NIST Special Publication 800-100 Information Security Handbook: A Guide for Managers Recommendations of the National Institute of Standards and Technology Pauline Bowen Joan Hash Mark Wilson I N F O R M A T I O N S E C U R I T Y Computer Security Division Information Technology Laboratory National Institute of Standards and Technology Gaithersburg, MD 20899-8930 October 2006 U.S. Department of Commerce Carlos M. Gutierrez, Secretary Technology Administration Robert Cresanti, Under Secretary of Commerce for Technology National Institute of Standards and Technology William Jeffrey, Director Reports on Information Systems Technology The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology promotes the U.S. economy and public welfare by providing technical leadership for the Nation's measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof-of-concept implementations, and technical analyses to advance the development and productive use of information technology. ITL's responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the cost-effective security and privacy of nonnational-security-related information in federal information systems. This Special Publication 800 series reports on ITL's research, guidelines, and outreach efforts in information system security and its collaborative activities with industry, government, and academic organizations. iii Authority This document has been developed by the National Institute of Standards and Technology (NIST) in furtherance of its statutory responsibilities under the Federal Information Security Management Act (FISMA) of 2002, Public Law 107-347. NIST is responsible for developing standards and guidelines, including minimum requirements, and for providing adequate information security for all agency operations and assets, but such standards and guidelines shall not apply to national security systems. This guideline is consistent with the requirements of the Office of Management and Budget (OMB) Circular A-130, Section 8b(3), Securing Agency Information Systems, as analyzed in A-130, Appendix IV: Analysis of Key Sections. Supplemental information is provided A-130, Appendix III. This guideline has been prepared for use by federal agencies. It may also be used by nongovernmental organizations on a voluntary basis and is not subject to copyright regulations. (Attribution would be appreciated by NIST.) Nothing in this document should be taken to contradict standards and guidelines made mandatory and binding on federal agencies by the Secretary of Commerce under statutory authority. Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of the OMB, or any other federal official. Certain commercial entities, equipment, or materials may be identified in this document in order to describe an experimental procedure or concept adequately. Such identification is not intended to imply recommendation or endorsement by NIST, nor is it intended to imply that the entities, materials, or equipment are necessarily the best available for the purpose. Acknowledgements NIST would like to thank the many people who assisted with the development of this handbook. NIST management officials who supported this effort include: Joan Hash, William C. Barker, Elizabeth Chew, and Matthew Scholl. The authors would like to thank Elizabeth Lennon, Alicia Clay, Elizabeth Chew, Richard Kissel, Carol Schmidt, Matthew Scholl, and Patricia Toth who assisted with reviewing this Handbook and provided comments and suggestions for improvement. Additional drafters of Handbook chapters include: Ron Ross, Tim Grance, and Marianne Swanson, NIST. Nadya Bartol, Joe Nusbaum, Laura Prause, Will Robinson, Karen Kent, and Randy Ewell, BAH, In addition, special thanks are due those contractors who helped craft the Handbook, prepare drafts, and review materials: Nadya Bartol of Booz, Allen, Hamiliton (BAH), served as Project Manager for BAH on this project. In addition, many BAH employees contributed to the Handbook, including: Anthony Brown, Linda Duncan, Gina Jamaldinian, Sedar Labarre, Ines Murphy, Steven Peck, Mike Kapetanovic, Michael Rohde, Jacob Tsizis, Aderonke Adeniji, and Marge Spanninger. The authors also gratefully acknowledge and appreciate the many contributions from individuals in the public and private sectors whose thoughtful and constructive comments improved the quality and usefulness of this publication. v Errata The following changes have been incorporated into Special Publication 800-100. 1. Chapter 10 Risk Management, Figure 10-1. Risk Management in the System Security Life Cycle diagram has been modified to remove numbers from diagram and to show the steps clearly in the risk management process in the system security life cycle. 2. Chapter 10 Risk Management, Table 10-1. Risk Level Matrix has been modified to correct the math in the diagram. vi Table of Contents Table of Contents 1. Introduction .................................................................................................... 1 1.1 Purpose and Applicability............................................................................................ 1 1.2 Relationship to Existing Guidance............................................................................... 1 1.3 Audience ..................................................................................................................... 1 2. Information Security Governance.................................................................... 2 2.1 Information Security Governance Requirements ........................................................ 2 2.2 Information Security Governance Components .......................................................... 5 2.2.1 Information Security Strategic Planning............................................. 6 2.2.2 Information Security Governance Structures ...................................... 7 2.2.3 Key Governance Roles and Responsibilities ........................................ 8 2.2.3.1 Agency Head ...................................................................... 9 2.2.3.2 Chief Information Officer...................................................... 9 2.2.3.3 Senior Agency Information Security Officer............................. 9 2.2.3.4 Chief Enterprise Architect ................................................... 10 2.2.3.5 Related Roles ................................................................... 11 2.2.4 Federal Enterprise Architecture (FEA).............................................. 12 2.2.5 Information Security Policy and Guidance ........................................ 14 2.2.6 Ongoing Monitoring ...................................................................... 14 2.3 Information Security Governance Challenges and Keys to Success ........................ 17 3. System Development Life Cycle ..................................................................... 19 3.1 Initiation Phase.......................................................................................................... 19 3.2 Development/Acquisition Phase................................................................................ 20 3.3 Implementation Phase............................................................................................... 20 3.4 Operations/Maintenance Phase................................................................................ 21 3.5 Disposal Phase ......................................................................................................... 21 3.6 Security Activities within the SDLC ........................................................................... 22 4. Awareness and Training ................................................................................ 26 4.1 Awareness and Training Policy................................................................................. 27 4.2 Components: Awareness, Training, Education, and Certification ............................. 28 4.2.1 Awareness .................................................................................. 28 4.2.2 Training...................................................................................... 29 4.2.3 Education.................................................................................... 29 4.2.4 Certification................................................................................. 29 4.3 Designing, Developing, and Implementing an Awareness and Training Program .... 30 4.3.1 Designing an Awareness and Training Program................................. 31 4.3.2 Developing an Awareness and Training Program ............................... 31 4.3.3 Implementing an Awareness and Training Program ........................... 31 4.4 Post-Implementation ................................................................................................. 32 4.4.1 Monitoring Compliance.................................................................. 32 4.4.2 Evaluation and Feedback............................................................... 33 4.5 Managing Change..................................................................................................... 33 4.6 Program Success Indicators ..................................................................................... 33 5. Capital Planning and Investment Control .....................................................