- Analyze information security systems compliance requirements within the Workstation and LAN Domains.
- Design and implement ISS compliance within the LAN-to-WAN and WAN domains with an appropriate framework.
As auditors, we presume that no data produced on a computer is 100% secure regardless of whether it’s a standalone device or connected to a local area network (LAN) or a wide area network (WAN). Organizations implement controls, which are developed and implemented based on regulations and best security practices. Security is implemented throughout an organizations enterprise – from the host the user sits and throughout the devices data traverses or is stored. Here’s an example of a basic enterprise and the security controls that may be implemented. Remember, controls can be physical or logical devices, software or encryption.
Often as a cost savings measure, services such as security, web content filtering, storage, IP telephony, Software licensing (SaaS) and others can be outsourced to a third party vendor. An agreement is made between the organization and the vendor on the expected requirements and documented in the contract. These requirements are known as Service Level Agreements (SLA).At no point does an organization relieve itself of regulatory requirements for data protection by contracting it out to a third party or organization external to itself. Regulatory controls must be incorporated into the SLA’s and audited by the company contracting services out to ensure compliance. Repercussions for not meeting SLA requirements should also be included in the SLA.
Read the scenario below and complete the associated worksheet.
Tidewater LLC is an organization that produces and sells apparel for men, women and children online. The company has grown 70% over the past 2 years and is building a new facility to support the continued growth. All current services with the exception of managing their website are hosted by various third party vendors. Because of the growth, the leadership within the organization has not been able to validate compliance of the SLA’s and feel that the vendors do not have the best interest of Tidewater LLC in mind. Currently, there is a CIO and web developer acting as the IT staff.
Tidewater LLC is in the process of recovering all IT services into the server facility being housed in their new facility. Tidewater LLC wishes establish and staff an IT department with a system administrator, network administrator, two general technicians, cyber security specialist and a full time system auditor.
The new office is a 2000sqft open office with the server room located in an adjacent room. Hardware supporting the organizations IT services include 100 desktop computers supporting the staff, network switches, routers, a firewall, Maciffy Security Appliance to provide intrusion detection, prevention and antivirus protection, Network Attached Storage (NAS) for users to have a home drive as well as a shared networked drive for collaboration and sharing, an IIS server for website management and a call manager for VoIP. Wi-Fi access points will be added as the network installation progresses. Email will be managed by an exchange server. The only service outsourced is a100mbps connection for Internet and VPN’s between the organization and its suppliers.
Current employees are assigned desk with computer. There are no prerequisite requirements such as training for users to have accounts created. All data is stored by a third party vendor in a shared environment. No controls are implemented to prevent any user from accessing any other user’s files or folders.
You’ve been retained as an organizations auditor and your first task is to determine what controls need to be implemented so that the organization achieves a high level of sustained security and compliance. Utilizing the NIST 800-53A, develop a control sheet that the organization should implement and will not impede with the organization’s mission. This control sheet should encompass controls that apply to the users and systems within the organization. You will brief these controls to the CEO and CIO and explain why you choose these controls and any impact it will have to the organization.
From the Access Control (AC) family of the NIST 800-53A, select three controls you would recommend be implemented.