trusted area of the organization There are a number of approaches to controlling access Access controls can be – discretionary – mandatory – nondiscretionary
- 43. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 43 ILLINOIS INSTITUTE OF TECHNOLOGY Types of Access Controls Discretionary Access Controls (DAC) are implemented at the discretion or option of the data user Mandatory Access Controls (MACs) are structured and coordinated with a data classification scheme, and are required
- 44. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 44 ILLINOIS INSTITUTE OF TECHNOLOGY Types of Access Controls Nondiscretionary Controls are those determined by a central authority in the organization and can be based on that individual’s role (Role-Based Controls) or a specified set of duties or tasks the individual is assigned (Task-Based Controls) or can be based on specified lists maintained on subjects or objects
- 45. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 45 ILLINOIS INSTITUTE OF TECHNOLOGY Lattice-based Control Another type of nondiscretionary access is lattice-based control, where a lattice structure (or matrix) is created containing subjects and objects, and the boundaries associated with each pair is contained This specifies the level of access each subject has to each object
- 46. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 46 ILLINOIS INSTITUTE OF TECHNOLOGY Lattice-based Control In a lattice-based control the column of attributes associated with a particular object are referred to as an access control list or ACL The row of attributes associated with a particular subject (such as a user) is referred to as a capabilities table
- 47. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 47 ILLINOIS INSTITUTE OF TECHNOLOGY Documenting Results of Risk Assessment Goal of this process: identify the information assets of the organization that have specific vulnerabilities and create a list of them, ranked for focus on those most needing protection first In preparing this list we have collected and preserved factual information about the assets, the threats they face, and the vulnerabilities they experience We should also have collected some information about the controls that are already in place
- 48. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 48 ILLINOIS INSTITUTE OF TECHNOLOGY Introduction to Risk Assessment The process you develop for risk identification should include designating what function the reports will serve, who is responsible for preparing the reports, and who reviews them We do know that the ranked vulnerability risk worksheet is the initial working document for the next step in the risk management process: assessing and controlling risk
- 49. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 49 ILLINOIS INSTITUTE OF TECHNOLOGY Risk Identification & Assessment Deliverable Purpose Information asset classification worksheet Assembles information about information assets and their impact on or value to the organization Weighted criteria analysis worksheet Assigns ranked value or impact weight to each information asset Ranked vulnerability risk worksheet Assigns ranked value of risk rating for each uncontrolled asset-vulnerability pair Risk Identification and Assessment DeliverablesTABLE 4-6
- 50. Transfo rm ing Live s. Inve nting the Future . www.iit.edu ITM 578 50 ILLINOIS INSTITUTE OF TECHNOLOGY The End… Questions!
Notes de l'éditeur
- Learning Objectives: Upon completion of this chapter you should be able to: Define risk management and its role in the SecSDLC Understand how risk is identified Assess risk based on the likelihood of occurrence and impact on an organization Grasp the fundamental aspects of documenting risk identification and assessment
- Introduction The Security Systems Development Life Cycle (or SecSDLC) is a process framework or methodology that can be used in a flexible fashion to assist organizations in deploying information security initiatives. Risk identification is the formal process of examining and documenting the current information technology security situation. Risk identification is conducted within the larger process of identifying and justifying risk controls, known as risk management.
- RISK MANAGEMENT “If you know the enemy and know yourself, you need not fear the result of a hundred battles. If you know yourself but not the enemy, for every victory gained you will also suffer a defeat. If you know neither the enemy nor yourself, you will succumb in every battle.” (Sun Tzu)
- KNOW OURSELVES First, we must identify, examine, and understand the information, and systems, currently in place. In order to protect our assets, defined here as the information and the systems that use, store, and transmit it, we have to understand everything about the information. Once we have examined these aspects, we can then look at what we are already doing to protect the information and systems from the threats.
- KNOW THE ENEMY Informed of our own nature, and aware of our own weaknesses, we must then know the enemy. For information security this means identifying, examining, and understanding the threats that most directly affect our organization and the security of our organization’s information assets. We then can use our understanding of these aspects to create a list of threats prioritized by importance to the organization.
- Accountability for Risk Management It is the responsibility of each of the organization’s communities of interest to manage the risks the organization encounters. Each community of interest has a role to play. Information Security - best understand the threats and attacks that introduce risk into the organization. Management and Users – play a part in the early detection and response process. They also insure sufficient resources) are allocated Information Technology – must assist in building secure systems and operating them safely. General management, IT management, and information security management are accountable for identifying and classifying risk. All three communities of interest are also responsible for: Evaluating the risk controls Determining which control options are cost effective for the organization Acquiring or installing the needed controls Overseeing that the controls remain effective in controlling risk
- Accountability for Risk Management It is the responsibility of each of the organization’s communities of interest to manage the risks the organization encounters. Each community of interest has a role to play. Information Security - best understand the threats and attacks that introduce risk into the organization. Management and Users – play a part in the early detection and response process. They also insure sufficient resources) are allocated Information Technology – must assist in building secure systems and operating them safely. General management, IT management, and information security management are accountable for identifying and classifying risk. All three communities of interest are also responsible for: Evaluating the risk controls Determining which control options are cost effective for the organization Acquiring or installing the needed controls Overseeing that the controls remain effective in controlling risk
- Risk management process 1)The first focus of management review is asset inventory. 2)Next the threats and vulnerabilities that have been identified as dangerous to the asset inventory must be reviewed and verified as complete and current, and the potential controls and mitigation strategies should be reviewed for completeness.
- 3)The cost effectiveness of each control should be reviewed as well, and the decisions about deployment of controls revisited. 4)Further, managers of all levels are accountable on a regular schedule for insuring the ongoing effectiveness of every control deployed.
- Risk Identification A risk management strategy calls on us to “know ourselves” by identifying, classifying, and prioritizing the organization’s information assets. These assets are the targets of various threats and threat agents and our goal is to protect them from these threats.
- Once we have gone through the process of self-examination, we then move into threat identification. We must assess the circumstances and setting of each information asset. To begin managing the risk from the vulnerabilities, we must identify those vulnerabilities and begin exploring the controls that might be used to manage the risks. We begin the process by identifying and assessing the value of our information assets.
- Asset Identification and Valuation This iterative process begins with the identification of assets, including all of the elements of an organization’s system: people, procedures, data and information, software, hardware and networking elements. Then, we classify and categorize the assets adding details as we dig deeper into the analysis.
- Hardware, Software, and Network Asset Identification Automated tools can sometimes uncover the system elements that make up the hardware, software, and network components. Once created and stored, the inventory listing must be kept current, often through a tool that periodically refreshes the data.
- Hardware, Software, and Network Asset Identification What attributes of each of these information assets should be tracked? When deciding which information assets to track, consider including these asset attributes: Name IP address MAC address Element Type DeviceClass = S (server) DeviceOS = W2K (windows 2000) DeviceCapacity = AS (Advanced Server) Hardware, Software, and Network Asset Identification Serial number Manufacturer Name Manufacturer’s Model Number or Part Number Software Version, Update Revision, or FCO number Physical Location Logical location Controlling Entity
- People, Procedures, and Data Asset Identification Unlike the tangible hardware and software elements already described, the human resources, documentation, and data information assets are not as readily discovered and documented. These assets should be identified, described, and evaluated by people using knowledge, experience, and judgment. As these elements are identified, they should also be recorded into some reliable data handling process.
- People, Procedures, and Data Asset Identification For People: Position name/number/ID – try to stay aware from names and stick to identifying positions, roles or functions Supervisor Security clearance level Special skills
- People, Procedures, and Data Asset Identification For Procedures: Description Intended purpose What elements is it tied to Where is it stored for reference Where is it stored for update purposes
- People, Procedures, and Data Asset Identification For Data: Classification Owner/creator/manager Size of data structure Data structure used – sequential, relational Online or offline Where located Backup procedures employed
- Information Asset Classification Many organizations already have a classification scheme. Examples of these kinds of classifications are confidential data, internal data, and public data. Informal organizations may have to organize themselves to create a useable data classification model. The other side of the data classification scheme is the personnel security clearance structure, identifying the level of information each individual is authorized to view, based on his need-to-know.
- Information Asset Valuation As each asset of the organization is assigned to its category, these questions will assist in developing the criteria to be used for asset valuation : Which information asset is the most critical to the success of the organization? Which information asset generates the most revenue? Which information asset generates the most profitability?
- Which information asset would be the most expensive to replace? Which information asset would be the most expensive to protect? Which information asset would be the most embarrassing or cause the greatest liability if revealed?
- Information Asset Valuation In order to finalize this step of the information asset identification process, each organization should create a weighting for each category based on the answers to the previous questions. Which Factor is the most important to the organization? Once each question has been weighted, calculating the importance of each asset is straightforward. The final step is to list the assets in order of importance. This can be achieved by using a weighted factor analysis worksheet.
- Data Classification and Management A variety of classification schemes are used by corporate and military organizations. Information owners are responsible for classifying the information assets for which they are responsible. At least once a year, information owners must review information classifications to ensure the information is still classified correctly and the appropriate access controls are in place. The U.S. Military Classification Scheme has a more complex categorization system than required by most corporations. For most information, the military uses a five-level classification scheme: Unclassified, Sensitive But Unclassified (i.e., For Official Use Only), Confidential, Secret, and Top Secret. Most organizations do not need the detailed level of classification used by the military or federal agencies. A simple scheme will allow the organization to protect its sensitive information like: Public, For official use only, Sensitive, Classified
- Data Classification and Management A variety of classification schemes are used by corporate and military organizations. Information owners are responsible for classifying the information assets for which they are responsible. At least once a year, information owners must review information classifications to ensure the information is still classified correctly and the appropriate access controls are in place. The U.S. Military Classification Scheme has a more complex categorization system than required by most corporations. For most information, the military uses a five-level classification scheme: Unclassified, Sensitive But Unclassified (i.e., For Official Use Only), Confidential, Secret, and Top Secret. Most organizations do not need the detailed level of classification used by the military or federal agencies. A simple scheme will allow the organization to protect its sensitive information like: Public, For official use only, Sensitive, Classified
- Data Classification and Management A variety of classification schemes are used by corporate and military organizations. Information owners are responsible for classifying the information assets for which they are responsible. At least once a year, information owners must review information classifications to ensure the information is still classified correctly and the appropriate access controls are in place. The U.S. Military Classification Scheme has a more complex categorization system than required by most corporations. For most information, the military uses a five-level classification scheme: Unclassified, Sensitive But Unclassified (i.e., For Official Use Only), Confidential, Secret, and Top Secret. Most organizations do not need the detailed level of classification used by the military or federal agencies. A simple scheme will allow the organization to protect its sensitive information like: Public, For official use only, Sensitive, Classified
- Security Clearances The other side of the data classification scheme is the personnel security clearance structure. For each user of data in the organization, a single level of authorization must be assigned, indicating the level of classification he is authorized to view. Before an individual is allowed access to a specific set of data, he must meet the need-to-know requirement. This extra level of protection ensures that the confidentiality of information is properly maintained.
- Management of Classified Data Requirements for the management of information include the storage, distribution, portability, and destruction of classified information. Information that has a classification designation other than unclassified or public must be clearly marked as such. When classified data is stored, it must be unavailable to unauthorized individuals. When an individual carries classified information, it should be inconspicuous, as in a locked briefcase or portfolio. The clean desk policy, which requires each employee to secure any and all information in its appropriate storage container at the end of each day. When classified information is no longer valuable or excessive copies exist, proper care should be taken to destroy any unneeded copies, through shredding, burning or transfer to an authorized document destruction service. There are those individuals who would not hesitate to engage in dumpster diving to retrieve information that could prove embarrassing or compromise the security of information in the organization.
- Threat Identification Each of these threats identified has the potential to attack any of the assets protected. If we assume every threat can and will attack every information asset, this will quickly become more complex and overwhelm the ability to plan. To make this part of the process manageable, each step in the threat identification and vulnerability identification process is managed separately, and then coordinated at the end of the process.
- Identify And Prioritize Threats and Threat Agents Before threats can be used in the process, each threat must be further examined to assess its potential to impact the specific targeted organization. This is referred to as a threat assessment. To frame the discussion of threat assessment, address each threat with a few questions: Which threats present a danger to this organization’s assets in the given environment? Which threats represent the most danger to the organization’s information? How much would it cost to recover from a successful attack? Which of these threats would require the greatest expenditure to prevent?
- Vulnerability Identification We now face the challenge of reviewing each information asset for each threat it faces and creating a list of the vulnerabilities that remain viable risks to the organizations. Vulnerabilities are specific avenues that threat agents can exploit to attack an information asset.
- Vulnerability Identification Now, we examine how each of the threats that are possible or likely, could be perpetrated and list the organization’s assets and their vulnerabilities. The process works best when groups of people with diverse backgrounds within the organization work iteratively in a series of brainstorming sessions. At the end of the process, an information asset / vulnerability list has been developed. This list is the starting point for the next step, risk assessment.
- Risk Assessment We can determine the relative risk for each of the vulnerabilities through a process called risk assessment. Risk assessment assigns a risk rating or score to each specific information asset, useful in gauging the relative risk introduced by each vulnerable information asset and making comparative ratings later in the risk control process.
- Introduction to Risk Assessment Risk Identification Estimate Factors Likelihood Value of Information Assets Percent of Risk Mitigated Uncertainty Factors in Risk Estimation Likelihood is the overall rating of the probability of occurrence that a potential vulnerability may be exercised within the organization’s threat environment. (i.e. between 0.1 for low and 1.0 for high) Valuation of Information Assets. We can assign weighted scores for the value of each information asset to the organization. (i.e. a scale of 1 to 100, with 100 reserved for the utmost mission critical assets) Percentage of Risk Mitigated by Current Controls. If a vulnerability is fully managed by an existing control, it no longer needs to be considered for additional controls and can be set aside. If it is partially controlled, estimate what percentage of the vulnerability has been controlled. Uncertainty. It is not possible to know everything about each vulnerability and how likely it is to occur and how much impact it will have. We must apply judgment to add a factor into the equation to allow for an estimation of the uncertainty of the information
- Risk Determination For the purpose of relative risk assessment: risk = likelihood of vulnerability occurrence times value (or impact) minus percentage risk already controlled plus an element of uncertainty
- Identify Possible Controls For each threat and its associated vulnerabilities that have any residual risk, create a preliminary list of control ideas. Residual risk is the risk that remains to the information asset even after the existing control has been applied.
- Access Controls One particular application of controls is in the area of access controls. Access controls are those controls that specifically address admission of a user into a trusted area of the organization. There are a number of approaches to controlling access. Access controls can be discretionary, mandatory, or non-discretionary.
- Types of Access Controls Discretionary Access Controls (DAC) are implemented at the discretion or option of the data user. Mandatory Access Controls (MACs) - are structured and coordinated with a data classification scheme, and are required.
- Non-discretionary Controls are those determined by a central authority in the organization and can be based on that individual’s role (Role-Based Controls) or a specified set of duties or tasks the individual is assigned (Task-Based Controls) or can be based on specified lists maintained on subjects or objects.
- Lattice-based Control Yet another type of non-discretionary access is lattice-based control, where a lattice structure (or matrix) is created containing subjects and objects, and the boundaries associate with each pair is contained. This specified the level of access each subject has to each object, if any.
- Lattice-based Control In a lattice-based control the column of attributes associated with a particular object (such as a printer) are referred to as an access control list or ACL. The row of attributes associated with a particular subject (such as a user) is referred to as a capabilities table.
- Documenting Results of Risk Assessment The goal of this process has been to identify the information assets of the organization that have specific vulnerabilities and create a list of them, ranked for focus on those most needing protection first. In preparing this list we have collected and preserved a wealth of factual information about the assets, the threats they face, and the vulnerabilities they experience. We should also have collected some information about the controls that are already in place.
- Introduction to Risk Assessment The process you develop for risk identification should include designating what function the reports will serve, who is responsible for preparing the reports, and who reviews them. We do know that the ranked vulnerability risk worksheet is the initial working document for the next step in the risk management process: assessing and controlling risk.