IT Security Metrics A Practical Approach to Measuring Information Security:

1. IT Security Metrics A Practical Approach to Measuring Information Security: Measuring Security at the System Level

2. Introduction

3. IT Security Metrics Training • Audience: Federal IT security personnel with GISRA reporting responsibilities • Goal: To train Federal IT security personnel how to develop metrics that they can use immediately to assist with GISRA reporting • Duration: 3 hours

4. Objectives • After completing this workshop, you will be able to: • Identify why metrics are important for IT security • Identify the relationship among GISRA, NIST SP 800-26, and IT Security Metrics • Describe IT Security Metrics • Describe metrics development process • Apply metrics development process by completing a Metrics Form for one of the OMB GISRA reporting requirements for FY02 • Identify metrics-related Roles and Responsibilities • Describe how to implement a Metrics Program

5. Metrics Development

6. In this section, you will: • Learn the definition and characteristics of IT Security Metrics • Identify the difference between Performance Goals and IT Security Metrics • Learn the seven-step IT Security Metrics Development Process • Discover the types of information and insights that can be gained from IT Security Metrics • Complete three examples of IT Security Metrics

7. What are IT Security Metrics? • IT Security Metrics are tools that facilitate decision making and accountability through collection, analysis, and reporting of relevant performance data. • Based on IT security performance goals and objectives • Quantifiable • Obtainable/feasible to measure • Repeatable • Provide relevant performance trends over time • Useful in tracking performance and directing resources

8. Why Measure IT Security? Categories Requirements Benefits • Government Information Security Reform Act (GISRA) • Clinger-Cohen Act • Government Paperwork Reduction Act (GPRA) • Satisfy regulatory requirements Regulatory • Measure successes and failures ofpast and current security investments • Justify future investments • Enable investment targeting to identified areas in need • Ensure best value from security Financial • Build confidence in leadership • Demonstrate improvement to stakeholders • Play key role in initiating improvementactions based on performance trends • Enable relevant, realistic, appropriatesecurity procedure modification • Improve accountability to stakeholders • Ensure appropriate level of mission support • Determine IT security program effectiveness • Improve customer confidence Organizational

9. IT Security Metrics should support IT security goals and objectives • IT Security Performance Goals identify desired results of system security program implementation. • IT Security Performance Objectives enable accomplishment of goals by: • Identifying strategic practices, defined by security policies, procedures, and controls • Directing consistent implementation of policies and procedures across the organization • IT Security Metrics monitor accomplishment of goals and objectives by: • Quantifying the level of implementation of security control objectives and techniques for a system and the effectiveness and efficiency of the controls within the organization • Using analysis of collected IT Security Metrics to determine adequacy of security activities and make appropriate business decisions

10. Exercise: Performance Goal or IT Security Metric? IT Security Metric Statement Performance Goal Program Officials understand the risk to systems undertheir control and determine the acceptable level of risk. . Percentage of system security plans that areupdated annually. . Duties are separated to ensure least privilegeand individuals accountability. Percentage of systems with automated virus updating. Data integrity and validation controls are used to provide assurance that the information has not beenaltered and the system functions as intended.

11. Metrics development is a seven step process

12. The focus of the metrics program depends on IT security program maturity

13. Stakeholders and Interests • Anyone within an organization is an IT security stakeholder, though some functions have a greater stake than others: • CIO • Program Manager/System Owner • Security Program Manager • Resource Manager • Training/Human Resources Personnel • Each stakeholder needs a set of metrics that provides a view of the organization’s IT security performance within their needs, for a total of no more than 10-20 metrics per stakeholder • Many IT Security Metrics can be created to measure each aspect of the organization’s IT security. Selecting the most critical elements of the organization’s IT security program during metrics prioritization will make the program manageable and successful

14. IT Security Performance Goals and Objectives • IT security performance goals and objectives are expressed in the form of high level policies and requirements in many laws, regulations, policies, and guidance that describe the dimensions of an effective IT security program: • Clinger Cohen Act • Presidential Decision Directives 63 • Government Information Security Reform Act (GISRA) • OMB Circular A-130, Appendix III • Critical Elements within NIST Special Publication 800-26 • Federal Information Security Compliance Audit Manual (FISCAM)

15. IT Security Policies, Guidance, and Procedures • Some Federal guidance and agency-specific policies and procedures provide more detailed information specific to the agency: • NIST SP 800-12, 800-14 • Agency-specific policy and guidance • Subordinate questions within NIST Special Publication 800-26

16. System Security Program Implementation • System Security implementation includes: • Processes and procedures in place • Existing capabilities • Areas for improvement • Existing metrics • Existing data sources that can be used to derive metrics data • These may be documented in the following sources: • System Security Plans • OMB Plan of Actions and Milestones (POA&M) reports • Latest GAO and IG findings • Tracking of security-related activities • Risk assessments and penetration testing results

17. Metrics can describe three aspects of IT security program operations and management Business Impactcan be measured through correlation analysis oncean organization’s processes are self-regenerating andmeasurement data gathering is transparent. 7 Level of Implementation: Most organizations are new to measuring IT security with performance metrics. They will begin by measuring level of implementation of its security policies and procedures. Instituting a metrics program is the first step to process maturity. Security Program Effectiveness and Efficiency:As an organization’s process maturity increases and performance data becomes more readily available, metrics will focus on program efficiency and effectiveness.

18. It is important to record the specifics of each metric for the purposes of data analysis and possible metric reuse Metric Describes the overall functionality obtained by collecting the metric Purpose Purpose Defines the metric by describing the quantitative measurement(s) provided by the metric Metric ImplementationEvidence Specific questions that will need to be answered via survey or through automatic data gathering to be able to calculate the metric Survey Question(s) Frequency Proposes the periods for collection of data to be used for measuring changes over time. Suggested time periods are based on likely updates occurring in the applicable process Formula Describes the calculation to be performed that results in a numeric expression of a metric Frequency Formula Data Source Lists the location of the data to be used in calculating the metric Target Indicators Provides information about the meaning of the metric and its performance trend. Proposes possible causes of trends, identified through measurement, and points at possible solutions to correct observed shortcomings

19. Insufficient human, monetary, or other resources can be causing negative performance trends Lack of appropriate training for the personnel installing, administering, maintaining, or using the systems Security patches that have been removed during the operating system upgrades New or upgraded systems that are not configured with all required security settings and patches Security patches or upgrades that are incompatible with software applications supported by the system Lack of management awareness and/or commitment to security Lack of policies and procedures that are required to ensure existence, use, and audit of required security functions Poor system and security architectures that make systems vulnerable Inefficient planning processes that influence the metrics (including communication processes necessary to direct organizational actions) Metrics can help identify causes of poor performance, including: Examples Areas Resources Training System Upgrades Configuration Management Practices Software Compatibility Awareness and Commitment Policies and Procedures Architectures Inefficient Processes

20. Employees sign employee agreements stating that they have read and understood rules of behavior New employee training is conducted Rules of Behavior areincluded in training Policies and Procedures discussionincluded in training Annual refresher training is conducted How does NIST SP 800-26 relate to metrics? Critical Element: PerformanceGoal 13.1. Have employees received adequatetraining to fulfill their security responsibilities? Subordinate Questions: 13.1.3 Is there a mandatory annual refresher training? 13.1.1 Have employees received a copy ofthe Rules of Behavior? PerformanceObjectives 13.1.4 Are methods employed to make employees aware ofsecurity, i.e., posters, booklets? 13.1.5 Have employeesreceived a copy ofor have easy access toagency security procedures and policies? Implementation Evidence % of employees who signed employee agreements % of employees who received annual refresher training Metrics % of new employees who underwent security awareness training . . .

21. Example 1: Security Awareness, Training, and Education (Implementation) Critical Element 13.1 Have employees received adequate training to fulfill their security responsibilities? Subordinate Questions 13.1.1 Have employees received a copy of Rules of Behavior? 13.1.5 Have employees received a copy of or have easy access to agency security procedures and policies? Metric Percentage employees who underwent initial IT security awareness training To determine the number of new employees who underwent required IT security awareness training, including receiving a copy of Rules of Behavior and security policies and procedures. Purpose 1. Is security awareness training required for new employees? Yes No ImplementationEvidence 2. Do employees receive a copy of Rules of Behavior as a part of their training? Yes No 3. Do employees receive a copy of policies and procedures or a summary with references as a part of their training? Yes No 4. How many new employees joined your organization during current past reporting period? Fill in the blank____________ How many of those took the training? Fill in the blank______________ Semi-Annually Frequency Formula If response to 1-3 was “Yes” % = (# who took training) / (Total # of new employees) Data Source Security awareness training tracking by the responsible office, or manual or automated system. Security awareness training is effective when it includes specific information on rules of behavior and information on security policies and procedures. This metric validates the content of training and determines the percentage of employees who took the training. High numbers close to 100% are highly desirable. Having employees who do not understand the security implications of their actions significantly increases the number of security incidents caused by insiders. This may also increase the opportunities for unauthorized access to systems caused by staff not following security policies and procedures. Indicators

22. Example 2: Incident Response Capability (Efficiency) Critical Element 14.1 Is there a capability to provide help to users when a security incident occurs in the system? Subordinate Question 14.1.3 Are incidents monitored and tracked until resolved? Elapsed time between when an incident is reported and when affected partiesare notified of a problem. Metric To determine how long it takes to notify users of incidents Purpose What is an average number of hours that it takes to notify users that may be affected by a reported incident? ImplementationEvidence Under 1 Under 24 Over 24 Under 12 Monthly Frequency At the program, level average time = weighted average among all responses Formula Incident Response Database Data Source Users should be notified of a problem as quickly as possible. A delay in notification time may point to a lack of incident monitoring and tracking until resolution. Higher number points to inefficiency in (or lack of) a notification process. This metric can also be calculated as percentage of all incidents that are communicated to affected parties within 1 hour, 12 hours, 24 hours, and over 24 hours. Indicators

23. Example 3: Hardware and System Software Maintenance (Implementation) Critical Element 10.3. Are systems managed to reduce vulnerabilities? Subordinate Question 10.3.2 Are systems periodically reviewed for known vulnerabilities and software patches promptly installed? Metric Percentage of systems with latest patches installed To quantify the level of risk exposure caused by the lack of current security patch implementation Purpose • Is regular vulnerability scanning conducted? ImplementationEvidence Yes No 2. How many components are scanned every time? Fill in the blank ________ 3. How many of those had up-to-date patches during the last scanning cycle? Fill in the blank ________ 4. If your answer to question 1 was “no”, what was the reason? Insufficient staff Insufficient funding Superseding other priorities Frequency Monthly (# components with up-to-date patches)/(Total # of components) Formula Data Source Regular Vulnerability Scanning This metric monitors compliance with applicable patches and provides useful information about the level of risk exposure at a system level. The goal in this case is 100%. The desired trend for this metric is downward. Question 3 identifies why a patch compliance validation process may be lacking and points at specific corrective actions to facilitate establishment of such process. Indicators

24. Based on IT security performance goals and objectives: NIST SP 800-26 Critical Elements and Subordinate Questions are used to derive performance goals and objectives Quantifiable: Metrics should yield quantitative rather than qualitative information to increase the objectivity and validity of data Obtainable/Feasible to measure: Metrics data should be available or easily collected through interviewing or by accessing data repositories. If a metric requires significant modification of agency processes or implementing a new tool, data collection may not be feasible at this time Repeatable: Measurements should be able to be repeated in a standard way at predetermined intervals to identify trends or identify if positive changes have occurred as a result of corrective actions Provide relevant performance trends over time: Repeated measurements reveal change in a timely manner Useful in tracking performance and directing resources: Metrics should be useful to stakeholders and should yield information that is important in financial decision making Metrics Development Criteria: What is a Good Metric?

25. Breakout Session

26. Breakout Session • Goal: To complete a Metric Form for one of the metrics that is required for GISRA reporting for FY 2002. This includes identifying the NIST SP 800-26 Critical Element and Subordinate Question that map to the specific GISRA question from OMB guidance. • Duration: 30 minutes • Method: • Read the metric your Breakout Group is assigned • Select the NIST SP 800-26 Critical Element that includes your metric • Select the Subordinate Question within the Critical Element that maps to your metric. Remember, a single metric can use more than one Subordinate Question • Complete the Metric Form’s sections, giving particular attention to what implementation evidence may exist that corresponds to your Subordinate Question • Follow up: Each Group will have five minutes to brief their Form to the other groups. This brief should include: • The metric your Breakout Group was assigned • The Critical Element and Subordinate Question that maps to your metric. • The completed Metric Form, including implementation evidence and indicators. A list of possible sources of the data you need to uncover for your metric

27. Critical Element: Subordinate Question: Metric Purpose ImplementationEvidence Frequency Formula Data Source Indicators

28. Metrics Program Implementation

29. In this section, you will: • Receive an introduction to the IT Security Metrics-related roles and responsibilities • Learn the steps involved in IT Security Metrics program implementation by learning the process and following an example through the process

30. Multiple success factors can influence quality and sophistication of IT Security Metrics (slide 1 of 2) • Ensure that IT Security Metrics Program is manageable: • Use no more than 10-20 metrics at a time, based on current priorities • Phase old metrics out and phase new metrics in when performance targets are reached or when requirements change • Ensure acceptable quality of data: • Data collection methods and data repositories should be standardized • Events must be reported in a standard manner throughout the organization and the results of such reports need to be stored in the data repository

31. Multiple success factors can influence quality and sophistication of IT Security Metrics (slide 2 of 2) • Obtain organizational acceptance: • Metrics need to be validated with organization’s stakeholders within headquarters and in the field • Metrics should be vetted through appropriate approval channels • Ensure that metrics are useful and relevant: • Useful data should be collected • Not all data are useful

32. Responsibility for Organizational Acceptance of Metrics Program Responsibility for Metrics Data Collection and Data Accuracy Metrics-related roles and responsibilities are dispersed throughout an organization

33. Each organization will implement a metrics program specific to its needs • Tailor to organization and business processes • Identify IT Security Metrics-related stakeholder roles and responsibilities • Lay out required infrastructure changes, such as creation of web-based data collection tools and of new data repositories • Identify required modifications of the current data sources • Define data reporting formats

34. Output from standard security activities can be used to quantify IT security performance • Incident Handling • Testing • Network Management • Audit Logs • Network and System Billing • Configuration Management • Contingency Planning • Training • Certification and Accreditation IT Security Metrics data collection must be as transparent and non-intrusive as possible.

35. IT Security Metrics Program Implementation Process • Analyze collected data • Conduct gap analysis - Identify gaps between actual and desired performance • Identify reasons for undesired results • Identify areas requiringimprovement • Determine range of corrective actions • Select most appropriate corrective actions • Prioritize corrective actions based on overall risk mitigation goals • Develop cost model - Project cost for each corrective action • Perform sensitivity analysis • Develop business case • Prepare budget submission • Identify stakeholders • Determine goals / objectives • Review existing metrics • Develop new metrics • Identify data collection methods and tools • Collect metrics • Track progress • Report as required • Management • Operational • Technical • Budget allocated • Available resources prioritized • Resources assigned

36. Process Implementation Example Lack of IT security refreshertraining may be causing weakpasswords, identified bya password cracker that isrun regularly. Employees should be required to take annual IT security refresher training as part of their annual review process. Since annual refresher training has ceased, the number of weak passwords has increased by 50%. Only 5% of employees receive annual IT security refresher training. Since the training was re-instituted, the percentageof weak passwords hasdecreased by 40% Annual refresher training,an operational control,is instituted. • A budget submission detailingmetrics findings related to annual IT security refresher training was submitted, and funding received.

37. Summary • Discussed why Metrics are important for IT security • Obtained understanding of the relationship between GISRA, NIST SP 800-26, and IT Security Metrics • Described IT Security Metrics • Described the Metrics Development Process • Created metrics to be implemented at a system level through applying metrics development process • Discussed metrics-related Roles and Responsibilities • Described how to implement a Metrics Program

38. Next Steps • You can immediately use what you have learned today to propose some metrics within your agency • Notes of the workshop will be published in two weeks • You can use the three metrics presented during the workshop and those that we developed together for your GISRA submission • Metrics Guidance first draft will be published by September 30, 2002 • Please contact Marianne Swanson if you have any questions at marianne.swanson@nist.gov, 301-975-3293