Security Program and Policies: Principles and Practices / Edition 2

by Sari Greene

Overview

Everything you need to know about information security programs and policies, in one book

• Clearly explains all facets of InfoSec program and policy planning, development, deployment, and management
• Thoroughly updated for today’s challenges, laws, regulations, and best practices
• The perfect resource for anyone pursuing an information security management career

In today’s dangerous world, failures in information security can be catastrophic. Organizations must protect themselves. Protection begins with comprehensive, realistic policies. This up-to-date guide will help you create, deploy, and manage them.

Complete and easy to understand, it explains key concepts and techniques through real-life examples. You’ll master modern information security regulations and frameworks, and learn specific best-practice policies for key industry sectors, including finance, healthcare, online commerce, and small business.

If you understand basic information security, you’re ready to succeed with this book. You’ll find projects, questions, exercises, examples, links to valuable easy-to-adapt information security policies...everything you need to implement a successful information security program.

Sari Stern Greene, CISSP, CRISC, CISM, NSA/IAM, is an information security practitioner, author, and entrepreneur. She is passionate about the importance of protecting information and critical infrastructure. Sari founded Sage Data Security in 2002 and has amassed thousands of hours in the field working with a spectrum of technical, operational, and management personnel, as well as boards of directors, regulators, and service providers. Her first text was Tools and Techniques for Securing Microsoft Networks, commissioned by Microsoft to train its partner channel, which was soon followed by the first edition of Security Policies and Procedures: Principles and Practices. She is actively involved in the security community, and speaks regularly at security conferences and workshops. She has been quoted in The New York Times, Wall Street Journal, and on CNN, and CNBC. Since 2010, Sari has served as the chair of the annual Cybercrime Symposium.

Learn how to

· Establish program objectives, elements, domains, and governance

· Understand policies, standards, procedures, guidelines, and plans—and the differences among them

· Write policies in “plain language,” with the right level of detail

· Apply the Confidentiality, Integrity & Availability (CIA) security model

· Use NIST resources and ISO/IEC 27000-series standards

· Align security with business strategy

· Define, inventory, and classify your information and systems

· Systematically identify, prioritize, and manage InfoSec risks

· Reduce “people-related” risks with role-based Security Education, Awareness, and Training (SETA)

· Implement effective physical, environmental, communications, and operational security

· Effectively manage access control

· Secure the entire system development lifecycle

· Respond to incidents and ensure continuity of operations

· Comply with laws and regulations, including GLBA, HIPAA/HITECH, FISMA, state data security and notification rules, and PCI DSS

Product Details

ISBN-13:	9780789751676
Publisher:	Pearson Education
Publication date:	03/19/2014
Series:	Certification/Training Series
Edition description:	Older Edition
Pages:	648
Product dimensions:	6.90(w) x 9.10(h) x 1.40(d)

About the Author

Sari Greene

is an information security practitioner, author, and entrepreneur. She founded Sage Data Security in 2002 and has amassed thousands of hours in the field working with a spectrum of technical, operational, and management personnel as well as board of directors, regulators, and service providers. Sari provided expert witness testimony in the groundbreaking PATCO v. Ocean National Bank case. From 2006 through 2010, she served as the managing director for the MEAPC, a coalition of 24 financial institutions that embrace a mission of preventing information theft and fraud through public education and awareness. Since 2010, she has served as the chair of the annual Cybercrime Symposium held in Portsmouth, New Hampshire. Sari’s first text was Tools and Techniques for Securing Microsoft Networks, commissioned by Microsoft to train its partner channel, followed soon after by the first edition of Security Policies and Procedures: Principles and Practices. She has published a number of articles and whitepapers related to information security and has been quoted in The New York Times, Wall Street Journal, CNN, and on CNBC. She speaks regularly at security conferences and workshops around the country and is a frequent guest lecturer. Sari has an MBA from the University of New Hampshire system and has earned an array of government and industry certifications and accreditations, including ISACA Certification in Risk and Information Systems Control (CRISC), ISACA Certification in Security Management (CISM), ISC2 Certification in Information Systems Security (CISSP), and Microsoft Certified Network Engineer (MCSE), and is certified by the National Security Agency to conduct NSA-IAM assessments for federal government agencies and contractors. You can contact Sari at [e-mail] or follow her on Twitter @sari_greene.

Table of Contents

Chapter 1: Understanding Policy 2

Looking at Policy Through the Ages....................................................................3

The Bible as Ancient Policy ........................................................................4

The United States Constitution as a Policy Revolution ..............................5

Policy Today ...............................................................................................5

Information Security Policy ..................................................................................7

Successful Policy Characteristics ...............................................................8

The Role of Government ...........................................................................13

Information Security Policy Lifecycle ................................................................16

Policy Development ..................................................................................17

Policy Publication .....................................................................................18

Policy Adoption .........................................................................................19

Policy Review ............................................................................................20

Test Your Skills ..................................................................................................22

Chapter 2: Policy Elements and Style 32

Policy Hierarchy .................................................................................................32

Standards..................................................................................................33

Baselines ...................................................................................................34

Guidelines .................................................................................................34

Procedures ................................................................................................35

Plans and Programs..................................................................................36

Policy Format .....................................................................................................36

Policy Audience ........................................................................................36

Policy Format Types .................................................................................37

Policy Components ...................................................................................38

Writing Style and Technique ..............................................................................48

Using Plain Language ...............................................................................48

The Plain Language Movement ................................................................49

Plain Language Techniques for Policy Writing .........................................50

Test Your Skills ..................................................................................................54

Chapter 3: Information Security Framework 64

CIA .....................................................................................................................65

What Is Confidentiality? ............................................................................66

What Is Integrity? ......................................................................................68

What Is Availability? ..................................................................................69

Who Is Responsible for CIA? ....................................................................72

Information Security Framework .......................................................................72

What Is NIST's Function? .........................................................................72

What Does the ISO Do? ............................................................................74

Can the ISO Standards and NIST Publications Be Used to Build a Framework? ......75

Test Your Skills ..................................................................................................82

Chapter 4: Governance and Risk Management 92

Understanding Information Security Policies ....................................................93

What Is Meant by Strategic Alignment? ...................................................94

Regulatory Requirements .........................................................................94

User Versions of Information Security Policies .........................................94

Vendor Versions of Information Security Policies .....................................95

Client Synopsis of Information Security Policies ......................................95

Who Authorizes Information Security Policy? ...........................................96

Revising Information Security Policies: Change Drivers ...........................97

Evaluating Information Security Polices ...................................................97

Information Security Governance ....................................................................100

What Is a Distributed Governance Model? .............................................101

Regulatory Requirements .......................................................................104

Information Security Risk ................................................................................105

Is Risk Bad? ............................................................................................105

Risk Appetite and Tolerance ...................................................................106

What Is a Risk Assessment? ...................................................................106

Risk Assessment Methodologies ............................................................108

What Is Risk Management? ....................................................................109

Test Your Skills ................................................................................................113

Chapter 5: Asset Management 124

Information Assets and Systems .....................................................................125

Who Is Responsible for Information Assets? ..........................................126

Information Classification ................................................................................128

How Does the Federal Government Classify Data? ...............................129

Why Is National Security Information Classified Differently? ..................131

Who Decides How National Security Data Is Classified? .......................133

How Does the Private Sector Classify Data?..........................................134

Can Information Be Reclassified or Even Declassified? .........................135

Labeling and Handling Standards ...................................................................136

Why Label? .............................................................................................136

Why Handling Standards? ......................................................................136

Information Systems Inventory ........................................................................139

What Should Be Inventoried? .................................................................139

Test Your Skills ................................................................................................145

Chapter 6: Human Resources Security 156

The Employee Lifecycle ...................................................................................157

What Does Recruitment Have to Do with Security? ...............................158

What Happens in the Onboarding Phase? .............................................165

What Is User Provisioning? .....................................................................166

What Should an Employee Learn During Orientation? ...........................167

Why Is Termination Considered the Most Dangerous Phase? ...............168

The Importance of Employee Agreements ......................................................170

What Are Confidentiality or Non-disclosure Agreements? .....................170

What Is an Acceptable Use Agreement? ................................................170

The Importance of Security Education and Training .......................................172

What Is the SETA Model? .......................................................................173

Test Your Skills ................................................................................................177

Chapter 7: Physical and Environmental Security 188

Understanding the Secure Facility Layered Defense Model .....................190

How Do We Secure the Site? .................................................................190

How Is Physical Access Controlled? ......................................................192

Protecting Equipment ......................................................................................196

No Power, No Processing? .....................................................................196

How Dangerous Is Fire? .........................................................................198

What About Disposal? ............................................................................200

Stop, Thief! ..............................................................................................203

Test Your Skills ................................................................................................207

Chapter 8: Communications and Operations Security 218

Standard Operating Procedures (SOPs) .........................................................219

Why Document SOPs? ...........................................................................220

Developing SOPs ....................................................................................220

Operational Change Control ............................................................................225

Why Manage Change? ...........................................................................225

Why Is Patching Handled Differently? ....................................................228

Malware Protection..........................................................................................230

Are There Different Types of Malware? ..................................................231

How Is Malware Controlled? ...................................................................233

What Is Antivirus Software? ....................................................................234

Data Replication ..............................................................................................235

Is There a Recommended Backup or Replication Strategy? ..................235

Secure Messaging ...........................................................................................237

What Makes Email a Security Risk? .......................................................237

Are Email Servers at Risk? ......................................................................240

Activity Monitoring and Log Analysis ..............................................................242

What Is Log Management? .....................................................................242

Service Provider Oversight ..............................................................................245

What Is Due Diligence? ...........................................................................245

What Should Be Included in Service Provider Contracts? .....................247

Test Your Skills ................................................................................................252

Chapter 9: Access Control Management 264

Access Control Fundamentals ........................................................................265

What Is a Security Posture? ...................................................................266

How Is Identity Verified? .........................................................................266

What Is Authorization? ............................................................................270

Infrastructure Access Controls ........................................................................272

Why Segment a Network? ......................................................................272

What Is Layered Border Security? ..........................................................273

Remote Access Security .........................................................................277

User Access Controls ......................................................................................282

Why Manage User Access? ....................................................................282

What Types of Access Should Be Monitored? .......................................284

Test Your Skills ................................................................................................289

Chapter 10: Information Systems Acquisition, Development, and Maintenance 300

System Security Requirements .......................................................................301

Secure Code ....................................................................................................306

Cryptography ...................................................................................................310

Test Your Skills ................................................................................................318

Chapter 11: Information Security Incident Management 328

Organizational Incident Response ...................................................................329

What Is an Incident? ...............................................................................330

How Are Incidents Reported? .................................................................334

What Is an Incident Response Program? ...............................................335

What Happened? Investigation and Evidence Handling ........................340

Data Breach Notification Requirements ..........................................................345

Is There a Federal Breach Notification Law? ..........................................347

Does Notification Work? .........................................................................351

Test Your Skills ................................................................................................355

Chapter 12: Business Continuity Management 370

Emergency Preparedness ...............................................................................371

What Is a Resilient Organization? ...........................................................372

Business Continuity Risk Management ...........................................................374

What Is a Business Continuity Threat Assessment? ..............................375

What Is a Business Continuity Risk Assessment? ..................................376

What Is a Business Impact Assessment? ...............................................378

The Business Continuity Plan ..........................................................................380

Roles and Responsibilities ......................................................................381

Disaster Response Plans ........................................................................384

Operational Contingency Plans ..............................................................387

The Disaster Recovery Phase .................................................................388

The Resumption Phase ...........................................................................391

Plan Testing and Maintenance ........................................................................392

Why Is Testing Important? ......................................................................392

Plan Maintenance ...................................................................................393

Test Your Skills ................................................................................................397

Chapter 13: Regulatory Compliance for Financial Institutions 408

The Gramm-Leach-Bliley Act (GLBA) ..............................................................409

What Is a Financial Institution? ...............................................................410

What Are the Interagency Guidelines? ...................................................412

What Is a Regulatory Examination? ........................................................423

Personal and Corporate Identity Theft ............................................................424

What Is Required by the Interagency Guidelines Supplement A? ..........425

What Is Required by the Supplement to the Authentication in an Internet Banking Environment Guidance? ...427

Test Your Skills ................................................................................................431

Chapter 14: Regulatory Compliance for the Healthcare Sector 442

The HIPAA Security Rule .................................................................................444

What Is the Objective of the HIPAA Security Rule? ................................444

Enforcement and Compliance ................................................................445

How Is the HIPAA Security Rule Organized? ..........................................445

What Are the Physical Safeguards? .......................................................455

What Are the Technical Safeguards? .....................................................458

What Are the Organizational Requirements? ..........................................461

What Are the Policies and Procedures Standards? ................................463

The HITECH Act and the Omnibus Rule..........................................................464

What Changed for Business Associates? ...............................................465

What Are the Breach Notification Requirements? ..................................468

Test Your Skills ................................................................................................471

Chapter 15: PCI Compliance for Merchants 482