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and outlines the procedures that should be used to elicit compliance. An advisory policy discusses behaviors and activities that are acceptable and defines consequences of violations. It explains senior management’s desires for security and compliance within an organization. Most policies are advisory. An informative policy is designed to provide information or knowledge about a specific subject, such as company goals, mission statements, or how the organization interacts with partners and customers. An informative policy provides support, research, or background information relevant to the specific elements of the overall policy.

      From the security policies flow many other documents or subelements necessary for a complete security solution. Policies are broad overviews, whereas standards, baselines, guidelines, and procedures include more specific, detailed information on the actual security solution. Standards are the next level below security policies.

       Security Policies and Individuals

      As a rule of thumb, security policies (as well as standards, guidelines, and procedures) should not address specific individuals. Instead of assigning tasks and responsibilities to a person, the policy should define tasks and responsibilities to fit a role. That role is a function of administrative control or personnel management. Thus, a security policy does not define who is to do what but rather defines what must be done by the various roles within the security infrastructure. Then these defined security roles are assigned to individuals as a job description or an assigned work task.

       Acceptable Use Policy

      An acceptable use policy is a commonly produced document that exists as part of the overall security documentation infrastructure. The acceptable use policy is specifically designed to assign security roles within the organization as well as ensure the responsibilities tied to those roles. This policy defines a level of acceptable performance and expectation of behavior and activity. Failure to comply with the policy may result in job action warnings, penalties, or termination.

Security Standards, Baselines, and Guidelines

      Once the main security policies are set, then the remaining security documentation can be crafted under the guidance of those policies. Standards define compulsory requirements for the homogenous use of hardware, software, technology, and security controls. They provide a course of action by which technology and procedures are uniformly implemented throughout an organization. Standards are tactical documents that define steps or methods to accomplish the goals and overall direction defined by security policies.

      At the next level are baselines. A baseline defines a minimum level of security that every system throughout the organization must meet. All systems not complying with the baseline should be taken out of production until they can be brought up to the baseline. The baseline establishes a common foundational secure state on which all additional and more stringent security measures can be built. Baselines are usually system specific and often refer to an industry or government standard, like the Trusted Computer System Evaluation Criteria (TCSEC) or Information Technology Security Evaluation and Criteria (ITSEC) or NIST (National Institute of Standards and Technology) standards.

      Guidelines are the next element of the formalized security policy structure. A guideline offers recommendations on how standards and baselines are implemented and serves as an operational guide for both security professionals and users. Guidelines are flexible so they can be customized for each unique system or condition and can be used in the creation of new procedures. They state which security mechanisms should be deployed instead of prescribing a specific product or control and detailing configuration settings. They outline methodologies, include suggested actions, and are not compulsory.

Security Procedures

      Procedures are the final element of the formalized security policy structure. A procedure is a detailed, step-by-step how-to document that describes the exact actions necessary to implement a specific security mechanism, control, or solution. A procedure could discuss the entire system deployment operation or focus on a single product or aspect, such as deploying a firewall or updating virus definitions. In most cases, procedures are system and software specific. They must be updated as the hardware and software of a system evolve. The purpose of a procedure is to ensure the integrity of business processes. If everything is accomplished by following a detailed procedure, then all activities should be in compliance with policies, standards, and guidelines. Procedures help ensure standardization of security across all systems.

      All too often, policies, standards, baselines, guidelines, and procedures are developed only as an afterthought at the urging of a consultant or auditor. If these documents are not used and updated, the administration of a secured environment will be unable to use them as guides. And without the planning, design, structure, and oversight provided by these documents, no environment will remain secure or represent proper diligent due care.

      It is also common practice to develop a single document containing aspects of all these elements. This should be avoided. Each of these structures must exist as a separate entity because each performs a different specialized function. At the top of the formalization security policy documentation structure there are fewer documents because they contain general broad discussions of overview and goals. There are more documents further down the formalization structure (in other words, guidelines and procedures) because they contain details specific to a limited number of systems, networks, divisions, and areas.

      Keeping these documents as separate entities provides several benefits:

      ■ Not all users need to know the security standards, baselines, guidelines, and procedures for all security classification levels.

      ■ When changes occur, it is easier to update and redistribute only the affected material rather than updating a monolithic policy and redistributing it throughout the organization.

      Crafting the totality of security policy and all supporting documentation can be a daunting task. Many organizations struggle just to define the foundational parameters of their security, much less detail every single aspect of their day-to-day activities. However, in theory, a detailed and complete security policy supports real-world security in a directed, efficient, and specific manner. Once the security policy documentation is reasonably complete, it can be used to guide decisions, train new users, respond to problems, and predict trends for future expansion. A security policy should not be an afterthought but a key part of establishing an organization.

There are a few additional perspectives to understand about the documentation that comprises a complete security policy. Figure 1.6 shows the dependencies of these components: policies, standards, guidelines, and procedures. The security policies are the foundation of the overall structure of organized security documentation. Then, standards are based on those policies as well as mandated by regulations and contracts. From these the guidelines are derived. Finally, procedures are based on the three underlying layers of the structure. The inverted pyramid is used to convey the volume or size of each of these documents. There are typically significantly more procedures than any other element in a complete security policy. Comparatively, there are fewer guidelines than policies, fewer still standards, and usually even fewer still of overarching or organization-wide security policies.

Figure 1.6 The comparative relationships of security policy components

      Understand and Apply Threat Modeling

      Threat modeling is the security process where potential threats are identified, categorized, and analyzed. Threat modeling can be performed as a proactive measure during design and development or as a reactive measure once a product has been deployed. In either case, the process identifies the potential harm, the probability of occurrence, the priority of concern, and the means to eradicate or reduce the threat.

      Threat modeling isn’t meant to be a single event. Instead it’s common for an organization to begin threat modeling early in the design process of a system and continue throughout its life cycle. For example, Microsoft uses a Security Development Lifecycle (SDL) process to consider and implement security at each stage of a product’s development. This supports the motto of “Secure by Design, Secure by Default, Secure in Deployment

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