Common RECON Recommended Controls

Report
Common RECON Recommended Controls
By conducting risk assessments on the diverse and highly complex nature of the University of Michigan’s computing
environments, some common RECON control recommendations are coming to light.
The following list of the most common recommended controls is designed to promote education and awareness
about these findings. Sharing this information is an attempt to proactively mitigate the risks associated with these
controls. While each RECON environment is unique, these best practices are most likely applicable to all campus
environments. Tailored how-to guidance for control implementation is provided for each control.
These controls cover 7 of the 18 RECON control families, the majority of which fall in the high threat potential
area. These represent a small sampling of the 140 controls reviewed in a RECON. The RECON framework is based
off of NIST 800-53 rev4.
Access Control – 3 controls
Audit and Accountability – 1 control
Configuration Management – 2 controls
Identification and Authentication – 2 controls
System and Information Integrity – 1 control
System and Services Acquisitions – 1 control
Contingency Planning – 1 control
Last revised October 30, 2014
Common RECON Recommended Controls
High Threat Potential
CONTROL
Access Control – 3 controls
The intent of this control family is to align with the premise that:
“Organizations must limit information system access to authorized users,
processes acting on behalf of authorized users, or devices (including other
information systems) and to the types of transactions and functions that
authorized users are permitted to exercise.”
CONTROL TITLE
AC-2
AC-3
ACCESS CONTROL POLICY AND
PROCEDURES
ACCOUNT MANAGEMENT
ACCESS ENFORCEMENT
AC-4
INFORMATION FLOW ENFORCEMENT
AC-5
AC-6
SEPARATION OF DUTIES
LEAST PRIVILEGE
AC-7
UNSUCCESSFUL LOGIN ATTEMPTS
AC-8
AC-9
AC-11
AC-12
SYSTEM USE NOTIFICATION
PREVIOUS LOGON
SESSION LOCK
SESSION TERMINATION
AC-14
PERMITTED ACTIONS WITHOUT
IDENTIFICATION OR AUTHENTICATION
AC-16
AC-17
AC-18
SECURITY ATTRIBUTES
REMOTE ACCESS
WIRELESS ACCESS
AC-19
ACCESS CONTROL FOR MOBILE DEVICES
AC-20
USE OF EXTERNAL INFORMATION
SYSTEMS
AC-22
PUBLICLY ACCESSIBLE CONTENT
AC-1
Common RECON Recommended Controls
AC-2 Account Management
Control Implementation Guidance:
Account management protocols that address the management of accounts, including the creating, activating,
modifying, review, disabling and removing of accounts, must be maintained. Accounts include: individual, group,
application and system accounts.
Administrators must be notified when:
1.
Personnel events that will affect account status (e.g., hiring, transfer or termination);
2.
Events that will affect the status of other types of accounts;
3.
Security incidents which compromise accounts and will require immediate action.
Reference the Institutional Data Resource Management Policy (SPG 601.12 ), Information Security Policy (SPG
601.27 ), and Privacy and the Need to Monitor and Access Records (SPG 601.11 ).
For additional information visit the Identity and Access Management website.
Common RECON Recommended Controls
AC-8 System Use Notification (Logon Banner)
Control Implementation Guidance:
Institute standard system use banner that references acceptable use policies, such as:
“By your use of these resources, you agree to abide by the Proper Use of Information Resources, Information
Technology, and Networks at the University of Michigan (SPG 601.07), Privacy and the Need to Monitor and Access
Records (SPG 601.11), in addition to all relevant state and federal laws.”
AC-9 Previous Logon Notification (Access)
Control Implementation Guidance:
Display the date, time, and preferably IP of the last successful user’s logon.
In the UMROOT Active Directory there is a domain controller GPO setting which can be enabled on the individual
systems. The setting is “Display information about previous logons during user logon”.
Common RECON Recommended Controls
High Threat Potential
CONTROL
CONTROL TITLE
AU-1
AUDIT AND ACCOUNTABILITY POLICY
AND PROCEDURES
The intent of this control family is to align with the premise that:
AU-2
AUDIT EVENTS
“Organizations must: (i) create, protect, and retain information system audit
AU-3
CONTENT OF AUDIT RECORDS
records to the extent needed to enable the monitoring, analysis,
AU-4
AUDIT STORAGE CAPACITY
investigation, and reporting of unlawful, unauthorized, or inappropriate
AU-5
RESPONSE TO AUDIT PROCESSING
FAILURES
AU-6
AUDIT REVIEW, ANALYSIS, AND
REPORTING
AU-7
AUDIT REDUCTION AND REPORT
GENERATION
AU-8
TIME STAMPS
AU-9
PROTECTION OF AUDIT
INFORMATION
Audit and Accountability – 1 control
information system activity; and (ii) ensure that the actions of individual
information system users can be uniquely traced to those users so they can
be held accountable for their actions.”
AU-11 AUDIT RECORD RETENTION
AU-12 AUDIT GENERATION
Common RECON Recommended Controls
AU-2 Audit Events (System and Application Logging)
Control Implementation Guidance:
Enable logging of security and/or auditing events on systems that store or process sensitive data.
Security events may include: account creation, account modification, password changes, failed or successful logon,
and file last access time. Note: While enabling file last access time is extremely beneficial in forensic investigations
there maybe system degradation in doing so, use this setting (fsutil behavior set
disablelastaccess 0) with caution.
Send security and/or audit logs to a centralized logging server.
A centralized logging server in your organization may be a simple syslog host or you could consider using a more
robust commercial product solution such as Splunk.
Examples of a particularly useful log file(s) to be sent to a syslog host include:
●
Windows systems Application, Security and System log files;
●
Mac systems the audit logs are usually located in /private/var/audit;
●
Linux hosts sudo action log file.
Common RECON Recommended Controls
High Threat Potential
CONTROL
Configuration Management – 2 controls
CM-1
CONTROL TITLE
CONFIGURATION MANAGEMENT
POLICY AND PROCEDURES
The intent of this control family is to align with the premise that:
CM-2 BASELINE CONFIGURATION
“Organizations must: (i) establish and maintain baseline configurations and
CM-4 SECURITY IMPACT ANALYSIS
inventories of organizational information systems (including hardware,
CM-6 CONFIGURATION SETTINGS
software, firmware, and documentation) throughout the respective system
CM-7 LEAST FUNCTIONALITY
development life cycles; and (ii) establish and enforce security configuration
settings for information technology products employed in organizational
information systems. “
CM-8
INFORMATION SYSTEM
COMPONENT INVENTORY
CM-10 SOFTWARE USAGE RESTRICTIONS
CM-11 USER-INSTALLED SOFTWARE
Common RECON Recommended Controls
CM-6 Configuration Settings
Control Implementation Guidance:
The system should have a configuration document or checklist that describes how the system is configured and
the system’s purpose/function.
The checklist should list IP information, any open ports, system accounts, patching testing and implementation
practices and describe the systems backup settings.
The system should also be monitored for any changes.
Tripwire is an open source solution for monitoring the changes in a systems environment. Reference:
http://sourceforge.net/projects/tripwire.
CM-7 Least Functionality
Control Implementation Guidance:
Only enable services in Information Systems that are deemed necessary for required business functions (services).
To confirm the open services/ports on a host, run an NMAP scan against the host. Reference: http://nmap.org
Supplemental Guidance: For example, do not enable a File Transfer Protocol server if there is no business need to
have a FTP (File Transfer Protocol) service. When applicable, consider using a secure protocol over a non secure
protocol. If there is a need for a file transfer service, consider the sFTP (Secure File Transfer Protocol).
Also, access should be limited to clients who actually need to utilize this service e.g., limit the incoming connections
from an approved IP address or authorized networks. For off-campus connections, consider restricting access to the
Virtual Private Network (VPN).
Common RECON Recommended Controls
High Threat Potential
Identification and Authentication – 2 controls
CONTROL
IA-1
The intent of this control family is to align with premise that:
“Organizations must identify information system users, processes acting on
IA-2
behalf of users, or devices and authenticate (or verify) the identities of those
users, processes, or devices, as a prerequisite to allowing access to
organizational information systems. “
IA-3
IA-4
IA-5
IA-6
IA-7
IA-8
CONTROL TITLE
IDENTIFICATION AND
AUTHENTICATION POLICY AND
PROCEDURES
IDENTIFICATION AND
AUTHENTICATION
ORGANIZATIONAL USERS
DEVICE IDENTIFICATION AND
AUTHENTICATION
IDENTIFIER MANAGEMENT
AUTHENTICATOR MANAGEMENT
AUTHENTICATOR FEEDBACK
CRYPTOGRAPHIC MODULE
AUTHENTICATION
IDENTIFICATION AND
AUTHENTICATION NONORGANIZATIONAL USERS
Common RECON Recommended Controls
IA-2 Identification and Authentication Organizational Users
Control Implementation Guidance:
Unique identifiers (uniqnames) should be used whenever possible.
Users must also abide by Identity Misrepresentation (SPG 601.19 ) along with Proper Use of Information Resources,
Information Technology, and Networks at the University of Michigan (SPG 601.07 ).
Enhanced consideration of two factor authentication should also be made.
The two factor solution at U-M is known as MToken. Two factor should be considered for use with administrator
and other privileged accounts and/or activities. Contact the ITS Service Center for assistance with installation.
IA-5 Authenticator Management (Passwords)
Control Implementation Guidance:
Do NOT use default passwords in systems and/or applications.
A process must be in place to ensure that default vendor passwords are changed prior to the deployment of the
devices or applications. Some operating systems and applications require you to set an initial password upon
installation.
Passwords should also meet the minimal standards as described in the ITS document Choosing and Changing a
Secure UMICH Password (R1162). Minimum standards include using nine or more characters, and having at least
three of these: lowercase, uppercase, numerals and punctuations. Also, the password must not be a simple phrase
or contain parts of your name.
User’s identity should be verified prior to receiving their initial password.
Shared group account passwords must be changed when staffing changes occur.
Common RECON Recommended Controls
High Threat Potential
System and Information Integrity – 1 control
CONTROL
SI-1
The intent of this control family is to align with the premise that:
“Organizations must: (i) identify, report, and correct information and
SI-2
SI-3
information system flaws in a timely manner; (ii) provide protection from
SI-4
malicious code at appropriate locations within organizational information
SI-5
systems; and (iii) monitor information system security alerts and advisories
SI-7
and take appropriate actions in response. “
SI-8
SI-12
CONTROL TITLE
SYSTEM AND INFORMATION
INTEGRITY POLICY AND
PROCEDURES
FLAW REMEDIATION
MALICIOUS CODE PROTECTION
INFORMATION SYSTEM
MONITORING
SECURITY ALERTS, ADVISORIES,
AND DIRECTIVES
SOFTWARE AND INFORMATION
INTEGRITY
SPAM PROTECTION
INFORMATION OUTPUT HANDLING
AND RETENTION
Common RECON Recommended Controls
SI-2 Flaw Remediation (Vulnerability Management)
Control Implementation Guidance:
System flaws are identified and corrected.
Preform ongoing patching of your systems and applications. To assist your flaw remediation processes vulnerability
scans may be requested by sending an email to: [email protected]
Procedures are followed for testing and implementing firmware and software updates.
Testing of software and firmware updates should be done prior to the deployment of the patches, especially to
production systems.
Flaw remediation should be incorporated into the configuration management processes.
There are various patch management methodologies which can be part of your configuration management
solution. An example for a Windows system would be the use of System Center Configuration Manager (SCCM). In
addition to (SCCM), Big Fix is used as a configuration management solution.
Common RECON Recommended Controls
Medium Threat Potential
CONTROL
System and Services Acquisitions – 1 control
SA-1
The intent of this control family is to align with the premise that:
SA-2
“Organizations must: (i) allocate sufficient resources to adequately protect
SA-3
organization information systems: (ii) employ system development life cycle
processes that incorporate information security considerations; (iii) employ
software usage and installation restrictions; and (iv) ensure that third-party
SA-4
SA-5
SA-9
CONTROL TITLE
SYSTEMS AND SERVICES
ACQUISITION POLICY AND
PROCEDURES
ALLOCATION OF RESOURCES
SYSTEM DEVELOPMENT LIFE
CYCLE
ACQUISITION PROCESS
INFORMATION SYSTEM
DOCUMENTATION
EXTERNAL INFORMATION SYSTEM
SERVICES
providers employ adequate security measures to protect information, applications, and/or services outsourced
from the organization.”
Common RECON Recommended Controls
SA-3 System Development Life Cycle
Control Implementation Guidance:
A system development life cycle should be developed and maintained which incorporates information security.
The earlier security controls are addressed within the development life cycle, the more effective their
implementation will be. It is much less costly to design security from the start, than to retrofit a system once it is
deployed.
IIA security consulting services can be ordered on the IT Services Portal: http://services.it.umich.edu/it-securityconsulting
Common RECON Recommended Controls
Medium Threat Potential
CONTROL
Contingency Planning – 1 control
The intent of this control family is to align with the premise that:
“Organizations must establish, maintain, and effectively implement plans
for emergency response, backup operations, and post-disaster recovery for
organizational information systems to ensure the availability of critical
information resources and continuity of operations in emergency situations.”
CP-1
CP-2
CP-3
CP-4
CP-6
CP-7
CP-8
CP-9
CP-10
CONTROL TITLE
CONTINGENCY PLANNING POLICY
AND PROCEDURES
CONTINGENCY PLAN
CONTINGENCY TRAINING
CONTINGENCY PLAN TESTING
ALTERNATE STORAGE SITE
ALTERNATE PROCESSING SITE
TELECOMMUNICATIONS SERVICE
INFORMATION SYSTEM BACKUP
INFORMATION SYSTEM RECOVERY
AND RECONSTITUTION
Common RECON Recommended Controls
CP-2 Contingency Planning
Control Implementation Guidance:
For systems that are classified as mission critical, a contingency plan should be made available.
A system, activity or function can be defined as mission critical if its failure or unavailability, even for a unit-defined
short timeframe, will affect essential business or unit operations in an unacceptable way. Mission critical systems,
activities, and functions are determined by each unit. If a system, activity, or function's failure can be tolerated
longer than the unit-defined time period, it is not mission critical.
The plan should list the recovery objectives and restoration priorities.
The plan should list the roles, responsibilities and have the participants’ contact information.
The plan should be tested and updated as needed on a regular basis.
IIA contingency planning consultation services can be ordered on the IT Services Portal:
http://services.it.umich.edu/it-security-drbc-planning

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