Tammy Clark, Chief Information Security Officer,

William Monahan, Lead Information Security Administrator

Georgia State University, Atlanta GA

Developing a Risk-Based Information Security Program

Copyright Tammy L. Clark, June 2007. Permission is granted for this material to be shared for non-commercial, educational purposes, provided that this copyright statement appears on the reproduced

materials and with permission of author.

Today’s AgendaToday’s Agenda

– Prerequisites For Success– Risk Management– PDCA Model– Establishing an ISMS: The “Plan,

Do, Check, Act Phases”– Governance Training– Compliance vice Certification with

the ISO standards

Prerequisites For Prerequisites For SuccessSuccess

• We believe that the following are critical success factors:– Top Management Support– Collaborations with Key

Enterprise Stakeholders– Understanding of key strategic

business goals & objectives

Risk ManagementRisk Management

• Risk Management Process Model

• Asset Identification and Classification

• Risk Assessment Methodology

• ISO 17799/27001 Annex A

• Risk Treatment

Risk Management Risk Management Process ModelProcess Model

• Assess and evaluate risks

• Select, implement and operate controls to treat risks

• Monitor and review risks

• Maintain and improve risk controls

Identification of Identification of AssetsAssets• Inventory and classification

• Identify legal and business requirements relevant to the assets

• Valuation of identified assets taking requirements into account as well as impacts of loss of C.I.A.

• Identify threats and vulnerabilities

• Assessment of likelihood threats will result in vulnerabilities getting exploited

• Calculate risk

• Evaluate risks against a pre-defined risk scale

ISO 17799:2005ISO 17799:2005 Controls and RTP Controls and RTP• 133 Separate Controls and 11 domains capturing all

aspects of information security—a number of controls assist with implementing an ISMS

• ISO 17799:2005 contains guidance on how to implement these controls

• Risk Management is the cornerstone of the ISO 17799:2005 approach to designing a comprehensive information security program

• In developing a Risk Treatment Plan (RTP), you will select controls that assist in mitigating the risks you identified and you will also decide which risks your organization will accept, transfer or avoid

PDCA ModelPDCA Model

• Plan—Establish the ISMS• Do—Implement and Operate the ISMS• Check—Monitor and Review the ISMS• Act—Maintain and Improve the ISMS

PLAN-Establish PLAN-Establish Your ISMSYour ISMS

First Steps (Prerequisites):

– Procure the ISO/IEC 27001:2005 standard.

– Obtain full executive management support.

– Define the Scope and Boundary of the ISMS.

– Define an ISMS Policy.

– Define the risk assessment approach

PLAN-Establish PLAN-Establish Your ISMSYour ISMS

• Identify, analyze and evaluate the risks to the assets identified in your scope.

• Identify and evaluate risk treatment options.

• Select controls and control objectives and reasons for selection.

• Obtain management approval of the proposed residual risks.

• Obtain management authorization to implement and operate ISMS.

• Prepare a “statement of applicability”.

DO Phase-Implement DO Phase-Implement Your ISMSYour ISMSImplementation of the ISMS:– Formulate a Risk Treatment Plan (RTP)– Implement your RTP– Implement selected controls to meet your

control objectives– Define metrics to measure the

effectiveness of your controls– Implement a training and awareness

program

DO Phase-Operate DO Phase-Operate Your ISMS Your ISMS

Operation of the ISMS:– Manage operations in accordance with

identified controls, policies and procedures– Manage resources and ensure that there

are sufficient resources to operate, monitor, review, maintain and improve the ISMS

– Implement procedures and controls to manage incidents

CHECK Phase-MonitorCHECK Phase-Monitor and Review Your ISMS and Review Your ISMS

Execute monitoring and review procedures:

– Documentary evidence of monitoring such as logs, records, files

– Measure effectiveness (metrics)– Review risk assessments– Conduct internal ISMS audits– Management Reviews– Update Security Plans– Record actions and events

ACT Phase-MaintainACT Phase-Maintain and Improve the ISMS and Improve the ISMS

‘Shall’ statements in the standard apply to this phase::– Implement identified improvements– Take appropriate corrective and preventive

actions– Communicate actions & improvements to

interested parties– Ensure improvements meet objectives

ISMS DocumentationISMS Documentation Requirements Requirements

• Statements of policy and objectives• Scope and boundaries• Procedures and controls• Description of Risk Assessment Methodology• Risk Assessment Report and RTP• Metrics• Objective evidence • SOA

Four Required ProcessesFour Required Processes These processes are also required to be

documented:

• Document control• Internal audits• Corrective Actions• Preventive Actions

Governance TrainingGovernance Training

• BSI Americas ISO/IEC 27001:2005 Implementation Course

– http://www.bsiamericas.com/TrainingInformationSecurity/index.xalter

• HISP (Holistic Information Security Practitioner) Training/Certification– http://www.hispcertification.org

Compliance VS CertificationCompliance VS Certification• ISO/IEC 17799:2005 Compliance:

– Users of the ISO/IEC 17799:2005 framework need to carry out a risk assessment to identify which controls are relevant to their own business environment and implement them.

– The framework uses the word “should”.

• ISO/IEC 27001:2005 Certification: – This process involves the auditing of an ISO/IEC 17799:2005

compliant ISMS to the requirements of ISO/IEC 27001:2005.– The standard uses the word “shall”.– The ISMS will be audited by an accredited certification body

such as Certification Europe, British Standards Institute, Lloyds, KPMG or BVQI.

Other ConsiderationsOther Considerations

– The ISO/IEC 17799:2005 and 27001:2005 standards provide a comprehensive ‘umbrella’ framework for your information security program

• Compatible with other standards and guidelines

• Assist with compliance

• Meant to be a long term endeavor

• Favor incremental deployment of controls

• Assist in integrating business requirements with IT and information security goals/objectives

• Help you to prioritize areas of greatest risk/need

GRC SoftwareGRC Software• Automated help with risk assessments

and treatment plans, incident response, BIA and asset management– Proteus Enterprise:

http://infogov.co.uk

Automated help with Security & Compliance Gap Analysis based on the HISP methodology

– Compliantz Health Check: https://www.compliancehealthcheck.com

ReferencesReferences

– ISO/IEC 27001:2005– BS 7799-3:2006 (Risk Mgt)– BIP 0071-0074 (ISMS Guidance Series from

BSI)– ISO/IEC 17799:2005 (Controls)– http://www.praxiom.com/iso-27001.htm

(ISO/IEC 27001:2005 in plain English)– http://www.praxiom.com/iso-17799-2005.htm

(ISO/IEC 17799:2005 in plain English)

Questions?Questions?

Tammy Clark tlclark@gsu.edu

William Monahan istwcm@langate.gsu.edu

T

Copyright Tammy L. Clark, June 2007. Permission is granted for this material to be shared for non-commercial, educational purposes, provided that this copyright statement appears on the reproduced

materials and with permission of author.