ISO 27001:2013 ISMS Manual

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2 years ago

1 Introduction

This section presents the Scope of the Information Security Management System (ISMS). This includes the purpose and the application of ISMS.

1.0 Scope

The Scope of the ISMS covers, XXX, its Server room, and its management related to business applications, to implement the IT services provided to internal and external customers from its office location at XXXXXXX.

(Note: refer to Latest version of ‘ISO 27001-2013-SOA .xlsx’for exclusions)

1.1 General

This ISMS manual specifies the requirements for establishing, implementing, monitoring, reviewing, maintaining, and improving documented ISMS within the context of the .’ overall Business requirements. It specifies the implementation of security controls customized to the needs of XXX.

The ISMS is designed to ensure adequate and appropriate security controls that maintain Confidentiality, Integrity, and Availability (CIA) of information assets.

For applicability (with rationale) and exclusion (with justification) of controls refer to Statement of Applicability (SOA). The SOA as applicable to XXX is enclosed. Ascertain controls are not applicable at project sites, project site-specific SOA is also made.

1.2 References

The following documents were referred for the creation of this document. These include:

ISO/IEC 27001:2013, Information technology – Security techniques – Information security management systems – Requirements

1.3 Terms and Definitions

Asset – Anything that has value to the organization.
Availability – The property of being accessible and useable upon demand by an authorized entity.
Business Continuity Plan (BCP) – A plan to build-in proper redundancies and avoid contingencies to ensure continuity of Business.
Computer Media – Includes all devices that can electronically store information. This includes but not limited to diskettes, CDs, tapes, cartridges, and portable hard disks.
Confidentiality – Ensuring that information is accessible only to those authorized to have access.
Continual Improvement – Continual Improvement refers to stage improvement programs that facilitate rapid improvement phases with intermediate stabilized phases.
Control – A mechanism or procedure implemented to satisfy a control objective
Control Objective – A statement of intent with respect to a domain over some aspects of an organization’s resources or processes. In terms of a management system, control objectives provide a framework for developing a strategy for fulfilling a set of security requirements.
Disaster Recovery (DR) – A plan for the early recovery of Business operations in the event of an incident that prevents normal operation.
Fallback – Provisions to provide service in the event of failure of computing or communications facilities.
Information Security – Security preservation of Confidentiality, Integrity, and Availability of Information.
Information Security Event – An identified occurrence of a system, service, or network state indicating a possible breach of information security policy or failure of safeguards, or a previously unknown situation that may be involved.
Information Security Incident – A single or series of unwanted or unexpected information security events that have a significant probability of compromising business operations and threatening information security.
Information Security Management System (ISMS) – That part of the overall management system based on a business risk approach, to establish, implement, operate, monitor, review, maintain, and improve information security. The management system includes organizational structure, policies, planning activities, responsibilities, practices, procedures, processes, and resources.
Integrity – Safeguarding the accuracy and completeness of information and processing methods.
Organization – Refers to XXX unless specified otherwise.
Risk – The combination of the probability of an event and its consequence.
Residual Risk – The risk remaining after risk treatment.
Risk Acceptance – Decision to accept risk.
Risk Analysis – Systematic use of information to identify sources and to estimate the risk.
Risk Assessment – Overall process of risk analysis and risk evaluation.
Risk Evaluation – Process of comparing the estimated risk against given risk criteria to determine the significance of the risk.
Risk Management – Coordinated activities to direct and control an organization with regard to risk.
Risk Treatment – Process of selection and implementation of measures to modify risk.
Statement of Applicability – Document describing the control objectives and controls that are relevant and applicable to XXX’s ISMS, based on the results and conclusions of the Risk Assessment and Risk Treatment Processes. It should clearly indicate exclusions with appropriate reasons.

2 About the Manual

This section presents a brief overview of the Information Security Management System (ISMS) manual of XXX.

2.1 Organization of the Manual

The ISMS manual is intended as a reference document describing the security framework adopted by XXX. It is organized as per the Table of Contents.

2.2 Document Availability

This document is available to all employees of the XXX in the form of web page on the intranet. This is a read-only copy and the relevant part of the documentation is available to only authorized users based on their business requirements.

2.3 Document Control Information

It is the responsibility of the XXX to release an approved document for the XXX.

3 Organization Overview

This section presents an overview of XXX and its operations. XXX’s mission is to fulfill the promise of applying technology to enable the success of customer business by performing at a level of trust, partnership, and innovation that far exceeds what you have come to expect from technology services providers. In the same way, we know that to achieve that aspiration, we must exceed what our professionals have come to expect from technology services employers.

4 Context of the Organization

4.1 Understanding the Organization and it’s Context

XXX shall determine external and internal issues that are relevant for delivering the services from Server Room and Business Operation that affect its ability to achieve the intended results of ISMS. The issues which are considered necessary for delivering the services to internal and external stakeholders are given in the table after section 4.2.

4.2 Understanding the Needs and Expectation from Interested Parties

XXX shall determine the following:

Interested parties that are relevant to ISMS – All customers (Internal and External), Vendors, Supporting the Infrastructure in Server Room & other Business operation, All employees providing & getting services to Server Room & other Business operation.
The requirement of these interested parties relevant to Information Security The needs and expectations from external as well as internal customers are considered as under, and will be reviewed and updated over a period of time as part of continual improvement.

Internal	Stake holders	Issues
	Management	Governance, Resource availability, organization structure, roles and accountabilities, Policies, objectives, and the strategies
	Employees	Fulfillment of commitments, adherence to organization policies, processes and guidelines and to ensure seamless / uninterrupted operations. Expectation of employees in terms of commitment made by the organization need to be fulfilled.
	Shareholders	Relationship with, and perceptions and values of, internal stakeholder’s
	Board of Directors	Maintaining commitment to customers, goodwill and repute of the organization, and maintaining return on investment committed on the business, in totality
	Corporate requirements	Standards, guidelines and models adopted by the organization
	Users / Other departments	Information technology related requirements to the organization such as access right, IT infra availability to internal users and other departments.
	HR	Resource availability, resource competence, training, background verification etc.,
	Finance	Approval of financial commitments
	Legal	Vetting of Legal contracts and protecting the organization from non-compliance of legal, regulatory and contractual requirements

External	Customers	Service delivery
	Customers	Supply of goods and services to enable the organization to meet the requirement of the customer
	Customer	Risk Assessment & Risk Treatment Procedure for assessment the risk for internal as well as external customer
	Customer	For managing the customer related security aspects, the organization has deployed few policies, process and procedure such as Password Policy, IT Access control Policy, VPN-Virtual Private Network Policy, IEM-Internet & Electronic Messaging Usage Policy, Antivirus Policy, Information Classification, Labeling and Handling Policy, Asset Handling Process, Business Continuity Plan Process, Physical Security Management Procedure and many more.
	Users / Public	Information technology related requirements to the organization such as access right, IT infra availability to internal users and other departments.
	Government	Submission of desired reports and statements and approvals to carry out the business. Fulfilling the legal, and regulatory requirement.
	Society and environment	Natural and competitive environment, Key drives and trends having impact on the objectives of the organization, Political, financial status of the country.

4.3 Determining the scope of the Information security management System

The Scope of the ISMS covers,

The XXX Server Room, Business Operation and its management
To implement the IT services provided to internal and external customers

Server room is located at XXX
(Note: refer to SOA for exclusions)

4.4 Information Security Management System

XXX shall establish, implement, Maintained and continually improve an information security management system, in accordance with the requirements of ISO 27001:2013.

5 Leadership

This section presents XXX’s initiative and commitment to the effective implementation and operation of ISMS. In addition, this section highlights the roles and responsibilities associated with ISMS operation.

5.1 Leadership and commitment

Top management shall demonstrate leadership and commitment with respect to the information security management system by:

Ensuring the information security policy and the information security objectives are established and are compatible with the strategic direction of the organization;
Ensuring the integration of the information security management system requirements into the organization’s processes;
Ensuring that the resources needed for the information security management system are available;
Communicating the importance of effective information security management and of conforming to the information security management system requirements;
Ensuring that the information security management system achieves its intended outcome(s);
Directing and supporting persons to contribute to the effectiveness of the information security management system;
Promoting continual improvement; and supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.

5.2 ISMS Policy

XXX is committed to maintaining high-quality standards in delivering timely and cost-effective solutions to our customers by continual improvement of our processes, instilling quality consciousness amongst all employees, and recognizing the confidentiality, integrity, and availability of information assets to relevant stakeholders including our customers. Risk management will be done as per ‘CP-05-ISMS-RART-Risk Assessment & Risk Treatment Procedure’ and the risk will be evaluated based on asset value, threat, and vulnerabilities. If the risk value is high, adequate controls will be implemented.

Action Guideline:

XXX prevents leakage, destruction, and illegal use of all information relating to the customers, vendors, management etc. and builds the system to secure the confidentiality, integrity and availability of the information for daily operations.
Company recognizes the value of the private information of all staff and secures it.
XXX establishes a contingency plan to secure continuation of the business, assuming occurrences of a natural disaster, terrorism, a large scale infection disease etc.
Company provides all staff with proper education and training to maintain and improve the effectiveness of the information security management system
Company builds and manages an organization which grasps incidents, audits its operations and effectiveness of the information security management system, and attempts its continuous improvement.

To secure its information assets and its customer, XXX shall deploy procedures to maintain confidentiality, integrity, and availability of all information assets.

Business objectives and goals of XXX are

Key Objective 1: Provide high quality services to our clients.

Goal 1 – Client Satisfaction Score of more than 90 %
Goal 2 – On time Delivery >80%
Goal 3 – No defects of showstopper/critical type in first release to the client.

Key Objective 2: Continuous focus on employee satisfaction and competency development so as to reduce and stabilize employee attrition.

Goal 1 – A minimum of 3 man-days training in a year per employee.
Goal 2 – Overall attrition rate <15% in the year
Goal 3 – Employee satisfaction survey score of greater than 75%

Key Objective 3: Continual improvement of services to our internal & external customers.

Goal 1 – Key process performance improvement of at least 10% per annum in all departments

Key Objective 4: To secure its information assets and of its customers, NST shall deploy procedures to maintain confidentiality, integrity and availability of all information assets.

Goal 1 – Number of security incidents of high severity to be less than 5% of total security incidents.

Key Objective 5: To have year on year revenue increase while maintaining profitability

Goal 1 – Revenue growth of >=40% with respect to the previous financial year
Goal 2 – Profit before Tax to be >=20%

To meet these business goals, ISMS objective are defined. Which are given in section 6.2

5.3 Organizational Roles, Responsibilities & Authority for Information Security

XXX is committed to security. The management has constituted Information System Security Committee, which is responsible for defining and improving the ISMS. Management provides evidence of its commitment to the establishment, implementation, operation, monitoring, review, maintenance, and improvement of the ISMS as defined in ISMS documentation, by

Establishing an information security policy;
Ensuring that information security objectives and plans are established;
Establishing roles and responsibilities for information security;
Communicating to the organization the importance of meeting information security objectives and conforming to the information security policy, its responsibilities under the law and the need for continual improvement;
Providing sufficient resources to establish, implement, operate, monitor, review, maintain and improve the ISMS;
Deciding the criteria for accepting risks and the acceptable level of risk;
Ensuring that internal ISMS audits are conducted;
Conducting management reviews of the ISMS.

1.SPONSOR

Establishing an ISMS policy & integrated quality policy
Ensuring that ISMS objectives and plans are established.
Establishing roles and responsibilities for information security.
Communicating to the organization the importance of meeting information security objectives and conforming to the information security policy, its responsibilities under the law and the need for continual improvement:
Providing sufficient resources to establish, implement, operate, monitor, review, maintain and improve the ISMS.
Deciding the criteria for accepting risks and the acceptable levels of risk.
Ensuring that internal ISMS audits are conducted
Conducting security Committee meetings of the ISMS

2. CHIEF INFORMATION SECURITY OFFICER

Responsible for defining ISMS Framework.
Responsible for implementing ISMS Framework
Responsible for Publishing ISMS Manual
Responsible for ensuring that security incidents are handled and resolved in efficient manner.
Define specific roles and responsibilities of information security across the XXX.

3. INFORMATION SYSTEM SECURITY COMMITTEE

Develop, maintain, and implement ISMS policies and procedures
Develop and maintain Business Continuity Management Plan for the region.
Approve and review the risk treatment plan, and accept residual risk
Design and deliver awareness program
Evaluate, implement and ensure utilization of up-to-date security technology and techniques
Review and monitor information security incidents
Ensure ISMS is in line with new legal, administrative, and business requirements
Ensures that security is part of the information planning process
Decide specific methodologies and processes for information security. For e.g. risk assessment, security classification system etc.
Drive XXX wide information security initiative
Assess new system and services for security before absorbing them into the system and identify and implement appropriate security controls

4. MANAGEMENT REPRESENTATIVE

Responsible for defining policies and processes
Responsible for owning the security policy and reviewing and evaluating the same at least once in a year.
Responsible for reviewing current implementation of policies and processes and improving them if required
Responsible for reviewing security incidents and vulnerabilities and decide action to be taken on them
Responsible for reviewing any kind of hacking attacks and action taken to control them
Reviewing security audit reports and action taken to resolve NCs
Reviewing disciplinary action taken against employee (if there is any such case)
Review Backup audit reports and action taken on them.
Member of Information system Security Committee.
Co-ordinates with Information System Security Committee.
Organize security reviews and audits, with internal and external resources
Ensure implementation and tracking of ISMS plan
Organize management reviews of ISMS
To promote awareness amongst employees on ISMS.

5. MANAGER IT

Heading IT
Heading IT processes
Follow up daily tasks and tickets
Handling system security incidents and vulnerabilities
Handling virus attacks and hacking attacks and reporting them to Security Committee
Responsible for reviewing current implementation of policies and processes and improving them if required
Responsible for reviewing any kind of hacking attacks and action taken to control them
Reviewing security audit reports and action taken to resolve NCs
Reviewing disciplinary action taken against employee (if there is any such case)
Review Backup audit reports and take action on it
Member of Security Committee
Managing IT resources
To review and prioritize significant information Assets and security threats
Incidents Reporting

6. Sr.executive- HR

Heading HR Processes
Follow up daily tasks and HR Issues
Handling employee related incidents (misconducts, policy violations and other offences) and taking appropriate action against employees if required and reporting them to security Committee.
Take care of Human resource security clauses prior to employment, during employment and Termination or change of employment.

7. Admin Assistant

Heading Admin Processes
Follow up daily tasks and Admin Issues
Handling employee related admin issue (misconducts, policy violations and other offences) and taking appropriate action against employees if required and reporting them to security Committee
Managing Admin resources
Physical Security and Physical Access Control

8. MANAGER IT NETWORKS

Planning and monitoring networks
Handling network issues
Network setup and management
Reviewing server logs (which includes operator and administrator logs)
Client servers Monitoring support
Antivirus support
Handling network security incidents
Handling virus attacks and hacking attacks and reporting them to Information System Security Committee
Managing Network resources

9. System administrator

Ticket assignment
Ticket escalations from engineers
IMS Management
Data Backups
Server usage tracking
Helpdesk
Reports Management

10. Network Engineer

Ticket assignment, Ticket Handling
Desktop Issues
Maintaining Spare Parts details
Maintaining Software upgrade
Operating System patch management

11. Vendors

Provide services as per defined SLA
Provide Technical Support
Provide resources for upkeep of Data Center

11. Users

Will follow the ISMS Policies
Will not share passwords
Will use application as per the scopes and access provided
Will maintain assets in good condition

The Security Committee will meet once every month, support and supervise the activities of the NST (P) LTD., making informed decisions. It will be held responsible for achieving measurable progress. Process measurement metrics will be monitored to achieve continuous improvement.

12. Risk Assessment and BCP CORE TEAM

Review, test and reassess the strategic plan to determine the overall approach to business continuity. Responsible for reviewing security incidents and vulnerabilities and decisive action to be taken on them

Identify and define plans to protect critical business process from the major failure of information system or disasters and to ensure timely resumptions of business activity
Review, test and reassess the strategy plan to determine the overall approach to business continuity.
Responsible for reviewing security incidents and vulnerabilities and decide action to be taken on them
Carry out RA and prepare RTP

Note: – Any two of the four members are mandatory to carry out this activity.

In addition, the group helps reduce the risk of disruption of business operation by providing advice on all aspects of security including:

Security Awareness
Data Confidentiality and Privacy
Logical Access
Data Communications
Systems and Data Integrity
Physical Security
Personal and Procedural Controls
Contingency and Disaster Recovery Planning

13. EMPLOYEES

Expected to follow security policy, processes, and procedures as documented in ISMS.

5.3.1 Security Domains addressed by ISMS

Following are the domains being addressed by ISMS:

Security Policy (A.5): Management direction and support for IS in accordance with business requirements and relevant laws and regulations.
Organization of Information Security (A.6): Maintain security of information within the organization and its processing facilities that are accessed, processed, communicated to, or managed by external parties.
Human Resources Security (A.7): Clear roles and responsibilities, IS awareness and trainings, exiting the organization in an orderly manner.
Asset Management (A.8): To appropriately classify and protect the organizational assets.
Access Control (A.9): Prevent unauthorized access to information systems, networked services, operating systems, application systems, and ensure IS when using mobile computing and teleworking facilities.
Cryptography (A10) deals with cryptographic controls.
Physical and Environmental Security (A.11): Preventing unauthorized physical access in the premises and loss/damage/theft of equipment’s.
Operational security (A12) Ensuring secured networks, maintaining appropriate third-party service delivery agreements, minimize risk of systems failures, and protect software and information integrity.
Communication Security (A13) Deals with Network communication, Information transfer and communication with suppliers.
Systems Acquisition, Development and Maintenance (A.14): Prevent errors, loss, unauthorized modification or misuse of information in applications, ensure security of system files and software, and reduce risks resulting from exploitation of published technical vulnerabilities.
Supplier Relationship (A.15) Information security in supplier relationship and supplier agreements
Information Security Incident Management (A.16): Timely communication of IS events and weaknesses and taking corrective actions.
Information Security aspects in Business Continuity Management (A.17): Counteract interruptions to business and protect critical business processes from effects of major failures or disaster, and to ensure timely resumption
Compliance (A.18): Complying with legal requirements, security policy and standards.

6 Planning

6.1 Actions to address risks and opportunities

6.1.1 General

When planning for the information security management system, XXX shall consider the issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and opportunities that need to be addressed to:

Ensure the information security management system can achieve its intended outcome(s);
relent, or reduce, undesired effects; and
Achieve continual improvement.

XXX shall plan:

Actions to address these risks and opportunities; and
How to
1. Integrate and implement the actions into its information security management system processes; and
2. Evaluate the effectiveness of these actions.

6.1.2 Information security risk assessment

XXX shall define and apply an information security risk assessment process that:

establishes and maintains information security risk criteria that include:
1. the risk acceptance criteria; and
2. criteria for performing information security risk assessments;
ensures that repeated information security risk assessments produce consistent, valid and comparable results;
identifies the information security risks:
1. apply the information security risk assessment process to identify risks associated with the loss of confidentiality, integrity and availability for information within the scope of the information security management system; and
2. identify the risk owners;
analyses the information security risks:
1. assess the potential consequences that would result if the risks identified were to materialize;
2. assess the realistic likelihood of the occurrence of the risks identified; and
3. determine the levels of risk;
evaluates the information security risks:
1. compare the results of risk analysis with the risk criteria established and
2. Prioritize the analyzed risks for risk treatment.

XXX shall retain documented information about the information security risk assessment process.

6.1.3 Information security risk treatment

XXX shall define and apply an information security risk treatment process to:

select appropriate information security risk treatment options, taking account of the risk assessment results;
determine all controls that are necessary to implement the information security risk treatment option(s) chosen;
XXX can design controls as required, or identify them from any source.
compare the controls determined in 6.1.3 b) above with those in Annex A of the standard ISO 27001:2013 and verify that no necessary controls have been omitted;

NOTE 1 Annex A of the standard ISO 27001:2013 contains a comprehensive list of control objectives and controls. Users of this International Standard are directed to Annex A of the standard ISO 27001:2013 to ensure that no necessary controls are overlooked.
NOTE 2 Control objectives are implicitly included in the controls chosen. The control objectives and controls listed in Annex A of the standard ISO 27001:2013 are not exhaustive and additional control objectives and controls may be needed.

Produce a Statement of Applicability that contains the necessary controls and justification for inclusions, whether they are implemented or not, and the justification for exclusions of controls from Annex A;
Formulate an information security risk treatment plan; and
Obtain risk owners’ approval of the information security risk treatment plan and acceptance of the residual information security risks. The organization shall retain documented information about the information security risk treatment process.

The details of the RA process can be referred from ‘PROCEDURE FOR RISK ASSESSMENT AND TREATMENT’
The outputs of the RA process include:

Risk Assessment Report
Risk Treatment Plan
Statement of Applicability (inclusion with rationale /exclusion with justification)

Based on the RA report, Information System Security Council prepares the RTP, which includes the selection of controls. The XXX then obtains management approval for RTP implementation and acceptance of residual risk.

6.2 Information security objectives and planning to achieve them

XXX Shall establish information security objectives at relevant functions and levels. The information security objectives shall:

be consistent with the information security policy;
be measurable (if practicable);
take into account applicable information security requirements, and results from risk assessment and risk treatment;
be communicated; and
Be updated as appropriate.

XXX shall retain documented information on the information security objectives. Following are the ISMS objectives established by senior management:

ISMS Objectives

Protect information from deliberate or unintentional unauthorized acquisition or unauthorized access
Maintain confidentiality of information.
Maintain integrity of information by protecting it from unauthorized modification.
Availability of information to authorized users when needed
Meet regulatory and legislative requirements
Produce, maintain and test Business Continuity plans as far as practicable.
Train all staff on information security
Report and investigate all breaches of information security and suspected weaknesses
Monitor Risk Treatment Plan and measure effectiveness of selected controls.

When planning how to achieve its information security objectives, the organization shall monitor

Uptime of servers and Networks
Achievement of preventive maintenance planned schedule
Closure of Non conformities in defined time frame
Conducting of defined no of awareness program as per the process
Monitoring of security incidents as per process of incident Management
Mock drills of BCP as per process and achievement of targets :
Review of risks as per defined process and closure of actions as per last review.

The templates for each one of them is defined and frequency and thresholds for each of them is defined in the template. For monitoring and analysis following

Monitoring and measurement of the controls shall be done as per process mentioned in the template..
System Administrator either himself or shall make one of the data center employee responsible for monitor and measurement of controls.
The results from monitoring and measurement shall be analyzed and evaluated at least on monthly basis. However this analysis can be made early depending on the exigencies and system administrator shall decide the same.; and
System Administrator shall analyses and evaluate these results.

7.Support

7.1 Resources

The management provides resources for the implementation, maintenance, and review of the ISMS. The resources include funds, tools, human resources, and any other resources that may be required for the efficient performance of the ISMS. Periodically the XXX. evaluates resource requirements for improvements in security infrastructure based on RA, review /audit records. Based on resource requirements, the Management approves/ allocates the required resources.

7.2 Competence

Personnel who have experience and expertise in the application domain and in information security concepts are assigned to manage ISMS. Whenever feasible, experienced individuals are available and allocated appropriate responsibilities. When the required levels of skill and expertise are not available, training is provided to ensure skill/knowledge enhancement as per the XXX training process. The ISMS training should form an integral part of the training curriculum of the HR Dept. in association with the Co-ordination Team. Refer ‘PR-10-TRA-Training Process’

Identifying what training is needed, and how frequently, for specific positions.
Identifying qualified individuals/agency to conduct the training program.
Organizing the training program.
Maintaining attendance records, course outlines and course feedback of all trainings conducted.

The XXX maintains records of all training programs as mentioned in the training process.

7.3 Awareness

Persons doing work under the organization’s control shall be aware of:

the information security policy;
their contribution to the effectiveness of the information security management system, including the benefits of improved information security performance; and
The implications of not conforming to the information security management system requirements.
All updates in organization policies & procedure, which are relevant to their job function

7.4 Communication

Users shall be made aware about the risk of Information Security while exchanging information through Voice, Email, Fax, and Video Communication facility.

What to communicate	When to communicate	With whom to communicate	Who shall communicate	Processes by which communication shall be effected.
Technical Matters	To seek clarification, communicate execution and discussing options of delivery	Customer	Delivery Manager / Technical Lead	Email / Video Call/Phone
Non-Technical Business Development	when communicating upgrades / updates and offers of NST	Customer	Account Manager	Email / Video Call/Phone
Financial Information such as Invoices, Payment reminder, Proposal, upgrade offer etc.	As and when the event takes place	Customer	Accounts Manager	Email / Video Call/Phone
Technical Matters	To get the action initiated on completion of delivery	Accounts Manager / Business Head	Delivery Manager / Technical Lead	Email / Video Call/Phone
Performance Report	Monthly / quarterly	Business Head	Account Manager and Delivery Manager	PPT / Word / Excel – Email/Phone
Technical Matters	As and when the event takes place	Project Manager	Developer/Tester	PPT / Word / Excel – Email/Phone
Network Security Matters	As and when the event takes place	IT Team	Employees	Email/ Phone/ Face to Face
Server Security Matters	As and when the event takes place	IT Team	Employees	Email/ Phone/ Face to Face
Application Security Matters	As and when the event takes place	IT Team or PM	Employees	Email/ Phone/ Face to Face
Physical Security Matters	As and when the event takes place	Admin	Employees	Email/ Phone/ Face to Face

7.5 Documented information

7.5.1 General

The organization’s information security management system shall include:

Documented information required by this International Standard; and
Documented information determined by the organization as being necessary for the effectiveness of the information security management system.

NOTE: The extent of documented information for an information security management system can differ from one organization to another due to:

The size of organization and its type of activities, processes, products and services;
The complexity of processes and their interactions; and
The competence of persons.

7.5.2 Creating and updating

When creating and updating documented information the organization shall ensure appropriate:

Identification and description (e.g. a title, date, author, or reference number);
Format (e.g. language, software version, graphics) and media (e.g. paper, electronic); and
Review and approval for suitability and adequacy.

7.5.3 Control of documented information

Documented information required by the information security management system and by this International Standard shall be controlled to ensure:

it is available and suitable for use, where and when it is needed; and
it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity).

For the control of documented information, the organization shall address the following activities, as applicable:

distribution, access, retrieval and use;
storage and preservation, including the preservation of legibility;
control of changes (e.g. version control); and
Retention and disposition.

Documented information of external origin, determined by the organization to be necessary for the planning and operation of the information security management system, shall be identified as appropriate and controlled. Access implies a decision regarding the permission to view the documented information only, or the permission and authority to view and change the documented information, etc. To meet the requirement of 7.5, the documentation structure of the Information security management system is as detailed below:

The components of ISMS Documentation are:
Level – 0 Corporate Information System Security Policy): It is the Top-level security policy of the XXX.
Level – 1 ISMS Manual): This document includes requirements of the ISO/IEC 27001:2013 standard and describes how the defined ISMS meet the requirements. The document details XXX. the approach towards management and implementation of ISMS.
Level – 2 Supporting Policies & Guidelines A complete set of supporting technical policies and guidelines as identified and defined by the XXX. within the scope of ISMS.
Level – 3 Procedures and Processes – Contains processes and procedures required for implementing and supporting the defined policies & guidelines.
Level – 4 Templates and Forms –XXX standard templates/forms used in the processes/procedures. These are used to streamline the operation of ISMS and form a basis for records.

Control of Documents

All documents related to ISMS requirements are controlled as per CP-03-ISMS-DRM-Document & Record Management Procedure. This includes:

Review and approval of documents for adequacy prior to issue / use
Updating, review and approval of necessary changes in controlled documents
Availability of current revisions of necessary documents
Withdrawal of obsolete documents from all points of issue or use to ensure guarding against unintended use.
All security documents are available on the Intranet for reference and use based on need-to-know requirements.
Any document if printed is considered obsolete. However, this excludes all the documents related to ‘Business Continuity Plan

Control of Records

Records are identified within each procedure in the ISMS to provide evidence of conformance to requirements and effective functioning of the ISSC. Master list of records is maintained. Refer ‘List of Format-Content Master’. Other attributes shall be as per ‘PO-12-ISMS-CLH-Information Classification, Labeling and Handling Policy.docx’

8 Operation

8.1 Operational planning and control

8.1.1 Implement and Operate the ISMS

Selected control objectives and controls that are a part of RTP are implemented effectively in XXX and they are also capable of enabling prompt detection of and response to security incidents. XXX ensures that proper training and awareness on ISMS are conducted, and appropriate resources are assigned to manage ISMS. XXX maintains a suitable matrix of risk/incidence reduction against its major controls identified every year for monitoring purposes to ensure the effectiveness of selected controls. Logs of risk reduction and/or incidence reduction are maintained for results comparison and reproduction.

8.1.2 Monitor and Review the ISMS

XXX. ensures that ISMS is properly monitored and reviewed periodically.

For monitoring incidents, the XXX. has a well-defined Incident Management Procedure, which ensures that all problems, errors identified during processing of any information are handled promptly and effectively, and breach of security is appropriately addressed. Refer to ‘ISMS-IMP-Incident Management Process’.
A process for conducting Management Reviews and audit procedures of ISMS exists. The focus of the review is to ensure that ISMS is effective, and all policies, controls, and security objectives are in line with business requirements. The audit focuses on the compliance of XXX’s practices as defined in ISMS. Refer ‘SEPG & ISMS Plan’
Information System Security Committee reviews the level of residual and acceptable risks based on the changes in the deployed technology, new threats, and vulnerabilities, and business objectives. Refer CP-05-ISMS-RART-Risk Assessment & Risk Treatment Procedure’
The controls at appropriate intervals are monitored against the logs generated to arrive at the current risk exposure. This is compared with the previous risk level to verify the effectiveness of controls. Refer ‘CEM-Control Effectiveness Measurement Process’

8.1.3 Maintain and Improve the ISMS

Based on the review reports and audit findings, appropriate corrective and preventive actions, as approved by the Information System Security Committee are implemented and incorporated into the ISMS. Inputs for improvement can be from:

Audit Reports
Management Review Reports
Incident Reports
RA report
Business Changes (Objectives, process, industry practices, legal/regulatory, etc)
Environmental Change (New threats and vulnerabilities, technology Changes, etc.)

XXX. maintains all inputs in an improvement database available for internal use’s XXX. consolidates the inputs, and reviews the ISMS for applicable improvements. For changes to be made, XXX prepares an action plan and communicates the results to all interested /affected parties. All improvements should be directed towards predefined organizational Business objectives.

8.2 Information security risk assessment

The organization shall perform information security risk assessments at planned intervals or when significant changes are proposed or occur, taking account of the criteria established. The organization shall retain documented information on the results of the information security risk assessments.

8.3 Information security risk treatment

The organization shall implement the information security risk treatment plan. The organization shall retain documented information of the results of the information security risk treatment.

9 Performance evaluation

9.1 Monitoring, measurement, analysis and evaluation

XXX shall evaluate the information security performance and the effectiveness of the information security management system. XXX shall determine:

what needs to be monitored and measured, including information security processes and controls;
the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid results;
The details of what needs to be measured is given in. The methods selected should produce comparable and reproducible results to be considered valid.
Monitoring and measurement of the controls shall be done on daily basis.
System Administrator either himself or shall make one of the data center employee responsible for monitor and measurement of controls.
The results from monitoring and measurement shall be analyzed and evaluated at least on monthly basis. However this analysis can be made early depending on the exigencies and system administrator shall decide the same.; and
System Administrator shall analyze and evaluate these results.

XXX shall retain appropriate documented information as evidence of the monitoring and measurement results. The templates where these pieces of evidence are maintained are defined in ‘ISMS-CEM-Control Effectiveness Measurement Process.docx’

9.2 Internal Audits

MR conducts internal ISMS audits quarterly to verify the adherence to ISMS. The audits are conducted to ensure that ISMS:

Conforms to the requirements of the ISO/IEC 27001:2013 standard
Ensure compliance with relevant legal, statutory, and contractual requirements
Conform to the identified information security requirements
ISMS is effectively implemented and maintained
Performs as expected

Security Audits are conducted in accordance with the audit procedure defined in ‘NST-CP-06-ISMS-IAP-Internal Audit Procedure’. Trained personnel, not having direct responsibility for the activity being audited, shall conduct audits. MR with the help of HODs will ensure that any non-conformance found is closed. MR is responsible for planning, scheduling, organizing, and maintaining records of these audits.

9.3 Management Review

Top management shall review the information security management system once every three months, or on an event-driven basis, to ensure its continuing suitability, adequacy, and effectiveness. The management review shall include consideration of:

The status of actions from previous management reviews;
Changes in external and internal issues that are relevant to the information security management system;
Feedback on the information security performance, including trends in:
nonconformities and corrective actions;
monitoring and measurement results;
audit results; and
Fulfilment of information security objectives;
feedback from interested parties;
Results of risk assessment and status of risk treatment plan; and
Opportunities for continual improvement.

The outputs of the management review shall include decisions related to continual improvement opportunities and any needs for changes to the information security management system. XXX shall retain documented information as evidence of the results of management reviews.

10 Improvement

10.1 Non conformity and Corrective Action

When a nonconformity occurs, XXX shall:

react to the nonconformity, and as applicable:
1. take action to control and correct it; and
2. deal with the consequences;
evaluate the need for action to eliminate the causes of nonconformity, in order that it does not recur or occur elsewhere, by:
1. reviewing the nonconformity;
2. determining the causes of the nonconformity; and
3. determining if similar nonconformities exist, or could potentially occur;
implement any action needed;
Review the effectiveness of any corrective action taken; and
Make changes to the information security management system, if necessary.

Corrective actions shall be appropriate to the effects of the nonconformities encountered. The organization shall retain documented information as evidence of:

The nature of the nonconformities and any subsequent actions taken, and
The results of any corrective action.

The procedure is created, for implementing and tracking the correcting action. Refer to ‘CAPA-Corrective & Preventive Action Procedure’.

10.2 Continual Improvement

XXX is responsible for the continual improvement of the ISMS for suitability and effectiveness. Inputs to continual improvement can be:

Change in security policies and objectives
Audit results and Management Review Reports
Incident Reports
Analysis of monitored events
Corrective and Preventive Actions
Business Changes
Environmental Change (New threats and vulnerabilities)
Best practices of industry

11 ISMS Controls

This section describes the selection and implementation of controls by xxx. The control objectives and controls listed in this section are directly derived from the ISO/IEC 27001:2013 standard, based on ‘Section 5.3.1 – Security Domains addressed in ISMS’ ’ of this document. Controls applicable to XXX. have been mentioned and addressed in this section. Controls not applicable to XX. are mentioned in this section and exclusion with justification given in SOA. Refer ‘ISO27001-2013-SOA-V2.0.xlsx’

A.5 Information Security policies

The Information Security Policy establishes requirements to ensure that information security controls remain current as business needs evolve and technology changes. This policy is published and communicated to all employees and relevant external parties.

A.5.1 Management Direction for Information Security

The Chief Information Officer is responsible for establishing, issuing and monitoring information security policies.

Control Objective: To provide management direction and support for information security in accordance with business requirements and relevant laws and regulations.

A.5.1.1 Information Security Policy Document

A Corporate Information System Security Policy document approved by the management exists. Information security policy has been published and communicated to all employees of XXX through the Intranet and mails, training, and induction programs. The Information Security Policy contains operational policies, standards, guidelines, and metrics intended to establish minimum requirements for the secure delivery of our Products/ services. Secure service delivery requires the assurance of confidentiality, integrity, availability, and privacy of information assets through:

Management and business processes that include and enable security processes;
Ongoing employee awareness of security issues;
Physical security requirements for information systems;
Governance processes for information technology;
Defining security responsibilities;
Identifying, classifying, and labeling assets;
Ensuring operational security, protection of networks, and the transfer of information;
Safeguarding assets utilized by third parties;
Reporting information security incidents and weaknesses;
Creating and maintaining business continuity plans; and,
Monitoring for compliance.

The Chief Information Officer recognizes that information security is a process, which to be effective, requires executive and management commitment, the active participation of all employees, and ongoing awareness programs.

A.5.1.2 Review of the policies for information security

The Information Security Policy must be reviewed on an annual basis and updated when required. The purpose is to ensure information security policies remain current with evolving business needs, emerging risks, and technological changes.

XXX. is responsible for the creation, maintenance, and updating of the policy. Information System Security Committee approves the policy prior to release. The review and evaluation of ISMS policy are conducted at least once a year. The review guidelines state that the policy is to be reviewed against its effectiveness, compliance to business process, and compliance to technology changes. The Chief Information Officer is responsible for reviewing information security policies, standards, and guidelines on an annual basis. Policies and standards reviews must be initiated:

In conjunction with legislative, regulatory, or policy changes which have information security implications;
During planning and implementation of new or significantly changed technology;
Following a Security Threat and Risk Assessment of major initiatives (e.g., new information systems or contracting arrangements);
When audit reports or security risk and controls reviews identify high-risk exposures involving information systems;
If threat or vulnerability trends produced from automated monitoring processes indicate the probability of significantly increased risk;
After receiving the final report of the investigation into information security incidents;
Prior to renewing third party access agreements which involve major programs or services;
When industry, national or international standards for information security are introduced or significantly revised to address emerging business and technology issues; and,
When associated external agencies (e.g., Information and Privacy Commissioner, Ministry on Information Technology) issue reports or identify emerging trends related to information security.

A.6 Organization of Information Security

This describes the management structure needed to coordinate information security activities, including who coordinates them and what agreements are required. Coordination of information security activities requires the support of a network of contacts in the information security community to elicit advice, monitor trends, and deal with other external factors.

A.6.1 Internal organization

Control Objective: To manage information security within XXX.

A.6.1.1 – Information Security Roles and responsibilities

The purpose is to ensure employees are informed of their information security roles and responsibilities. Security roles and responsibilities of employees, contractors, and third-party users are defined and documented in accordance with the organization’s information security policy. Security roles and responsibilities for employees must be documented.
a) Security roles and responsibilities
b) Communication of security roles and responsibilities

a) Security roles and responsibilities
Employees must be aware of their information security roles and responsibilities. Information Owners and Information Custodians must:

Document information security roles and responsibilities for employees in job descriptions, standing offers, contracts, and information use agreements where relevant; and,
Review and update information security roles and responsibilities when conducting staffing or contracting activities.

b) Communication of security roles and responsibilities
Supervisors must ensure employees are informed of their security roles and responsibilities by establishing processes for communicating security roles and responsibilities to protect information assets

A.6.1.2 – Segregation of duties

The purpose is to reduce the risk of loss, fraud, error, and unauthorized changes to information. In XXX duties have been segregated in order to reduce the risk of accidental or deliberate system misuse. Different individuals are responsible for their respective areas, and proper controls exist that take care of the possibility of fraud in areas of single responsibility without being detected. Different areas and associated responsibilities are defined as per Roles and Responsibilities. Day-to-day administration & maintenance of IT Infrastructure is done by IT Department & HOF/IT review different logs & conduct periodic VA. Duties and areas of responsibility must be segregated to reduce opportunities for unauthorized or unintentional modification or misuse of information systems.
a) Segregation of duties
b) Critical or sensitive information systems.

a) Segregation of duties
Information Owners must reduce the risk of disruption of information systems by:

Requiring complete and accurate documentation for every information system;
Requiring that no single individual has access to all operational functions of an information system (e.g., operating system administrators must not also have application administrator privileges);
Rotating job duties periodically to reduce the opportunity for single individuals to have sole control and oversight on key systems;
Automating functions to reduce the reliance on human intervention for information systems;
Requiring that individuals authorized to conduct sensitive operations do not audit the same operations;
Requiring that individuals responsible for initiating an action are not also responsible for authorizing that action; and,
Implementing security controls to minimize opportunities for collusion.

b) Critical or sensitive information systems
Where supported by a Security Threat and Risk Assessment or other formal assessment, Information Owners must employ two-person access control to preserve the integrity of the information system.

A.6.1.3– Contact with authorities

The purpose is to facilitate a timely response from and co-ordination with outside authorities during information security incidents or investigations. Appropriate contacts shall be maintained with local law enforcement authorities, emergency support employees. Appropriate contacts/ agreements are maintained with the following but not limited to:

Services Responsibility

Internet Service Provider (ISP) Head/IT
Hardware Maintenance contracts Head/IT
Telecom services department Head/IT
Electricity services department Admin/HR
Local Enforcement Agencies like Police, Fire Admin/HR

Responsibility for any other services which fall under Information Security preview, but not mentioned above, is assigned to Head/IT. This is necessary to ensure that appropriate actions can be promptly taken, and advice obtained in the event of any security incident. The organization’s legal department is consulted for all third-party contracts and agreements. The Chief Information Security Officer must ensure that outside authorities, emergency support employees can be contacted by:

Maintaining and distributing as appropriate, a list of internal and external organizations and service providers.
Documenting emergency and non-emergency procedures for contacting authorities as required during information security incidents or investigations.

A.6.1.4 – Contact with special interest groups

The purpose is to promote and further employee knowledge of information security industry trends, best practices, new technologies, and threats or vulnerabilities. Appropriate contacts shall be maintained with specialist security forums and professional associations. Information security advice is obtained from vendors, legal advisors, and technical experts on security matters to maximize the effectiveness of the ISMS. Internally MR shall act as Security Advisor. External advice shall only be sought by MR if required. All security incidents and breaches are reported to MR for necessary corrective and preventive actions. Information security specialists must maintain their knowledge of information security industry trends, best practices, new technologies, and threats or vulnerabilities by:

Participating in information exchange forums regarding best practices, industry standards development, new technologies, threats, vulnerabilities, early notice of potential attacks, and advisories;
Maintaining and improving knowledge regarding information security best practices; and
Creating a support network of other security specialists.

The Chief Information Security Officer must promote professional certification and membership in professional associations for information security specialists throughout the organization.

A.6.1.5 – Information Security in Project Management

The purpose is to ensure that information security risks are identified and addressed throughout the project life-cycle. Project Planning, Where projects involve information or information technology assets the information security is addressed in project management. Information Owners and Information Custodians must integrate information security into every phase of the organization’s project management method(s) to ensure that information security risks are identified early and addressed as part of the entire project. The project management methods in use should require that:

Information security objectives are included in project objectives;
An information Security Threat and Risk Assessment is conducted at an early stage of the project to identify necessary controls;
Information security is part of all phases of the applied project methodology.

Information security implications should be reviewed regularly in all projects. Responsibilities for information security should be defined and allocated to specified roles defined in project management methods.

A.6.2 Mobile Devices and Tele Working

Control Objective: To ensure information security when using mobile computing and teleworking facilities.

A.6.2.1 – Mobile Device Policy

The purpose is to protect information stored on mobile devices from loss or unauthorized access. XXX. has a well-defined policy and guidelines on the use of laptops. Refer ‘PR-17-ISMS-AHP-Asset Handling Process.docx’.Appropriate controls must be implemented to mitigate security risks associated with the use of mobile devices.
a) Information protection paramount
b) Service-specific risks and practices
c) Protection of credentials
d) Protection of network endpoint and physical device
e) Human factors
f) Risk assessment factors

a) Information protection paramount
The use of mobile devices such as laptops, tablets, or smartphones to access, store, or process information increases the risk of information compromise. Mobile devices are typically small and portable, used in uncontrolled public environments, and easily lost, stolen, or damaged. Information Owners must ensure that the use of mobile devices is managed and controlled. To ensure that sufficient safeguards are implemented to mitigate risks mobile devices must be enrolled in Mobile Device Management Service. Users of mobile devices must protect the information and information technology assets in their custody or control.

b) Service-specific risks and practices
Providers of mobile computing services (such as the Technology Services Division) must perform regular risk assessments to identify service-specific risks (e.g., perform or update the risk assessments on an annual basis). Information Owners and Information Custodians must develop, document, and maintain policies, standards, practices, and guidelines that address these risks, and communicate them to employees.

c) Protection of credentials
User identifiers and user credentials must be protected to reduce the risk of unauthorized access to information and information technology assets. In particular, employees must protect against visual eavesdropping of passwords, PINs, and other credentials, especially when in public places.

d) Protection of network endpoint and physical devices
Mobile devices are typically used to store information or remotely access the networks and services. The policies and procedures governing remote access apply to mobile devices. Where Remote Access services are used, the mobile device must be configured to prevent its use as a conduit between the different networks (e.g., VPN split tunneling must be disabled). Network access to mobile devices from unauthorized networks must be blocked by the implementation of firewall or filtering technologies to protect against attacks (e.g., to prevent network attacks against the mobile device). Mobile devices must be protected against mobile and malicious code. Mobile devices must be locked and/or secured when unattended to prevent unauthorized use or theft (e.g., use device locks, cable locks, physical container locks, PINs or screensaver locks).

e) Human factors
Information Owners and Information Custodians must provide employees using mobile devices with security awareness training to ensure that they are:

Aware of the additional risks and responsibilities inherent in mobile computing and when using mobile devices;
Familiar with operation of the protection technologies in use; and,
Familiar with the Information Incident Management Process.

f) Risk assessment factors
The Security Threat and Risk Assessment must consider threats to information and information technology assets, such as:

Physical theft;
Use of mobile devices to remotely access the networks and systems;
Data interception;
Credential theft;
Unauthorized device use;
Device disposal;
Information disposal;
Covert key logging or password harvester programs; and,
Malicious and mobile code.

Information classification and sensitivity levels must be considered in the risk assessment. Storage of information on mobile devices must be avoided and is allowed only in extenuating circumstances, as defined in the Appropriate Use Policy. Minimum information protection safeguards for the use of mobile devices must include:

Encryption of stored data to prevent information loss resulting from the theft of the mobile or remote device;
Encryption of data transmitted via public network;
Access control permissions on a mobile device to prevent unauthorized access to information by system users, particularly for multi-user mobile systems;
Regularly maintained data backups of information stored on mobile devices using the backup facilities to protect against information loss;
Physical security of the device at all times to protect against asset and information loss;
User authentication to the mobile device and user authentication for remote access from the device in accordance with authentication policies.

A.6.2.2 – Teleworking

The purpose is to protect information accessed through teleworking arrangements from loss or unauthorized access.XXX. has a well-defined policy and guideline on the use of laptops for teleworking purposes. Teleworking must employ security controls to ensure that information resources are not compromised.
a) Teleworking security controls
b) Teleworking agreement
c) Ad hoc teleworking policy

a) Teleworking security controls based on risk assessment
Information Owners must ensure that information and information technology assets are adequately protected regardless of the type of access or physical location of employees. Teleworking security controls must consider:

The sensitivity and classification of information assets that may be accessed or stored at the teleworking location (e.g., paper files, mobile devices such as laptops, smartphones, USB drives);
The physical security of information, information technology assets and the teleworking location;
Unauthorized information access by people at the teleworking location, either inadvertent or deliberate;
Enrollment in Mobile Device Management Service;
Remote access threats if remote access is utilized;
Restriction of permitted information types and classifications at the teleworking location;
Provision of organization-managed equipment, if appropriate, due to information sensitivity or volume;
Use of secure cabinets, shredders and other physical security equipment;
Security awareness training for protection of information and information assets, including clear desk policy, information handling rules, physical security issues and remote access training;
Monitoring and review of teleworking equipment for security events and incident response.
Sensitive and confidential information must be stored only on protected organizations systems, as defined in the Appropriate Use Policy.

b) Teleworking agreement
Teleworking arrangements must be formally authorized and documented. A documented teleworking agreement between the employer and employee must exist that specifies the following employee responsibilities, terms, and conditions:

The expectation that the employee will actively protect information and information technology assets;
 Reference to the BC Public Service Agency Human Resource Policies, Oath of Employment, Standards of Conduct, Appropriate Use Policy, Information and Communications Technology (ICT) Agreement, or contract terms as appropriate;

Restrictions on information asset types or classifications permitted at the teleworking location.
The requirement to protect information from inadvertent or deliberate disclosure to people at the teleworking location by use of secure cabinets, passwords or shredders;
The authorized teleworking location and contact information;
Information availability requirements;
What equipment and software is supplied by the employee and by the employer;
Completion of a Home Technology Assessment;
The terms of use for remote access, if applicable;
The requirement to meet or exceed specified wireless networking security controls, if wireless networking will be used at the teleworking location;
The requirement to report security events or unusual activity;
Arrangements for technical support; and,
The start date, end date, expected work hours and provision for termination of the teleworking arrangement.

c) Ad hoc teleworking policy
Ministries must develop and communicate policies and processes specific to their areas that govern ad hoc teleworking, in particular the practice of removing material from the workplace. Controls required for an ad hoc teleworking policy are:

Restriction of the information asset types and classifications that may be accessed or utilized while teleworking;
Use of secure cabinets, shredders and other physical security equipment; and,
Minimum technical security controls required for non-organization computing equipment, in particular current anti-virus, personal firewall and current software patches.

Guidelines:
Teleworking employees should use the following security measures when accessing the information services:

Desktop Terminal Service (DTS) – preferred access method for employees own devices;
DTS or Virtual Private Network (VPN) for organization devices; and
Application specific methods such as Secure Sockets Layer (SSL) enabled websites (e.g., Outlook Web Access).
Use of VPN access on employees own devices should be avoided, unless it is used with Remote Desktop Protocol (RDP) connection.

A.7 Human Resource Security

This identifies the information security requirements for employees that have an employment relationship with the organizations. To reduce information security risks, the terms and conditions of employment must establish expectations for the protection of assets, information, and services. It references the terms and conditions for employees and identifies the conditions for external personnel such as contractors. Supervisors and employees have different security responsibilities and liabilities that apply prior, during, and at the time of termination of employment. Prior to employment, the emphasis is on the awareness of expected roles and responsibilities, the screening of prospects, and the existence of agreements. During employment, policies establish Supervisor responsibilities, education, training, and formal processes to handle problematic security situations. This also establishes rules to ensure a secure transition when employment is ended or changed.

A.7.1 Prior to employment

Control objective: To ensure that employees, contractors, and third party users understand their responsibilities, and are suitable for the roles they are considered for, and to reduce the risk of theft, fraud, or misuse of facilities.

A.7.1.1 –Screening

The Purpose is to verify employment qualification claims made by prospective employees. XXX. has a documented recruitment process. The screening requirements form part of the contract agreement with vendors. Employee security screening must be performed prior to entering a working relationship with the organization.
a) Screening for employees
b) Screening for contractors

a) Screening for employees
The process for employee screening is detailed in Human Resource Policies.
b) Screening for contractors
The process for contractor screening is detailed in Core Policy and Procedures Manual – Procurement.

Guidelines:
The process for contractor screening can be used to screen other individuals such as volunteers. Applicants should be screened to assess their education, skills, knowledge, experience, and past work performance. The screening should also confirm the applicant’s identity. The extent of the screening process should be commensurate with the sensitivity of the information and the nature of the work to be performed.
XXX may exempt applicants from the screening process where:

Employees have been previously screened for similar types of organizational work within the last 2 years; or,
The sensitivity of the information and nature of work to be performed does not warrant a complete screening process.
The procurement Manager should maintain a list of contractors and other individuals who have been screened and the dates.

A.7.1.2 – Terms and conditions of employment

The purpose is to establish the terms and conditions of employment for information and information systems security. All employees of, XXX., at the time of joining, are required to agree and sign the Terms and Conditions of employment as detailed in the Recruitment Process. The Terms and Conditions also state the employees’ responsibility for Information Security. The terms and conditions of employment must document the responsibility of employees for information and information systems security.
a) Terms and conditions of employment
b) Communication of terms and conditions of employment
c) Violation of terms and conditions of employment

a) Terms and conditions of employment
The terms and conditions of employment are defined in the Human Resource Policies, the Oath of Employment, and the Standards of Conduct. The terms and conditions of employment defined in contracts must include:

Legal responsibilities and rights (e.g., laws relating to intellectual property rights, freedom of information, and privacy);
Confidentiality requirements that include responsibilities for the handling and storage of information assets; and,
Consequences of failing to adhere to the terms and conditions.

b) Communication of terms and conditions of employment
The Management must ensure terms and conditions of employment are agreed to by employees prior to employment or provision of services, including signing the Oath of Employment and receiving a copy of the Standards of Conduct.

c) Violation of terms and conditions of employment
Employees in violation of the terms and conditions of employment are subject to disciplinary action including dismissal, cancellation of the contract, or other legal remedies

A.7.2 During employment

Control Objective: To ensure that all employees, contractors, and third-party users are aware of information security threats and concerns, their responsibilities and liabilities, and are equipped to support organizational security policy in the course of their normal work, and to reduce the risk of human error.

A.7.2.1 – Management responsibilities

The Purpose is to establish Supervisor responsibilities for ongoing support and implementation of information security. Management shall require employees, contractors, and third-party users to apply security in accordance with established policies and procedures of the organization. Management must ensure employees comply with information security policies and procedures.
a) Management responsibilities
b) Review of security roles and responsibilities

a) Management responsibilities
Management must support the implementation of information security policies and practices by:

Ensuring employees are informed of information security roles and responsibilities prior to being granted access to information or information systems;
Supporting and encouraging employees to adhere to information security policies; and,
Requiring that employees conform to the terms and conditions of employment, including information security policies.

b) Review of security roles and responsibilities
Information security roles and responsibilities must be reviewed when staffing or restructuring public service or contract positions, or when implementing new, or significant changes to, information systems.

Guidelines:
Management should annually review and validate information security roles and responsibilities in job descriptions, standing offers, contracts and information usage agreements.

A.7.2.2 – Information security awareness, education and training

The Purpose is to increase employee awareness and understanding of security threats, risks and concerns, and information security policies and procedures. XXX. ensures that users (employees and the relevant external parties) are made aware of their security responsibilities through ongoing awareness training programs. All employees are to adhere to them while executing the Roles and Responsibilities as defined. A documented procedure for training exists. XXX., in association with the HR Dept. ensures that all, personnel are imparted ISMS-related training and that a training module on Information security policies becomes an integral part of induction training programs. Employees must receive appropriate information security training and be informed of changes to information security policy and practices.
a) Orientation for new employees
b) Ongoing information security awareness, education, and training

a) Orientation for new employees
The management will include an information security awareness component in orientation processes that employees must complete prior to accessing information or information systems.

b) Ongoing information security awareness, education, and training
Department heads must provide ongoing information security awareness, education, and training, addressing topics including:

Protection of information;
Information privacy requirements;
Records management;
Known information security threats;
Legal responsibilities;
Information security policies and directives;
Reporting information security events;
Appropriate use of resources;
Technology training;
Information on disciplinary processes; and,
How to obtain security advice.

Guidelines:
Resources on information security awareness, education and training are available from:

Information Security Officers;
Manager, HR department

A.7.2.3 – Disciplinary process

The purpose is to ensure a process is in place to review the activities of employees who commit an information security breach or policy violation. Any violation of the signed documents is considered as a disciplinary offense and as such acts as a deterrent to employees who might otherwise be inclined to disregard security procedures. The procedure shall ensure correct, fair treatment for employees who are suspected of committing serious or persistent breaches of security. It is addressed by the reference to XXX. Conduct, Disciplinary, and Appeal (CDA) Rules. Security breaches or policy violations caused by employees must be reviewed by the HOD.

Upon receipt of information identifying employees responsible for a potential or actual security breach or policy violation, HODs are responsible for:

Ensuring the Chief Information Officer has been informed of the outcome of the security incident and investigation;
Assisting in an investigation and verifying the details of the security breach or policy violation;
Determining, in consultation with the HR, if disciplinary action is warranted for employees; and,
Arranging for the permanent or temporary removal of access privileges when appropriate.

A.7.3 Termination or change of employment

Control Objective: To ensure that employees, contractors and third parties exit, XXX. or change employment in an orderly manner.

A.7.3.1 – Termination or change of employment responsibilities

The purpose is to ensure information security responsibilities upon the termination of employment are defined and assigned. Responsibilities for performing employment termination or change of employment are clearly defined and assigned. Refer to XXX. Conduct, Disciplinary, and Appeal (CDA) rules. The Responsibilities for employment termination must be documented. Supervisors must advise employees of ongoing confidentiality responsibilities that continue to apply after termination of employment, as outlined in the Standards of Conduct.

A.8 Asset Management

Information and information systems services constitute valuable organizational resources. Asset management establishes the blueprint to identify the rules of acceptable use and the rules for protection: what assets to protect, who protects them, and how much protection is adequate. To account for the assets that require protection, it specifies the requirement to designate who owns assets. Designated owners become responsible for protecting information and technology assets and maintaining the way assets are protected. It sets the foundation for a system that classifies information to identify different security levels, to specify how much protection is expected and how information should be handled at each level. Not all information requires the same level of protection because only some information is sensitive or confidential.

A.8.1 Responsibility for assets

Control Objective: To achieve and maintain appropriate protection of XXX and its assets.

A.8.1.1 – Inventory of assets

The Purpose is to identify organizational information assets and define appropriate protection responsibilities.

XXX.’s Assets have been classified as:

Hardware – Includes computer equipment (CPU, Peripherals, etc.), communication equipment (routers, switches, etc.), magnetic media (CDs, Tapes, Disks), UPS/Inverters/power backup devices/Battery Bank, Air conditioner, Fire extinguisher, etc.
Software – Includes various applications programs, system software, development tools, and utilities.
Information –Databases, data files, archived information, documentation.
Services – Include communication services, general utilities like power, AC, Buildings (Rent Agreement- Renewal) Services (provided by org external/internal the group), etc.
Management System- Includes Borrowed Information, Copyright/IPR, The whole Organization
Human Resource- That includes Technical Manpower & Administrative manpower

An inventory of all assets is maintained by the IT department in the form of. maintains appropriate protection of the organizational assets. It aims at confidentiality, integrity, and availability. An inventory of all important assets associated with information systems must be documented and maintained.
a) Identification of assets
b) Documenting and maintaining asset inventories
c) Loss, theft, or misappropriation of assets

a) Identification of assets
Information Owners must identify assets under their control including:

Software;
Hardware including mobile devices and tablets;
Services including computer and communications services and general utilities;
Information assets required to be inventoried in the personal information directory (required under the Freedom of Information and Protection of Privacy Act);
All other information assets including: database and data files, contracts and agreements, system documentation, research information, user manuals, training material, operational or support procedures, continuity plans, fallback arrangements, and archived information.

b) Documenting and maintaining asset inventories
Information Owners must document, maintain and verify asset inventories on a regular basis, depending on the criticality and value of the assets, and validate the measures taken to protect the assets as part of an enterprise risk management strategy. Information Owners must document, maintain and verify the personal information directory including the personal information bank and privacy impact assessment sections. The following information should be recorded to facilitate system planning and asset recovery in the case of interruption, corruption, loss, disposal, or destruction:

Type of asset;
Ownership;
Format;
Location;
Back-up information and location;
License information;
Sensitivity and safeguards requirements;
Criticality for service delivery and maintaining business functions; and,
Consequences of loss.

Information Owners and Information Custodians are accountable for asset identification and inventory maintenance.

c) Loss, theft, or misappropriation of assets
The loss, theft, or misappropriation of assets must be reported immediately using the General Incident or Loss Report. Where the loss, theft, or misappropriation involves information, the Information Incident Management Process must be followed.

A.8.1.2 – Ownership of assets

The Purpose: is to designate custodians for assets, with approved management responsibility, for the protection of organizational assets associated with information and technology systems or services. All information and assets associated with information processing facilities shall be owned by a designated part of the organization. The term ‘owner’ identifies an individual or entity that has approved management responsibility for controlling the production, development, maintenance, use, and security of the assets. The term ‘owner’ does not mean that the person actually has property rights to the asset. Information Owners and Information Custodians must be designated for all assets associated with information systems.
a) Responsibilities for asset ownership
b) Designating Information Custodians

a) Responsibilities for asset ownership
All information assets must have a designated owner. An Information Owner is responsible for controlling the production, development, maintenance, use, and security of information and technology assets within their jurisdiction. Information Owners are responsible for:

Ensuring the appropriate classification and safeguarding of information and technology systems or services;
Defining and regularly reviewing access restrictions, classifications and safeguards in accordance with applicable policies; and,
Designating Information Custodians and ensuring that they have the correct tools for protecting designated assets.

b) Designating Information Custodians
Information Owners may delegate responsibility for the custody of information and technology systems or services to Information Custodians. Information Custodians will be responsible for:

Overseeing the functioning of information and technology assets;
Delivery of services in accordance with defined service requirements;
Regular reporting on designated information and technology assets.

Guidelines:
Ownership and custodianship responsibilities should be defined and monitored within the employee’s Performance Management tool “MyPerformance Profile”

A.8.1.3 – Acceptable use of assets

The purpose is to prevent misuse or compromise of the Organization’s information systems. All users of information systems must take responsibility for, and accept the duty to actively protect, information and technology assets. Rules for the acceptable use of information and assets associated with information processing facilities are identified, documented, and implemented. Ref to ISMS-AUA-Acceptable Use of Assets Guidelines. Rules for the acceptable use of information systems must be identified, documented, and implemented.

A.8.1.4 – Return of assets

The purpose is to ensure employees return physical and information assets at termination or change of employment. All employees, contractors, and third-party users are required to return all of the organization’s assets in their possession upon termination of their employment, contract, or agreement. HOD’s must document the return of assets in the possession of employees upon termination of their employment using standard processes. These processes must ensure the return of

documents, files, data, books and manuals in physical or other media formats including other information assets
developed or prepared by an employee or contractor in the course of their duties,
computer hardware, software and equipment (e.g., mobile devices, portable media), and,
access devices, cards, vouchers and keys (e.g., credit cards, taxi cards, travel vouchers);

The HOD must ensure that

Returned items are verified against established asset inventories;
Recovery of compensation for assets not returned, based on established criteria regarding depreciation and replacement value for classes of items; and,
Identification of unreturned access devices, cards, and keys that could permit unauthorized access or alteration, disposal, or destruction of assets, so that information and security systems can be protected.

A.8.2 Information Classification

Control Objective: To ensure that information receives an appropriate level of protection.

A.8.2.1 – Classification of information

The purpose is to define the information security classification system characteristics for information and information systems. There are four levels of information classification. Refer ‘PO-12-ISMS-CLH-Information Classification, Labeling and Handling Policy.docx’ The information security classification system must take into account the value, sensitivity, and intended use of the information.
a) Information and information system security classification
b) Mandatory features of information security classification
c) Mandatory features of information system security classification

a) Information and information system security classification
Information Owners must use the Information Security Classification system to categorize information and information systems. The Chief Information Officer is responsible for the definition, application, and enforcement of the Information Security Classification system. The risk manager is responsible for the definition of Security Categories.
b) Mandatory features of information security classification
The Information Security Classification system must:
1)Apply to information types rather than discrete data elements;
2) Determine the relative value of information including factors such as:

Statutory or regulatory requirements,
Impact to health, life or personal safety,
Effects of data aggregation,
Impact to the Ministry service plan from loss of information confidentiality, integrity and availability, and,
Changes to information sensitivity over time;

3) Maintain compatibility with the Administrative Records Classification System (ARCS) and Operational Records Classification System (ORCS).

The Information Security Classification system must include processes for:

Defining information types for categorization;
Making decisions on categorization of information; and,
Periodic reassessment of the information security categorization processes.

c) Mandatory features of information system security classification

The Information Security Classification system must include processes for:

Categorization of information systems based on the security classification of information stored, handled or processed by the information system; and,
Inclusion of information and system security classification documentation in the System Security Plan.

Guidelines:
The Information Security Classification system is a cornerstone of security and risk assessment activities. The security categories communicate the value and classification of information in a way that allows for decisions to be made about risk management and information handling. Information Security Classifications assist in:

Consistent, comparable Statement of Sensitivity descriptions of the Security Threat and Risk Assessment describing the confidentiality, integrity, and availability requirements of the assessed system.
The selection of system security controls – service providers can bundle system security controls into packages or service offerings based on the consistently defined protection requirements of the information.
The selection of, and consistent application of, information handling and labeling rules.
Information sharing agreements by indicating the relative value of information being exchanged in a consistent and comparable manner across the organization.

A.8.2.2 –Labeling of information

The purpose is to protect the information in accordance with its security classification. The guidelines for labeling and handling of Information. are documented and available in ISMS-CLH-Information Classification, Labeling and Handling Policy.docx. The information must be identified, labeled when appropriate, and handled in accordance with the assigned information security classification.
a) Information labeling procedures
b) Information handling procedures

a) Information labelling procedures
Information Owners and Information Custodians must document procedures to label information with its information security classification as required by the Information Security Classification system. Information labelling communicates the security classification and protection requirements to employees. Information types that must be considered for labelling include printed or electronic records, reports, files, on-screen displays or messages. Information Owners must select and document the appropriate label type for each information type. Automatic information labelling must be used where possible (e.g., by use of document templates, standard report footers, printer watermarks, on-screen displays, or system-applied text). Where direct information labelling is not possible, alternate methods must be used to communicate the information security classification, such as marking storage media, description in information-sharing agreements or system interface specifications, or use of metadata.

b) Information handling procedures
Information Owners and Information Custodians must document information handling procedures for secure processing, storage, transmission, declassification, and disposal of information assets. Information protection procedures must take into account the information security classification, labeling, and handling processes, and access control policies. Procedures must be defined for interpreting information security classification labels from, and handling information exchanged with, other jurisdictions.

Guidelines:
During systems development, specify the information security labeling requirements when defining business requirements for reports, screens, and data storage.

A.8.2.3 –Handling of assets

The purpose is to ensure that documented procedures are used for handling information assets and storage of media in accordance with the security classification of information stored on the media. XXX. has well-defined guidelines for information labeling, handling, and storage in order to protect information from unauthorized disclosure or misuse. Refer to ‘PO-12-ISMS-CLH-Information Classification, Labeling, and Handling Policy.docx’. Information assets must be handled and stored so as to prevent unauthorized information disclosure or misuse, in accordance with the information security classification system.
a) Asset handling procedures
b) Media handling procedures

a) Asset handling procedures
Information Owners must follow the procedures for information security classification when handling information assets. The following items must be considered when dealing with information assets:

Access restrictions supporting the protection requirements for each level of classification;
Protection of temporary or permanent copies of information to a level consistent with the protection of the original information;
Storage of IT assets in accordance with manufacturers’ specifications;
Clear marking of all copies of media for the attention of the authorized recipient.

Information sharing agreements must include:

Procedures to identify the classification of that information;
Interpretation of the classification labels from other organizations; and,
Level of protection required.

b) Media handling procedures
Information Owners must document media handling procedures that are compliant with the information security classification and handling requirements for information stored on the media. If information of various security classifications is stored on media, the media must be handled according to the highest classification of the information stored. Media handling documentation must include procedures for:

Marking of media to its highest information classification level label, in order to indicate the sensitivity of the information contained on the media;
Access control restrictions and authorization;
Correct use of technology (e.g., encryption) to enforce access control;
Copying and distribution of media, including minimization of multiple copies, marking of originals, and distribution of copies;
Operating the media storage environment and managing media lifespan according to manufacturer specifications;
Regular status accounting of media;
Maintenance of media transfer and storage records;
Media destruction and disposal; and,
Employee training.

Only approved media devices appropriate for the classification of the information being stored must be used.

A.8.3 Media handling

Control Objective: To prevent unauthorized disclosure, modification, removal, or destruction of assets, and interruptions to business activities.

A.8.3.1 – Management of removable media

The purpose is to ensure that risks to the information introduced by portable storage devices are managed. All media should be stored in a safe, secure environment, in accordance with manufacturers’ specifications. XXX. has defined a procedure for the management of computer media containing sensitive data. Refer ‘PR-17-ISMS-AHP-Media Handling Process.docx’. All removable computer media must be managed with controls appropriate for the sensitivity of the data contained on the media.
a) Management of records
b) Use of portable storage devices
c) Human factors
d) Risk assessment factors and controls
e) Mandatory controls

a) Management of records
CISO is responsible for the management and disposal of records according to records schedules approved under the Procedure for control of records.
b) Use of mobile or portable storage devices
The use of mobile or portable storage devices to store or transport information increases the risk of information compromise. These devices are typically small and are easily lost, stolen, or damaged, particularly when transported in public environments. Mobile or portable storage devices include, but are not limited to, USB drives, external hard drives, smartphones, tablets, laptops, and mp3 players. Information Owners must:

Ensure that use of mobile or portable storage devices is managed and controlled to mitigate risks;
Document processes for authorizing use of mobile or portable storage devices; and,
Ensure employees using mobile or portable storage devices protect information and information technology assets in their custody or control.

Information Owners must conduct a Security Threat and Risk Assessment on mobile devices or mobile computing services to determine the risk profile and suitability of the device or the service for use prior to deployment within the organization. Technical standards for each device type must be documented including product name, mandatory controls, permitted information classifications, and strength of controls such as encryption key length. Device handling procedures should include instructions to minimize the amount of information stored on mobile or portable storage devices.

c) Human factors
Information Owners must ensure employees using portable storage devices are:

Aware of the additional risks and responsibilities inherent with portable storage devices;
Familiar with the required protection technologies and when they must be used; and,
Familiar with the Information Incident Management Process and General Incident or Loss Reporting procedures.

d) Risk assessment factors
The Security Threat and Risk Assessment must consider the impact of disclosure or loss of information stored on portable media from threats such as:

Loss or physical theft;
Limited ability to control and log access to stored data;
Accidental media disposal or destruction;
Improper long term storage environment;
Exposure to malware; and,
Incomplete erasure of data prior to device disposal.

Information classification and sensitivity levels must be considered in the risk assessment.

e) Mandatory controls

Minimum information protection safeguards for the use of portable storage devices must include:

Disabling portable storage devices, media drives or connection ports where no business reason exists for their use;
Documented definition of information classifications or sensitivities permitted to exist on specific media types;
Not storing the only version of a document on portable storage devices;
Documented authorization processes for use of portable storage devices;
Encryption of stored data;
Contractual requirements for external parties that transport, handle or store portable storage devices; and,
Adherence to manufacturer specifications for use of portable storage devices.

Documented portable storage devices handling procedures include:

Off-site storage;
Third party transportation;
Information backup;
Protection against malware;
Logging of media custody and location to allow for accounting and audit;
Media labelling to indicate owner, classification and special handling restrictions;
Maintenance of information where the information storage requirement exceeds the expected media lifetime; and,
Secure erasure and disposal

A.8.3.2 – Disposal of media

The purpose is to ensure that information cannot be retrieved from media that is no longer in use.XXX. has defined procedure for the disposal of computer media. Media must be disposed of securely and in a manner appropriate for the sensitivity of the data it contains. The Tapes, CDs, and Hard Disks have been covered in ‘PR-17-ISMS-AHP-Media Handling Process.docx’.
Any asset capable of storing electronic information is considered a type of media, including mobile and portable storage devices, hard disks, CDs, DVDs, and tapes. Information Owners and Information Custodians must ensure that media that is no longer required operationally (e.g., due to expiry, surplus, damage or wear), is disposed of securely. Prior to disposal, the CISO office must be consulted. Media disposal procedures must:

Be documented and communicated to employees;
Specify erasure and disposal measures whose strength is based on information sensitivity and type of media (e.g., erasure software);
Include secure disposal or destruction of media if erasure is not sufficient, or not cost-effective (e.g., destruction by shredding, incineration, or chemical dissolution);
Include secure storage measures for media collected for and awaiting erasure or disposal, to avoid undetected theft of small amounts of media from large volumes awaiting disposal; and,
Include audit logs of media disposal.
Corporate Information and Records Management Office is responsible for ensuring secure disposal services are available to Information Owners and Information Custodians.

Guidelines:
A Corporate Supply Arrangement exists for the provision of secure media disposal services. Secure disposal service companies should be used where practical to perform media disposal. Contact the Ministry Records Officer for further details.

A.8.3.3 – Physical media transfer

The purpose is to protect information from unauthorized disclosure or loss during the physical transport of media. Backup media, Floppy, CD, Hardcopy, etc. being transported from one location to the other is protected from unauthorized access, misuse and corruption by sending them through trusted, employees with proper authorization and adequate protection. The Chief Information Officer must document and implement security measures for the protection of media during transport that meet information classification and handling requirements. If information of various classifications is stored on media, the media must be protected according to the highest classification of the information stored. Minimum media transport requirements are:

Using couriers that are approved by the organization;
Inspecting identification credentials of couriers upon pickup and delivery of packages;
Obtain and retain receipts for media shipments;
Using packaging that will protect the media from loss or damage; and,
Packaging so that the classification of the media is not displayed.
Responsibility for specification of physical transport procedures are shared between Corporate Information and Records Management Office and the Risk Management Branch and Information Security Office.

Guidelines:
Where supported by a Security Threat and Risk Assessment, additional controls to protect media during transport include:

Using notifications of transport activities, such as o sender informing receiver of the impending shipment, and, receiver confirming receipt of the shipment;
Using two layers of packaging where the inner layer indicates the classification and handling requirements; and,
Using a locked container.

A.9 Logical Security /Access Control

This identifies the controls that restrict access to the information and information assets. Access control protects organizations from security threats such as internal and external intrusions. The controls are guided by legislation that protects particular types of information (e.g., personal and other types of confidential information) and by business requirements. Access control policies provide the blueprint for the management of employee access, authorizations, and control requirements for computer networks, operating systems, applications, and information. This identifies security best practices and responsibilities for administrators and employees.

A.9.1 Business requirement for access control

Control Objective: To restrict access to information and information processing facilities.

A.9.1.1 – Access control policy

The purpose is to ensure that information and information systems are available for authorized use and protected from unauthorized use. XXX. has implemented access control to information based on the business requirements and security requirements on a ‘need-to-know’ basis. Well-documented access control policies and procedures are in place. Refer ‘PO-07-ISMS-ACP-IT Access control Policy.docx’. Access to information systems and services must be consistent with business needs and be based on security requirements.
a) Access control policy
b) Access control policy management
c) Review of access control policy

a) Access control policy
Information Owners are responsible for establishing, documenting and approving access control policies which must:

Support and enable business requirements;
Be based on requirements identified in Privacy Impact Assessments and Security Threat and Risk Assessments; and,
Include classification of assets.

Access control policies must additionally:

Consider both physical and logical access to assets;
Apply the need-to-know and least privilege principles;
Set default access privileges to deny-all prior to granting access;
Require access by unique user identifiers or system process identifiers to ensure that all access actions are auditable;
Have permissions assigned to roles rather than individual user identifiers;
Access requirements should be determined at a functional, work unit level.

The access control policy must be communicated to employees as part of awareness training.

b) Access control policy management
Information Owners and Information Custodians are responsible for establishing processes to manage the access control policies, including:

Ensuring the process is communicated to all employees;
Documenting processes for employee registration and deregistration;
Segregating roles and functions (i.e. access requests, access authorization, access administration);
Defining rules for controlling access to privileged system functions;
Identifying roles and/or functions which require multi-factor authentication;
Identifying and justifying exceptional cases where there is a need for enhanced employee security screening for sensitive assets.

c) Review of access control policy
Information Owners must conduct periodic reviews of the access control policies as part of an ongoing process for risk management, security, and privacy. Annual reviews are recommended. Reviews must be conducted:

Prior to the introduction of new or significantly changed systems, applications or other services or major technology changes;
When the threat environment changes or new vulnerabilities arise;
Following significant organization re-organization as appropriate;
For sensitive and business critical assets, reviews should be conducted more frequently than annually, based on the Security Threat and Risk Assessment.

A.9.1.2 – Access to network and network services

The purpose is to support the information system access control policy by limiting network access to authorized users of specific information systems. The access to the internal and external network of XXX. is controlled. This includes any direct access to services that are business-critical to users within the domain and direct access to the network from users in a high-risk location like users through the Internet. Users shall only have direct access to the services that they have been specifically authorized to use. A defined and documented policy for use of network services exists. Employees must only be provided access to the network services they have been specifically authorized to use.
a) Access to network services
b) Management controls and processes
c) Means for accessing networks and network services

a) Access to network services
Information Owners must enable network services needed to support business requirements (e.g., by explicitly enabling needed services and disabling unneeded services). Access to network services will be controlled at network perimeters, routers, gateways, workstations, and servers. Information system network access must be restricted to the authorized users and systems, using the principle of least privilege, as defined in the access control policies for the information system.
b) Management controls and processes
Information Owners must document processes for management of network access, including:

Documentation and review of implemented network access controls;
Identification of threats, risks and mitigation factors associated with network services;
Testing of network access controls to verify correct implementation; and,
Assisting Information Owners to verify the principle of least privilege is used to minimize access, as specified in the access control policy.

c) Means for accessing networks and network services
Information Owners must define and implement:

Permitted network access methods for each network zone (e.g., direct connection, Virtual Private Network, Wi-Fi, remote desktop connection, desktop terminal services); and,
Minimum security controls required for connection to networks (e.g., patch levels, anti-virus software, firewalls, user and system authentication requirements).

A.9.2 User access management

Control Objective: To ensure authorized user access and to prevent unauthorized access to information systems.

A.9.2.1 – User registration & deregistration

The purpose is to ensure that all access actions are traceable to an identifiable individual or process. There must be a formal employee registration and de-registration process for granting access to all information systems.
a) Registration
b) De-registration

a) Registration

Information Owners are responsible for managing access to the assets under their control and must implement registration processes which:

Require approval for all access rights;
Ensure access requests are approved by the Supervisor of the employee requesting access;
Ensure the reasons for requesting access are consistent with job responsibilities;
Maintain records of access right approvals;
Ensure employees understand the conditions of access and, when appropriate, have signed confidentiality agreements;
Ensure access rights are consistent with the data uses documented in the approved Privacy Impact Assessment;
Ensure accesses are traceable to an identifiable individual or process;
Ensure each employee is assigned a single unique identifier for accessing information systems;
Ensure the responsibilities for authorizing access are segregated from the responsibilities for granting access;
Restrict access by using predefined role permissions;
Provide secure and separate transmission of the user identifier and password to the employee; and,
In exceptional cases, where warranted by the classification of the asset and supported by a Security Threat and Risk Assessment, ensure enhanced employee security screening or background checks are completed prior to authorizing access.

b) De-registration
Information Owners must formally assign responsibilities and implement processes to:

Remove access privileges for employees no longer with the organization within 5 working days;
Promptly review access rights whenever an employee changes duties and responsibilities;
Promptly review access rights whenever the employee’s branch or department is involved in significant reorganization;
Review access privileges for employees on extended absence or temporary assignments within 10 working days of the change of status;
Remove access privileges for employees terminated for cause concurrent with notification to the individual; and,
Quarterly check for and remove inactive or redundant user identifiers.

Authority and Exceptions:

Individual employees may have multiple identifiers when:

Required to meet limitations of technology (e.g., IDIR, MVS).
Required to meet unique business requirements provided the rationale is documented and approved by the Information Owner.

A.9.2.2 – User access provisioning

The Purpose is to ensure authorized user access and to prevent unauthorized user access to systems and services. A unique login id and password have been assigned to all users, with varying privileges, depending on roles, and requirements. User identification and authentication are implemented in accordance with privileges granted to the respective user. A formal employee access provisioning process must be implemented to assign or revoke access rights for all user types to all systems and services. Information Owners and Information Custodians must implement a formal employee access provisioning process. The provisioning process for assigning or revoking access rights granted to user IDs must include:

Obtaining authorization from the owner of the information system or service for the use of the information system or service. Separate approval for access rights from management may also be appropriate;
Verifying that the level of access granted is appropriate to the access policies and is consistent with other requirements such as segregation of duties;
Ensuring that access rights are not activated (e.g., by service providers) before authorization procedures are completed;
Maintaining a central record of access rights granted to a user ID to access information systems and services;
Adapting access rights of employees who have changed roles or jobs and immediately removing or blocking access rights of employees who have left the organization; and,
Periodically reviewing access rights with owners of the information systems or services.

Guidelines:
Employee access roles should be established based on business requirements that summarize a number of access rights into typical user access profiles. Access requests and reviews are more easily managed at the level of such roles than at the level of particular rights. Consideration should be given to including clauses in employee contracts and service contracts that specify sanctions if unauthorized access is attempted by employees.

A.9.2.3 – Management of Privileged Access rights (Password Policy)

The purpose is to prevent unauthorized access to multi-user information systems. The allocation and use of privileges are restricted and controlled. Any privilege given onto any system of XXX is covered. The allocation and use of system privileges must be restricted and controlled.
a) Managing, restricting, and controlling the allocation and use of system privileges
b) Managing the issuance of privileged user credentials
c) Managing the issuance of multiple factors of authentication credentials

a) Managing, restricting and controlling the allocation and use of system privileges

Information Owners are responsible for authorizing system privileges and must:

Identify and document the system privileges associated with each information system or service;
Ensure the process for requesting and approving access to system privileges includes Supervisor approval(s) prior to granting of system privileges;
Ensure processes are implemented to remove system privileges from employees concurrent with changes in job status (e.g., transfer, promotion, termination);
Limit access to the fewest number of employees needed to operate or maintain the system or service;
Ensure the access rights granted are limited to and consistent with employee job functions and responsibilities;
Maintain a record of employees granted access to system privileges;
Ensure use of system privileges is recorded in audit logs which are unalterable by the privileged user;
Implement processes for ongoing compliance checking of the use of system privileges; and,
Implement processes for regular review of authorizations in place to confirm that access is still needed and that the least number of users needed have access.

User identifiers with system privileges must only be used for performing privileged functions and not used to perform regular activities. User identifiers established to perform regular activities must not be used to perform privileged functions.

Guidelines:

The design of information systems should include processes for performing regular maintenance activities which avoid the requirement of system privileges.
Whenever possible system routines should be used to execute system privileges rather than granting system privileges to individual employees.
System acquisition and development should encourage use of programs which minimize the need for employees to operate with system privileges.

Privileged users should:

Not read the data of an information asset unless authorized;
Be able to alter user permissions for an information asset; and,
Be permitted to view, but not alter, user activity logs as part of security safeguards.

b) Managing the issuance and revocation of privileged user credentials
The issuance of privileged user credentials must have two levels of approval. The use of system privileges should require the use of multi-factor authentication.

c) Managing the issuance of multiple factors of authentication credentials
The management of issuance of multiple factors of authentication credentials is covered in the Cryptographic Standards for Information Protection.

A.9.2.4 – Management of Secrete Authentication information of users (Password Management)

The purpose is to define the formal management processes for issuing passwords. XXX has a well-defined password policy and guidelines. The issuance and revocation of authentication credentials must be controlled through a formal management process. Ministries must formally designate individuals who have the authority to issue and reset passwords. The following applies:

Passwords must only be issued to employees whose identity is confirmed prior to issuance;
Individuals with the authority to reset passwords must transmit new or reset passwords to the employee in a secure manner (e.g., using encryption, using a secondary channel);
Whenever technically possible, temporary passwords must be unique to each individual and must not be easily guessable;
Passwords must never be stored in an unprotected form;
Default passwords provided by technology vendors must be changed to a password compliant with the standards during the installation of the technology (hardware or software); and,
The revocation of authentication credentials must follow a formal process.

A.9.2.5 – Review of user access rights

The purpose is to ensure that access rights only exist for users with a defined “need to know”.User privileges for XXX will be reviewed every three months and for global users, it will be reviewed once every year. The System Administrator shall review the access rights & the respective Business Owner shall ratify the review report. Information Owners must formally review employee access rights at regular intervals.
a) Circumstances and criteria for formal access right review
b) Procedure for formal access right review

a) Circumstances and criteria for formal access right review
Information Owners must implement formal processes for the regular review of access rights. Access rights must be reviewed:

Annually;
More frequently for high-value information assets and privileged users;
When an employee’s status changes as the result of a promotion, demotion, removal from a user group, re-assignment, transfer, or other change that may affect an employee’s need to access information assets;
As part of a major re-organization or the introduction of new technology or applications; and,
When Information Owners change the access control policy.

b) Procedure for formal access right review
Review of access rights must include the following:

Confirmation that access rights are based on the need-to-know and least privilege principles;
Confirmation that all members of the group/role have a need-to-know;
Reviews and verification of access control lists dated and signed by the reviewer and kept for audit purposes; and,
Confirmation that changes to access rights is logged and auditable.

Access control logs and reports are organization records and must be retained and disposed of in accordance with approved record management schedules.

A.9.2.6 – Removal or adjustment of access rights

The purpose is to ensure physical and logical access rights to information systems and information processing facilities are managed in relation to the security responsibilities of the job requirements. The access rights of all employees, contractors, and third-party users to information and information processing facilities are removed upon termination of their employment, contract, or agreement, or adjusted upon change. The access rights of employees to information systems must be removed upon termination of employment and reviewed upon change of employment.
a) Change of employment status
b) Action upon termination or change of employment
c) Reduction of access rights

a) Change of employment status
Dept HOD must review access to information systems and information processing facilities when employees change employment, including:

When employees assume new roles and responsibilities;
During restructuring of positional or organizational roles and responsibilities;
When employees commence long-term leave; and,
Updating directories, documentation and systems.

b) Action upon termination or change of employment
Dept HOD must ensure access to information systems and information processing facilities is removed upon termination of employment or reviewed upon change of employment by:

Removing or modifying physical and logical access;
Recovering or revoking access devices, cards and keys; and,
Updating directories, documentation and systems.

c) Reduction of access rights
Dept HOD must ensure access to information systems and information processing facilities is reduced or removed before the employment terminates or changes, based upon the evaluation of risk factors such as:

Whether the termination or change is initiated by the employee/contactor or by the HOD;
The reason for termination;
The current responsibilities of the employee/contractor; and,
The value of the assets currently accessible.

A.9.3 User Responsibilities

Control Objective: To prevent unauthorized user access, and compromise on the theft of information and information processing facilities.

A.9.3.1 – Use of Secret Authentication Information

The purpose is to maintain the integrity of the unique identifier (user-id) by ensuring employees follow security best practices. XXX. has a well-defined password usage guideline for users to follow. Employees must follow security best practices in the selection and use of passwords.
a) Selection of passwords
b) Password change
c) Privileged accounts
d) Protection and use of passwords

a) Selection of passwords

When selecting passwords employees must:

Select complex passwords, i.e., a mixture of characters as specified in the Standard;
Keep authentication information confidential;
Avoid recording authentication information; and,
Avoid using the same password for multiple accounts.

The effectiveness of access control measures is strengthened when employees adopt security best practices for selecting passwords.

b) Password change
Passwords must be changed:

During installation of hardware or software which is delivered with a default password;
Immediately if a password is compromised or if compromise is suspected. If compromise has taken place or is suspected the incident must be reported in accordance with the Information Incident Management Process; and,
In compliance with password change instructions issued by an automated process (e.g., password life-cycle replacement) or an appropriate authority.

c) Privileged accounts
Privileged accounts have wider and more powerful access rights to information assets. Employees authorized to create or who hold privileged accounts must use passwords that are at least 15 characters where technically feasible.

d) Protection and use of passwords
Passwords are highly sensitive and must be protected by not:

Sharing or disclosing passwords;
Permitting anyone to view the password as it is being entered;
Writing down a password;
Storing other personal identifiers, access codes, tokens or passwords in the same container;
Keeping a file of passwords on any computer system, including mobile devices, unless that file is encrypted according to the Cryptographic Standards for Information Protection;
Employing any automatic or scripted logon processes for personal identifiers; and,

Where a business need is defined to keep written records of passwords, a request for a policy exemption must be submitted to the Chief Information Security Officer.

Standards:
The Complex Password Standard for organization systems requires that passwords must:

Not contain the username or any proper names of the employee.
Contain a minimum of 8 characters;
Contain characters from three of the following categories:
- English upper case characters (A to Z),
- English lower case characters (a to z),
- numerals (0 to 9), and,
- non-alphanumeric keyboard symbols (e.g., ! $ # %); and,

For example, the complex password “T#ocitpi7” is derived from the phrase “The number of clowns in the parade is seven”. Complexity can be further increased by substituting numbers for vowels. For mobile devices connecting to the messaging server, the following password rules apply:

Passwords must contain a minimum of 6 characters;
Controls should be in place to prevent the use of overly simple passwords; and,
The use of a combination of numbers, symbols, upper and lower case characters is recommended to increase the password strength.

Guidelines:
Never divulge your password to anyone. Legitimate IT technical support employees such as systems administrators, helpdesk, and security will not ask employees for their passwords.

Authority and Exceptions:
Exception is granted to RACF and VM Secure due to technical product limitations.

A.9.4 Operating system access control

Control Objective: To prevent unauthorized access to systems and applications.

A.9.4.1– Information access restriction

The purpose is to restrict access to application systems functions and information to authorized individuals or systems. Unauthorized access to information is restricted. Access to information systems functions and information must be restricted in accordance with the access control policy.
a) Information access controls
b) System configuration
c) Publicly accessible information
d) Segregation of sensitive information systems

a) Information access controls
Information Owners are responsible for ensuring the implementation of the access control policy for their business applications. Every information system must have an access control policy that specifies access permissions for information and system functions. The access control policy must identify the information and system functions accessible by various classes of users. The application and information section of the access control policy must specify:

The information to be controlled;
The system functions to be controlled; and,
The roles authorized to access the resources and information and what types of access are permitted (e.g., Create, Read, Update/Write, Delete, Execute) based on business need.

b) System configuration
Information system access controls must be configurable to allow Information Custodians to modify access permissions without making code changes. System utilities or functions that can bypass user access controls must be specified in the access control policy. Access to these utilities and functions must be restricted.

c) Publicly accessible information
Information that is publicly accessible must be segregated from non-public information.

d) Segregation of sensitive information systems
Information Owners must conduct a Security Threat and Risk Assessment to determine the information system classification level. The information system classification level determines which network security zone the information system must reside in. Security zones must be established using physical or logical methods, which may include separate network segments, separate servers, firewalls, access control lists, and proxy servers.

A.9.4.2 – Secure log-on procedures

The purpose is to ensure access to information systems is limited to authorized users and processes. All user machines are accessible through a user name and password. These are assigned to each authorized user and are unique in nature. Unauthorized access is not permitted. Access to information systems must use a secure login process.
a) Information displayed during logon
b) Unsuccessful logon attempts
c) Password transmission

a) Information displayed during logon
CISO must ensure that Information owners configure logon processes to minimize the opportunity for unauthorized access, which includes:

Not displaying details about backend systems (e.g., operating system information, network details) prior to successful completion of the logon process to avoid providing an unauthorized user with any unnecessary assistance;
Validating logon information only on completion of all input data; and,
Not displaying passwords in clear text as they are entered.

b) Unsuccessful logon attempts
CISO must ensure that Information owners configure logon processes to:

Record unsuccessful logon attempts;
Allow a limited number of unsuccessful logon attempts;
Limit the maximum and minimum time allowed for the logon procedure, and if exceeded, the system should terminate the logon; and,
Force a time delay or reject further logon attempts if the limited number of consecutive unsuccessful logon attempts is reached.

c) Password transmission
Information Owners and must ensure logon processes are configured to prevent transmission of passwords in cleartext.

Standards:
After three consecutive failed logon attempts for an account the logon process must:

Lock the account and require Administrator intervention; or,
Lock the account for 15 minutes and then allow a further three logon attempts.

Guidelines:
A general warning should be displayed that the information system is accessed only by authorized users. The logon procedure should permit users to monitor the security of their account by displaying the following information on completion of a successful login:

Date and time of the previous successful logon; and,
Details of any unsuccessful logon attempts since the last successful logon.

A.9.4.3 – Password management system

The purpose is to support the operating system access control policy through the use of password management systems to enforce the password standard. .XXX has a well-defined password policy and access management process. A password management system must be in place to provide an effective, interactive facility that ensures quality passwords.

Enforcing quality password rules
Allocation of unique identifier
Authentication of identity
Shared user identifiers

1) Enforcing quality password rules
Information Owners must ensure password management systems:

Enforce the use of individual user identifiers and passwords;
Support selection and change of passwords using the Complex Password Standard;
Enforce change of temporary passwords at first login and after password reset by an Administrator;
Enforce regular user password change, including advance warning of impending expiry;
Prevent re-use of passwords for a specified number of times;
Prevent passwords from being viewed on-screen;
Store password files separately from application system data;
Ensure password management systems are protected from unauthorized access and manipulation; and,
Store and transmit passwords in protected (e.g., encrypted) form.

The password management system standard for Organization systems requires that users must be:

Prevented from re-using the same password within 12 months; and,
Provided with notification at least 10 days before their password will need to be changed.

2) Allocation of a unique identifier
Information Owners must ensure employees are issued unique user identifiers (user ids) for their use only. The documented and approved process for allocating and managing unique identifiers must include:

A single point of contact to:
- manage the assignment and issuance of user identifiers,
- ensure that users, except for privileged users, are not issued multiple identifiers for any one information system or platform, and,
- record user status (e.g., employee, contractor);
Identification of those individuals or positions authorized to request new user identifiers;
Confirmation that the user has been informed of appropriate use policies;
Automated linkages with the employees management system (i.e., CHIPS) to identify transfers, terminations and extended leave actions to initiate the suspension or cancellation of user identifiers;
Linkages with contract management offices and/or contract managers to identify and maintain the status of identifiers issued to contractors; and,
Conducting annual reviews to confirm the continued requirement for the user identifier.

To segregate roles or functions, privileged users may be issued multiple identifiers for an information system or platform.

2) Authentication of identity
Information Owners must ensure that user identifiers are authenticated by an approved authentication mechanism. User identifiers authenticated by means other than a password must use a mechanism approved by the Chief Information Officer.

3) Shared user identifiers
In exceptional circumstances, where there is a clear business benefit identified by the Information Owner, the use of a positional user identifier for a group of users or a specific job can be used, provided:

Positional user identifiers are not used for privileged users; and,
The Supervisor responsible for the position using the positional user identifier:
- Maintains a record of the name of the individual, the user identifier, and the start and end date of use, and,
- Deactivates the user identifier when not in use by requesting a password reset.

Guidelines:
Processes for issuing and managing information system user identifiers should be coordinated with those for issuing and managing other identification credentials (e.g., building passes, user identifiers for telecommunications services provided to an individual).

A.9.4.4 – Use of system utilities (Privileged utility programs)

The purpose is to restrict and tightly control the use of utility programs, which may be used to override system and application controls. All system utility programs, which impact the operations of the systems, are installed with controlled access to administrative accounts. System Utilities are controlled. The use of system utility programs must be restricted and tightly controlled.
a) Restriction and control of system utility programs
b)Session time-out

a) Restriction and control of system utility programs
Information Owners must limit use of system utility programs by:

Defining and documenting authorization levels;
Restricting the number of users with access to system utility programs;
Annually reviewing the status of users with permissions to use system utility programs;
Ensuring that the use of system utilities maintains segregation of duties;
Requiring a secure logon process to be used to access system utilities;
Ensuring that all system utility programs are identified and usage logged;
Segregating system utilities from application software where possible; and,
Removing or disabling unnecessary and obsolete system utilities and system software.

Guidelines:
The use of system utility programs should be limited to privileged users. The use of system privileges should require the use of multiple factors of authentication.

b) Session time-out
Information Owners must define and implement automatic termination or re-authentication of active sessions after a pre-determined period of inactivity. The information systems must have session time-outs managed by operating system access, application, or infrastructure controls. Application and network sessions must be terminated or require re-authentication after a pre-defined period of inactivity commensurate with the:

Risks related to the security zone;
Classification of the information being handled; and,
Risks related to the use of the equipment by multiple users.

The session must be terminated or require re-authentication after a period of no more than 15 minutes of inactivity.

A.9.4.5 – Access control to program source code

The purpose is to protect information systems from unauthorized access or modification. Source code and program libraries are not accessed by unauthorized people. Code management of IT-related applications is being performed according to the ‘PR-08-SCM-Configuration Management Process’. Information Owners must implement procedures to control access to program source code for information systems to ensure that:

Program source code is isolated and stored separately from operational information systems;
Privileged users access is defined and monitored;
A change control process is implemented to manage updating of program source libraries and associated items;
Program source code contained on any media must be protected; and,
Accesses and changes to program source libraries are logged.

A.10 Cryptography

The use of cryptography for information controls needs to be based on the Security Threat and Risk Assessment and the level of harm caused by the loss of confidentiality and/or integrity. The cryptographic policies are under the direction of the Chief Information Officer.

A.10.1 Cryptographic Controls

Control Objective: To protect the confidentiality, authenticity, or integrity of information by cryptographic means.

A.10.1.1 – Policy on the use of cryptographic controls

The process is to manage the use of cryptography for protecting the confidentiality and integrity of electronic information. The use of cryptographic controls must be based on the risk of unauthorized access and the classification of the information or information system to be protected.
a) Cryptographic controls – Roles and responsibilities
b) Acceptable use of cryptography

a) Cryptographic controls – Roles and responsibilities
The Chief Information Officer provides direction and leadership in the use of cryptography and the provision of cryptographic services, such as those used for user registration services and key management services, by:

Establishing policy and providing strategic direction on the use of cryptography across the organization;
Instituting the approach to key management;
Establishing roles and responsibilities;
Setting standards for cryptographic algorithms and key length; and,
Approving the use of cryptographic services.

The Chief Information Security Officer supports the use of cryptography in organization by:

Defining and maintaining the Cryptographic Standard for Information Protection; and,
Providing technical advice on the use of cryptography.

Information Owners must document the use of cryptography in the System Security Plan for the information system.

b) Acceptable use of cryptography
The type and quality of cryptographic controls used in information systems must be based on a Security Threat and Risk Assessment, and include consideration of:

Confidentiality requirements, in accordance with information classification, labelling and handling requirements;
Integrity requirements (e.g., for financial payment instructions in excess of a specified dollar amount);
Non-repudiation requirements (e.g., for proof of the occurrence or non-occurrence of an event);
Authentication requirements (e.g., proof of identity);
Other security measures (e.g., for proof of origin, receipt, or ownership);
Legislation, regulations or policies requiring the use of cryptography;
Restrictions on the export or use of cryptographic products; and,
Risks relating to the long-term storage of electronic information (e.g., recovery of encrypted data, long-term key maintenance).

Information Owners must register the use of approved cryptographic products and services with the Chief Information Security Officer.

A.10.1.2 – Key Management

The purpose is to provide trustworthy key management processes for cryptographic services. A key management system based on policy, procedures, and approved methods must be used to support and protect the use of cryptographic controls throughout their life-cycle. The Chief Information Officer is responsible for approving key management standards and processes, including:

Selection of cryptographic keys with sufficient lengths;
Distribution, storage and periodic updating of cryptographic keys;
Revocation of cryptographic keys (e.g., when a recipient changes job);
Recovery of cryptographic keys that are lost, corrupted or have expired;
Management of cryptographic keys that may have been compromised;
Archival of cryptographic keys and the maintenance of cryptographic key history; and,
Allocation of activation/de-activation dates.

A.11 Physical and environmental security

This identifies requirements for protection from environmental and man-made threats to employees and property. One of the principles used for protection is the use of a layered defense, with perimeters and security zones that place computers, people, and information in secure areas. Requirements for the installation, operation, protection, and maintenance of computer equipment are identified to preserve the security of information and information systems.

A.11.1 Secure areas

Control objective: To prevent unauthorized physical access, damage, and interference to the organization’s premises and information.

A.11.1.1 – Physical security perimeter

The purpose is to prevent unauthorized physical access to organization information processing facilities. XXX. has a well-defined policy on physical security and procedure on physical access control. XXX has implemented different security barriers to check the access into the premises.

XXX. has main entry and exit point manned by security personnel.
Entry to company premises for the employees is through biometric /access card and for visitors is through visitors pass.
Access to specific /secure areas like server rooms is monitored through access card.
Video Surveillance will be done through cameras installed at critical location.

The information processing facilities must be protected by a physical security perimeter.
a) Security perimeter
b) Maintenance

a) Security perimeter
Information Owners must ensure that the perimeters of an information processing facility are physically sound in design and consider landscaping, lighting, fencing, and closed-circuit television on the access routes to the building; that the roof, walls, and flooring are of solid construction; and that exterior access points, windows, and doors are equipped with appropriate security controls (e.g., locks, alarms, bars). All information processing facilities are a Restricted Access, Security Zone. Appropriate security controls must be applied to reduce the level of identified risks and include:

A structure that prevents external visual and audio observations and complies with all applicable building codes for structural stability (external walls, internal walls, ceilings, and doors). Walls surrounding the facility must be extended from true floor to true ceiling (slab to slab), to prevent unauthorized entry and minimize environmental contaminations such as that caused by fires and floods. Appropriate control mechanisms (e.g., locks, alarms, and bars on windows and doors) must be applied to prevent unauthorized access;
All information processing facilities must be equipped with physical intrusion alarm systems that automatically alert monitoring employees to take immediate action;
Information processing facilities must be equipped with doors that close automatically. These doors must set off an audible alarm when kept open beyond a certain period of time;
All fire doors must be equipped with crash bars to allow a quick exit in the event of an emergency. When the doors are opened an audible alarm may also be set off;
Alarm systems must be continuously monitored (i.e., 24 hours a day, 7 days a week); and,
The information processing facilities must be physically separated from those managed by third parties.

b) Maintenance
Information Owner must review, and where appropriate test, physical security and environmental control requirements at least annually. Security requirements for facilities must be evaluated prior to significant:

Alteration to exterior building layouts;
Changes to perimeter security controls;
Change in operations; and,
As part of any related security incident investigation.

Guidelines:
The following guidelines support physical and environmental security by establishing perimeter security for information processing facilities:

Information processing facilities should have a manned reception area to control access to the facility where feasible;
Common service spaces such as eating areas, washrooms, cloakrooms, boardrooms, and storage areas should be located so that they cannot be used to circumvent physical security;
Visitor reception should be separate from entrance areas but provide an unobstructed view of the entrance; and,
When physical security is outsourced, the contract must require that contracted employees are security screened and bonded.

A.11.1.2 – Physical entry controls

The purpose is to prevent unauthorized physical access to the information. Secured areas are protected by appropriate entry controls to ensure that only authorized personnel are allowed access. Secure areas must be protected by appropriate entry controls to ensure that only authorized employees are allowed access.
a) Entry controls
b) Maintenance

a) Entry controls
Information Owners must establish the appropriate type and number of restricted zones to achieve the necessary conditions for employee safety and for the protection of sensitive or valuable information and assets. The establishment of restricted zones must be supported by a Security Threat and Risk Assessment. Access to any information processing facility or areas where sensitive information is kept must be restricted. Access to restricted zones must be controlled, authorized, and monitored as required by the applicable zone. Entry controls must identify, authenticate and log all access attempts to a Restricted Access Operations Zone or a Restricted Access Security Zone as follows:

Restricted Access Operation Zone access is limited to ministry employees and their escorted visitors (i.e., standard working areas, conference rooms, offices); and,
Restricted Access Security Zone access is limited to authorized employees and their escorted visitors (i.e., communication closets, server rooms).

Every person authorized to enter a facility, including visitors, must be issued an identification badge that contains identifying information (such as name and photograph) and their level of building access. Badge color or some other bold identifier may be used to represent the level of access.

All badges must be checked prior to entry. A receptionist, security guard, or electronic reader that logs the identity, time, date, and access privileges of each entry attempt must do such checking. Entry control may be achieved using keys, proximity card readers, or other technologies;
Employees must challenge anyone in a secure area who is not displaying an identification badge;
Visitor or temporary access badges must be returned and accounted for at the end of each day;
Entry logs must be reviewed on a quarterly basis;
All entry logs must be secured and maintained according to the approved records retention schedule for the system or information asset; and,
Access rights to secure areas must be reviewed and updated regularly.

When physical security is outsourced (i.e., the use of security guards) the contract must require that contracted employees are security screened and bonded.

b) Maintenance
Information Owners are responsible for reviewing physical entry control requirements annually. All entry controls in place must be tested annually. Security requirements for facilities must be evaluated and a Security Threat and Risk Assessment completed prior to:

Alteration to interior building layouts;
Change to equipment/systems located in the facility;
Change in operations; and,
As part of any related security incident investigation.

Guidelines:
The following guidelines support physical and environmental security by establishing security within information processing facilities:

Common service spaces such as eating areas, washrooms, cloakrooms, boardrooms and storage areas should be located so that they cannot be used to circumvent physical security;
Visitor reception should be separate from entrance areas but provide an unobstructed view of the entrance;
When physical security is outsourced, the contract must require that contracted employees are security screened and bonded.

The effective use of restricted access zones in an open office environment depends on the implementation of appropriate security procedures, which may include:

Respecting the need-to-access principle and zone perimeters;
Escorting visitors;
Securing sensitive or valuable information and assets when leaving the work areas; and,
Taking precautions when discussing sensitive information.

A.11.1.3 – Securing offices, rooms, and facilities

The purpose is to enhance the physical and environmental security of information processing facilities by considering all security requirements during the design of the facility. XXX has taken the following security measures:

All employees, visitors and contract staff is supposed to report for security check-in and check-out formalities
Entry is restricted to authorize personnel
Each workstation, cubicle and cabin is provided with storage space, with lock and key arrangement to keep official documents/company classified information belonging to the employee of the workspace.
Employees working after office hours enter their names, and sign –in and sign-out in a separate register maintained by the security guard on duty.

Physical security requirements must be designed, documented, and applied for all areas in and around an information processing facility. Information Owners must design, document, and approve security controls for information processing facilities based on a Security Threat and Risk Assessment. Considerations must include:

Determining security perimeter and maintenance factors;
Considering the operational use and information processing requirements of the facility;
Establishing appropriate security zones;
Design and construction complying with health and safety regulations and standards;
Designed with environmental controls for the protection of information assets (e.g., fire suppression, HVAC, generators, alarms);
Selecting unobtrusive sites and keep signage to the minimum required for meeting fire and other safety requirements;
Limiting the identification of critical information processing facility locations, in publicly and internally available directories, to the minimum required; and,
Selecting sites so that public access to highly sensitive or critical locations can be strictly controlled or avoided.

A.11.1.4 – Protecting against external and environmental threats

The purpose is to enhance physical and environmental security by designing and applying physical security controls to mitigate damage from natural or man-made disasters. Physical protection against damage from fire, flood, earthquake, explosion, civil unrest, and other forms of natural or man-made disaster is designed and applied. Information Owners, site planners, and architects must incorporate physical security controls that protect against damage from fire, flood, earthquake, explosion, civil unrest, and other forms of natural disasters, malicious attacks, and accidents. Consideration must be given to any security threats presented by neighboring premises or streets. In addition to meeting building code specifications and fire regulations, the following must be considered:

Combustible or hazardous materials must be stored in purposely designed rooms and in appropriate containers;
Installing intrusion detection and environmental alarm systems, fire suppression and firefighting systems must be included in the design phase; and,
Fallback equipment (e.g., for Disaster Recovery Plan) and backup media must be sited at a safe distance to avoid damage from a disaster affecting the main site.

A.11.1.5 – Working in secure areas

The purpose is to prevent unauthorized physical access to the information by designing and applying additional security controls and procedures for employees working in secure areas. Physical protection and guidelines for working in secure areas are:

Unsupervised work within server room will be strictly prohibited for safety reasons.
Personnel shall only be aware of the existence of, or activities within, a secure area on a need to know basis
Eating and consuming other food products will be strictly prohibited in secure areas.
Photographic, video, audio or other recording equipment should not be allowed, unless authorized

Security controls and procedures must be used by employees working in secure areas.
a) Secure area requirements for employees
b) Other secure area requirements

a) Secure area requirements for employees
Information Owners must identify and document requirements that apply to employees authorized to work in secure areas. Information Owners must ensure that background checks including criminal records reviews are conducted for employees working in secure areas. Information Owners are responsible for informing employees working within a secure area that:

Activities within a secure area are confidential and must not be discussed in a non-secure area – sensitive information must not be discussed with persons without a need-to-know;
No type of photographic (including cameras in mobile devices), video, audio or other recording equipment is to be operated in a Restricted Access Security Zone unless authorized; and,
 Information security incidents must be reported immediately.

b) Other secure area requirements
Information Owners must identify and document requirements for other individuals who may need access to a secure area. Information Owners are responsible for ensuring that:

Maintenance employees, cleaners and others who may require access on an ongoing basis to the secure area must be screened and their names placed on access lists;
Visitors must obtain approval for visits, be screened, and their entry and departure times logged;
Employees must escort visitors when they are within secure areas;
Unoccupied secure areas must be physically locked and periodically checked; and,
Physical intrusion alarms and detection devices must be installed to automatically alert monitoring employees of a breach.

A.11.1.6 – Delivery and loading areas

The purpose is to prevent unauthorized physical access to the organization’s information by controlling access to delivery and loading areas and separating them from information processing facilities whenever possible. The delivery and handling of material are strictly under the authorization control with the material gate pass. Without a proper gate pass, no material is allowed to enter or leave the premises. Access to delivery and loading areas must be controlled, and where possible, separated from information processing facilities. Information Owners must ensure that access to delivery and loading areas or access from Reception Zones is controlled. The following factors must be considered:

Delivery and loading areas must be designed so that supplies can be unloaded without delivery employees gaining access to restricted access zones;
Protection of the delivery and loading areas must begin at the perimeter with continuous monitoring in place (e.g., gated fence, CCTV, separation from public access);
Access to delivery and shipping areas must be restricted to authorized employees only;
Setting and maintaining hours of operation for delivery and pick-up;
A combination of internal and external locking doors or gates must be used to provide security;
Incoming and outgoing shipments should be segregated when possible;
Incoming material must be inspected for potential threats before being moved to or from the delivery and loading area. Inspections can be undertaken randomly if resources are not available to inspect every package;
Hazardous materials must be appropriately packaged and identified as to safety precautions;
Bills of lading must be compared to goods delivered;
Loading docks and delivery areas must be regularly inspected and actively monitored;
Records must be kept for internal and external deliveries and shipments;
Reception areas must confirm the identity of all visitors for restricted zone access; and,
All visitors must be accompanied while in restricted operational and security zones.

For facilities that include delivery and loading areas, and/or reception zones, a Security Threat and Risk Assessment and inspection must be conducted to determine that access can be adequately controlled.

A.11.2 Equipment

Control Objective: To prevent loss, damage, theft, or compromise of assets and interruption to the organization’s activities.

A.11.2.1 – Equipment sitting and protection

The purpose is to reduce risks to equipment from unauthorized access, environmental threats, and hazards. All equipment is physically protected from security threats and environmental hazards, by positioning them in secure areas. Only authorized personnel can enter secured areas. The controls are adopted to minimize the risk of potential security threats. The following practices are being followed.,

Business critical equipment are installed in server room, which is fully secured under lock and key
Fire and smoke alarms are deployed appropriately.
The information processing and storage facilities are fully secured
Users are not allowed to have drink, eatables & smoke in the server room.
Temperature and humidity levels are continuously monitored and maintained.
Power equipment is periodically serviced and checked.

Equipment must be protected to reduce the risks from unauthorized access, environmental threats and hazards.
a) Equipment siting
b) Equipment protection

a) Equipment siting
Information Owners must collaborate to ensure that the design and layout of information processing facilities provide protection for equipment from security threats as supported by a Security Threat and Risk Assessment. Safeguards must include:

Locating servers and other centralized computing equipment within a Restricted Access Security Zone;
Locating workstations, laptops and printers in a Restricted Access Operations Zone;
Protecting information processing equipment from observation by unauthorized persons, including by observing through windows and walking through work areas;
Locating shared printers, scanners, copiers, and facsimile machines away from public or reception areas, or in passageways or other areas where employees who do not have a need-to-know can access printed material.

b) Equipment protection
Information Owners must collaborate to ensure that the design and layout of information processing facilities provide protection from physical and environmental hazards. Safeguards must include:

Using equipment designed for suppression of electromagnetic emanations that may be used to capture information, when the need is supported by a Security Threat and Risk Assessment;
Ensuring that equipment is properly vented and that the temperatures and humidity in information processing facilities are appropriate for operating equipment safely;
Providing lightning protection for information processing facilities which includes surge protection for power and communications;
Assessing and protecting equipment to minimize damage from fire suppression and other safety systems;
Protecting equipment from potential damage from environmental hazards such as water, dust, vibration, and sunlight;
Providing employees with approved eating and drinking areas separate from work areas containing equipment;
Briefing employees who work with equipment about safety practices in the workplace and emergency equipment procedures to prevent an escalation in equipment damage;
Keeping information processing facilities free of biological pests that pose hazards to equipment and power systems; and,
Regularly inspecting the information processing facility(s) for integrity of ceilings, walls, windows, and other infrastructure for damage from water and other environmental factors that may pose a threat to safe equipment operation.

A.11.2.2 – Supporting utilities

The purpose is to ensure continued availability by protecting equipment from disruptions caused by failures in supporting utilities. All IT equipment are protected from power failure and other electrical anomalies. Arrangements are made to provide an uninterrupted power supply (UPS) to all critical information processing facilities. UPS are maintained as per the OEM’s instructions and covered under the AMC contract. Lighting protection is provided to the building. The adequate capacity of DG sets is available which are turned on in case of failure or routine power cuts. Equipment must be protected from power supply interruption and other disruptions caused by failures in supporting utilities.
a) Planning and design
b) Maintenance

a) Planning and design
Information Owners, planners, architects, and engineers must collaborate in the planning and design of an information processing facility to ensure that supporting utilities (e.g., water, power, sewage, heating, ventilation) are adequate to support employees and systems that will be located in the facility. This includes estimating current and future utility capacity requirements for the facility. In addition to meeting the building code and other regulations, the following must be included in facility planning and specifications:

Uninterruptible power supply, back-up generators, and fuel, as required by business and technical requirements;
Emergency power off switches located near emergency exits in equipment rooms;
Emergency lighting;
Alarms to indicate inadequate water pressure for fire suppression;
Alarms to indicate malfunctions in heating, ventilation, air conditioning, humidity control and sewage systems;
Multiple connections to the power utility for critical systems and equipment;
Multiple telecommunications connections to prevent loss of voice services; and,
Adequate voice communications to meet regulatory requirements for emergencies.

b) Maintenance
Information Owners must ensure that facilities are inspected regularly in accordance with building codes and other regulations. Evacuation and other emergency drills must be practiced regularly in collaboration with fire and emergency services. The facility requirements for utilities shall be re-evaluated:

During the planning phase for replacing or changing existing technology hardware;
When moving significant numbers of new employees into facilities;
During the planning of renovations or major changes to an existing facility;
Prior to leasing a facility; and,
When there are major changes to the surrounding area that may affect utilities, evacuation routes or other safety aspects.

A.11.2.3 – Cabling security

The purpose is to ensure the continued availability and integrity of information systems and information processing facilities by protecting power and telecommunications cabling from interception and damage. The power and data cables are well protected and isolated in order to protect from interception and damage. All the cables (data, telecommunication, and electrical) are laid using proper conduits, in order to protect them from external damage. Power cables and network cables are well separated to prevent any interference.

a) Protection
Information Owner, planners, and architects must include the protection of power and telecommunications cabling from interception and damage when designing or leasing facilities. The following methods to increase protection must be considered:

Access to communication closets and server rooms must be highly restricted;
Power and telecommunications cabling must be underground and/or in a secure conduit;
Information cabling other than fiber optic must be protected with electromagnetic shielding when required;
When supported by a Security Threat and Risk Assessment, consideration must be given to the use of fiber optics for telecommunications cabling;
Cables must not be accessible in public areas;
Power and telecommunications cabling must be segregated in accordance with building codes and other regulations; and,
Inspection boxes, termination points, patch panels, control rooms and other facilities must be secured and located inside a Restricted Access Security Zone.

b) Inspection and monitoring
Information Owners must ensure that:

The integrity of power and telecommunications cables are monitored through regular inspections and reports;
Power cabling and telecommunication schematics and documentation must be maintained in order to support inspections;
Records of patches and other changes are maintained and inspected;
Power and telecommunications cabling and wiring closets are inspected regularly and monitored for unauthorized access or inappropriate activity. The frequency of monitoring activities must be supported by a Security Threat and Risk Assessment.

A.11.2.4 – Equipment maintenance

The purpose is to ensure the continued confidentiality, integrity, and availability of equipment through correct maintenance. All equipments in Server Room is being correctly maintained to ensure their continued availability and integrity. Adhering to the following steps ensures this:

All equipment’s is maintained in accordance with the OEM’s recommendations for service intervals and specifications.
All critical equipment’s is covered under AMC.
All equipment’s is under regular preventive maintenance.

Equipment must be correctly maintained to enable continued availability and integrity.
a) Routine maintenance
b) Maintenance of systems, hardware, or media containing the Organization information

a) Routine equipment maintenance
Equipment being repaired or maintained must be protected commensurate with the sensitivity of the information it contains and the value of the equipment. Information Owners must determine if repair or maintenance can be conducted off-site. The need to protect sensitive information may justify equipment destruction and replacement rather than repair or maintenance. Information Owners are responsible for:

Ensuring the scheduling of routine, preventive maintenance of equipment by qualified, authorized employees;
Ensuring that maintenance is performed in accordance with the manufacturer’s specifications, in compliance with warranty requirements, and using safe practices as specified in building codes, other regulations and insurance policies;
Ensuring that, where possible, maintenance is scheduled to avoid interference with services or operations;
Notifying affected employees prior to taking equipment off-line for scheduled maintenance;
Ensuring that the value and sensitivity of the information contained on the device is considered prior to approval of off-site maintenance;
Equipment sent for off-site maintenance must be inspected and logged out;
Ensuring equipment returning from off-site repair or maintenance is inspected and logged in;
Maintaining detailed records to identify trends, weaknesses and additional maintenance requirements which must include:
- Place, date, time, type of scheduled maintenance and technical employees,
- Suspected and actual faults identified,
- Diagnostics performed and corrective action taken,
- Unusual or unexpected events, such as early failures or breakdowns, and,
- Any other event that requires maintenance.
Ensuring maintenance on critical equipment is undertaken in such a manner that the system is not off-line due to scheduled maintenance; and,
Ensuring that when equipment is brought back on-line after scheduled maintenance that all operational specifications are satisfactory.

b) Maintenance of systems, hardware, or media containing the organization information
Dept HOD must consult with Information Owners regarding the value and sensitivity of the information stored on hardware or media when determining whether repairs will be conducted. Dept HOD must ensure that information is safeguarded:

Maintenance on critical systems must be undertaken in such a manner that the system is not off-line due to scheduled maintenance;
Hardware or media sent for repairs or maintenance outside of the information processing facility must do so through pre-approved and screened bonded couriers;
Hardware or media containing confidential or personal information must not have maintenance or repairs conducted off-site;
Hardware or media containing confidential or personal information that cannot be repaired on-site must be destroyed in accordance with approved disposal standards commensurate with the sensitivity of the information held;
Maintenance must be factored into system availability requirements; and,
Repair or maintenance must be conducted within the country.

A.11.2.5 – Removal of assets

The purpose is to protect assets belonging to the Province from unauthorized removal. All the equipment that is taken out of the XXX follows a proper authorization process. A proper gate pass is to be signed by the IT Manager before taking any equipment out of the XXX. Equipment, information, or software belonging to the XXX must not be removed from the premises without prior authorization. Information Owners must establish a formal authorization process for the removal of assets for re-location, loan, maintenance, disposal, or any other purpose. Authorization forms for asset removal must include:

Description and serial numbers;
Information about where the asset will be located;
The removal date and return date;
The identity of the individual responsible for the asset;
Reason for removal of the asset.

The description and serial numbers must be verified when the asset is returned. Employees must be informed of, and accept responsibility for, protection of the asset (e.g., Terms and Conditions of Use).

A.11.2.6 – Security of equipment and assets off- premises

The purpose is to protect equipment in the custody of employees from loss or unauthorized access. The person carrying the equipment outside the premises is responsible for the security of the equipment. XXX has a documented policy for Laptops and portable media taken outside premises. Equipment must be protected using documented security controls when off-site from the premises. Information Owners must ensure that equipment being used off-site to access information is protected commensurate with the sensitivity and the value of the information it contains. Information Owners must ensure that:

Sensitive data is encrypted;
Equipment is protected from unauthorized access by the use of a logical or physical access control mechanism (e.g., password, USB key or smart card);
Equipment is protected from loss with a physical locking, restraint or security mechanism when appropriate;
Employees are familiar with operation of the protection technologies in use.

To provide further protection employees must:

Not leave equipment unattended in a public place;
Ensure that equipment is under their direct control at all times when travelling;
Use the physical locking, restraint or security mechanisms provided by the Information Owner whenever possible;
Take measures to prevent viewing of sensitive information other than by authorized persons;
Not permit other persons to use the equipment; and,
Report loss of equipment immediately using the Information Incident Management Process and General Incident or Loss Report (GILR).

A.11.2.7 – Secure disposal or re-use of equipment

The purpose is to protect information from unauthorized disclosure. The information available on equipment’s is removed or erased before the equipment disposal. The information available on equipment’s, which is re-used for some other purposes, is removed or erased before the equipment is re-used. The information available on media, which is re-used for some other purposes, is removed or erased before the media is re-used. All defective computer media, to be disposed of, is destroyed completely and all relevant information is made irrecoverable. Information, records, and software must be protected against unauthorized disclosure when hardware and media are reassigned or destroyed.
a) Reassignment of hardware and media
b) Destruction of hardware

a) Reassignment of hardware and media
Information Owners must consider the value and sensitivity of the information stored on hardware or media when determining whether it will be reassigned within organizations or destroyed. Reassignment must only occur within or between departments. Prior to the reassignment of hardware or media, Information Owners must ensure:

The integrity of the records is maintained by adhering to Records Management policies;
Information and software are erased using methods and standards approved by the Chief Information Officer;
Roles and responsibilities are documented;
Asset inventories are updated to record details of the erasure and reassignment including:
- Asset identifier,
- Date of erasure,
- Names of employees conducting the erasure,
- Date of transfer, and,
- Name of new asset custodian.

Where information is erased by third parties there must be contractual and audit procedures to ensure complete destruction of the media. Third parties must certify that destruction has occurred.

b) Destruction of hardware
Information Owners are responsible for ensuring hardware media used to store information or software is destroyed in a secure manner. Management Representative is responsible for ensuring secure disposal or destruction services are available to Information Owners.

A.11.2.8 – Unattended user equipment

The purpose is to reduce the risk of unauthorized access, loss, or damage to information and information systems. A well-defined policy exists at XXX. regarding equipment’s unattended for a long duration. Employees must ensure unattended equipment has appropriate protection. Information Owners must ensure that employees are aware of their responsibilities to secure unattended equipment to prevent unauthorized access to information systems by:

Locking or terminating information system sessions before leaving the equipment unattended;
Enabling password protection features on the equipment (e.g., screen savers on workstations);
Shutting down and restarting unattended workstations at the end of each workday;
Enabling password protection on mobile devices including portable storage devices;
Being aware of their responsibility to report security weaknesses where the above controls have not been applied.

Workstations and other devices used for information system access must automatically activate screen savers or equivalent locking systems after 15 or fewer minutes of inactivity.

A.11.2.9 – Clear Desk and Clear screen policy

The purpose is to reduce the risk of unauthorized access, loss, or damage to information by ensuring employees take reasonable security precautions. Personal computers are not left logged on when, not in use and are protected by a password. The screen saver is password protected. Employees must ensure the safety of sensitive information from unauthorized access, loss or damage.
a) Securing the workspace.
b) Secure work habits.

a) Securing the work space
Employees must secure their work space whenever it is not supervised by an authorized person, including during short breaks, attendance at meetings, and at the end of the work day. Securing the work space includes:

Clearing desk tops and work areas;
Securing documents and mobile or portable storage devices in a locked desk or file cabinet;
Ensuring outgoing and incoming mail is appropriately secured;
Enabling a password protected screen saver;
Shutting down and restarting workstations at the end of each work day;
Locking doors and windows;
Checking fax machines and printers to ensure that no sensitive information is waiting to be picked up.

b) Secure work habits
Employees must develop and implement security-conscious work habits to reduce the likelihood of unauthorized viewing, access, or disclosure of sensitive information. Security-conscious work habits include:

Ensuring sensitive information is protected from accidental viewing by persons passing through the work space;
Ensuring that only the documents required for current work are out of their normal file cabinet;
Ensuring white boards, bulletin boards, flip charts do not contain sensitive information when the viewing audience cannot be defined;
Covering up, filing or storing paper documents when visitors are present in the work area;
Clearing, changing or turning off the computer screen (e.g., minimize open Windows) so that sensitive information is not displayed when visitors are present in the work area; and,
Not discussing sensitive information in open work spaces or public areas.

Guidelines:
Ensure that offices can be locked and that storage with locks is available.

A.12 Operations Security

This establishes a framework to support the integration of information security in the services provided by the information processing facilities. Planning and management of the day-to-day activities are required to ensure the availability and capacity of the resources that provide information services. This framework identifies requirements to control and monitor operations for service delivery and to manage changes as the operations evolve. For critical systems, additional requirements are defined in the Critical Systems Standard. Controls for operations include documented processes, employee duties, and formal methods to implement changes to facilities. This includes methods to protect the information, create copies for back-up, and manage the media where those copies are stored. Network protection requirements from threats such as viruses or unauthorized disclosure are also described.

A.12.1 Operational procedures and responsibilities

Control Objective: To ensure the correct and secure operation of information processing facilities.

A.12.1.1 – Documented operating procedures

The purpose is to ensure correct operations of information systems and information processing facilities. XXX. has a set of defined operating manuals for processing the department functionality. All documented operating manuals are identified in the ‘PAL-Process Asset Library-Content Master’. Operating procedures and responsibilities for information systems and information processing facilities must be authorized, documented, and maintained. Information Owner must ensure that approved operating procedures and standards are:

Documented;
Consistent with the policies, standards and guidelines;
Reviewed and updated annually or when there are:
- Alterations to building layouts,
- Changes to equipment/systems located in the facility,
- Changes in business services and the supporting information systems operations, and,
- As part of any related security incident investigation.

Operations documentation must contain detailed instructions regarding:

Information processing and handling;
Last review and update;
Classification of document;
System re-start and recovery;
Back-up and recovery, including on-site and off-site storage;
Exceptions handling, including a log of exceptions;
Output and media handling, including secure disposal or destruction;
Audit and system log management;
Change management including scheduled maintenance and interdependencies;
Computer room management and safety;
Information Incident Management Process;
Disaster recovery;
Business continuity;
Operations, technical, emergency and business contacts.

A.12.1.2 –Change management

The purpose is to ensure changes to information systems and facilities are applied correctly and do not compromise the security of information and information systems. Whenever a change in the IT infrastructure is to be done, a proper evaluation and analysis are done which includes cost, security, technical functionality, and compatibility. Any user can initiate a change request. Manager/IT is authorized to initiate the change & Head/IT approves these operational and process changes. To control all operational changes XXX. has defined policy. Changes to information systems and information processing facilities must be controlled.
a) Planning changes
b) Change management process
c) Implementing change

a) Planning changes
Information Owners must plan for changes to information systems and information processing facilities by assessing the impact of the proposed change on security by conducting a security review based on the size of the change.

b) Change management process
Information Owners must plan, document and implement a change management process to control changes by:

Identifying and recording significant changes;
Assessing the potential impact, including the security impact, of the change by conducting a Security Threat and Risk Assessment;
Developing an implementation strategy;
Obtaining approval of changes from the manager(s) responsible for the information system;
Planning and testing changes including documenting fallback procedures;
Communicating change details to relevant employees;
Identifying the impact on agreements with business partners and third parties including information sharing agreements, Memoranda of Understanding, licensing and provision of services;
Evaluating that planned changes were performed as intended; and,
Training technical and operations employees if required.

c) Implementing changes
Information Owners must implement changes by:

Notifying affected parties, including business partners and third parties;
Completing re-certification and re-accreditation as required prior to implementation;
Training employees if required;
Documenting and reviewing the documentation throughout the testing and implementation phases;
Recording all pertinent details regarding the changes;
Checking after the change has been performed that only the intended changes took place.

A.12.1.3 – Capacity management

The purpose is to protect information and information systems from unauthorized access, theft, or misuse. It is the responsibility of the individual managers to look for capacity demands for their projects in advance. This ensures that the required capacity can be arranged in time to minimize the risk of failure due to lack of capacity. It also ensures the continuous availability of operational systems. The utilization of existing resources is monitored regularly. Controls must be applied to limit opportunities for information leakage. Information Owners must implement processes to reduce the opportunity for information leakage in information systems by:

Scanning for malicious code;
Monitoring resource usage in information systems;
Identifying and limiting the trusted connections in and out of the organization network;
Controlling third party network connections (e.g., only authorized traffic permitted);
Using software that is considered to be of high integrity;
Regular monitoring of information systems; and
Reviewing usage and access logs for irregularities.

Guidelines:
Scanning outbound media and communications for hidden information should be considered.

A.12.1.4 – Separation of development, test and operational facilities

The purpose is to reduce the risk of system failures and unacceptable performance levels by monitoring and optimizing resources to meet current and future information system capacity requirements. The development and testing activities shall not be done on the production server. The use of information system resources must be monitored, optimized and projections made of future capacity requirements.
a) Resource capacity management
b) Resource capacity planning

a) Resource capacity management

Information Owners are responsible for implementing capacity management processes by:

Documenting capacity requirements and capacity planning processes;
Identifying and managing storage requirements;
Including capacity requirements in service agreements;
Monitoring and optimizing information systems to detect impending capacity limits;
Projecting future capacity requirements based on:
- New business and information systems requirements,
- Statistical or historical capacity requirement information,
- Current and expected trends in information processing capabilities (e.g., the introduction of more efficient hardware or software).

b) Resource capacity planning

Information Owner must use trend information from the capacity management process to identify and remediate potential bottlenecks that present a threat to system security or services. Information Owners must plan and budget for business and service capacity management.

Guidelines:
Resource capacity management processes should be automated where feasible.

A12.2 Protection from Malware

Control Objective: To protect the integrity of software and information processing facilities are protected against malware.

A.12.2.1 – Controls against malicious code

The purpose is to protect the integrity of information systems and software through requirements for the prevention and detection of network and host-based threats. Precautions are required to prevent and detect the introduction of malicious software. Software information processing facilities are vulnerable to the introduction of malicious software, such as computer viruses, network worms, Trojan horses, and logic bombs, etc. XXX. has implemented several controls to address the threat:

XXX. has a policy for prevention against malicious software.
XXX. has a policy for the use of networks or any other medium as a preventive measure against virus attacks.
Virus attacks and software malfunctions due to malicious software are treated as security incidents and handled.
To prevent loss of data due to malicious software regular backups of critical data are taken regularly.

Security awareness, prevention, and detection controls must be utilized to protect information systems against network and host-based threats.
a) Prevention and detection controls
b) User awareness

a) Prevention and detection controls
Information Owners must protect information systems from network and host-based threats by undertaking such activities as:

Installing, updating and consistently using software designed to scan for, detect and provide protection from network and host-based threats;
Prohibiting the use of unauthorized software;
Checking files, including electronic mail attachments and file downloads for malware before use;
Maintaining business continuity plans to recover from security incidents;
Regularly reviewing file and data content on critical systems to identify unapproved or unauthorized files and file changes; and
Scanning back-up media prior to restoration so that malware is not introduced or re-introduced into an information system and network.

The Chief Information Security Officer must ensure processes are implemented to:

Maintain a critical incident management plan to identify and respond to security incidents; and,
Maintain a register of specific threat countermeasures (e.g., blocked websites, blocked electronic mail attachment file types, blocked network ports, additional monitoring, etc.) including a description, the rationale, the approval authority and the date applied.

b) User awareness
The Chief Information Security Officer is responsible for developing user awareness programs for threat countermeasures. The Information Security Officers are responsible for communicating technical advice and providing information and awareness activities regarding network and host-based threats. Employees are required to complete the information protection courses provided by the CISO as part of their awareness training.

A.12.3 Back-up

Control Objective: To maintain the integrity and availability of information and information processing facilities.

A.12.3.1 – Information back up

The purpose is to enable the timely recovery of information and information systems. Backup of informational Servers are taken regularly. XXX. has a well-defined procedure for Information backup and restoration. Information and information systems must be backed up and the recovery process tested regularly.
a) Defining requirements
b) Safeguarding backup facilities and media
c) Testing

a) Defining requirements
Information Owners must define and document backup and recovery processes that reflect the security classification and availability requirements of information and information systems including:

Confirming that the backup and recovery strategy complies with:
- Business continuity plans,
- Policy, legislative, regulatory and other legal obligations, and,
- Records management requirements, including the Administrative Records Classification System (ARCS)
- Operational Records Classification System (ORCS), and,
Documenting the backup and recovery processes including:
- Types of information to be backed up,
- Schedules for the backup of information and information systems,
- Backup media management (e.g., retention period, pattern of backup cycles),
- Methods for performing, validating and labelling backups, and,
- Methods for validating recovery of the information and information system.

b) Safeguarding backup facilities and media
Information Owner must conduct a Security Threat and Risk Assessment to identify safeguards for backup facilities and media that are commensurate with the value and sensitivity of the information and information systems. Safeguards include:

Using encryption to protect the backed up information;
Using digital signatures to protect the integrity of the information;
Physical and environmental security;
Access controls;
Methods of transit to and from offsite locations (e.g., by authorized couriers, by encrypted electronic transfer);
Storage of media adhering to manufacturer recommendations for storage conditions and maximum shelf-life; and,
Remote storage of backup media at a sufficient distance to escape any damage from a disaster at the main site.

c) Testing
Information Owners must regularly test backup and recovery processes.

A.12.4 Logging and Monitoring

Control Objective: To detect unauthorized information processing activities

A.12.4.1 – Event logging

The purpose is t0 ensure the usage of information systems can be monitored and audited. XXX. has a defined policy for event logs. All systems are monitored to detect deviation from access control policy. This audit trail serves as evidence in case of a security breach and is the basis for any action. Audit logs are maintained on servers and provide audit information related to User Id, Date and time of log-on and log-off, failed login attempts, Terminal Location. Audit logs must be produced, retained, and regularly reviewed.
a) Audit logging
b) Review of monitoring activities
c) Audit log retention
d) Response to alarms

a) Audit logging
Information Owners must ensure that audit logs are used to record user and system activities, exceptions, and information security and operational events including information about activity on networks, applications, and systems. Information Owners and Information Custodians will determine the degree of detail to be logged based on the value and sensitivity of information assets, the criticality of the system, and the resources required to review and analyze the audit logs. Audit logs must include, when relevant, the following information:

User identifier;
Dates, times, and details of key events (e.g., logon and logoff);
Logon method, location, terminal identity (if possible), network address;
Records of successful and unsuccessful system login attempts;
Records of successful and unsuccessful data access (including record and field access where applicable) and other resource access attempts;
Changes to the system configuration;
Use of privileges;
Use of system utilities and applications;
Files accessed and type of access (e.g., view, read, modify, delete);
For voice calls: source and destination telephone numbers, date, time, and length of call;
Name and size of file attachments that are part of or are included in data transmissions (e.g., email, instant messaging, unified communications platforms, etc.);
Network addresses (source and destination), ports (source and destination), protocols, and transferred network data traffic flow (packets and bytes);
Alarms raised by the access control system;
Activation and de-activation of protection systems (e.g., anti-virus, intrusion detection).

Audit logs may contain confidential data and access must be restricted to employees with need-to-know privileged access and be protected accordingly. Information Owners must not have the ability to modify, erase or de-activate logs of their own activities. If audit logs are not activated, this decision must be documented and include the name and position of the approver, date, and a rationale for de-activating the log. Where required, the Privacy Impact Assessment and Security Threat and Risk Assessment must be updated to reflect this decision.

b) Review of monitoring activities
Information Owner must set up and document processes for the review of audit logs based on the Information Owners assessment of the value and sensitivity of the information assets, the criticality of the system, and the resources required for review. Audit log reviews must:

Prioritize reviews of high value and highly sensitive information assets;
Be based on a documented Security Threat and Risk Assessment; and
Utilize automated tools to identify exceptions (e.g., failed access attempts, unusual activity) and facilitate ongoing analysis and review.

Monitoring must be tested at least annually to ensure that desired events are detected. Analysis of monitoring activities can indicate:

The efficacy of user awareness and training and indicate new training requirements;
Vulnerabilities that could be, or that are being, exploited; or
Increases or decreases in unauthorized access attempts or unauthorized use of privileges.

c) Audit log retention
Audit logs must be:

Retained according to the approved records retention schedule for the system or information asset; and,
Retained indefinitely if an investigation has commenced which may require evidence to be obtained from the audit logs.

d) Response to alarms
Information Owners must establish and document alarm response procedures in collaboration with Information Owners to ensure alarms are responded to immediately and consistently. They should have documented authority to shut down all or part of a system or network when the alarm indicates new unacceptable threats are present. When exercising this authority, Information Owners must report the circumstances to the CISO as soon as possible. Normally, the response to an alarm will include:

Identification of the alarm event;
Isolation of the event including affected assets;
Identification and isolation or neutralization of the source;
Corrective action;
Forensic analysis of event;
Action to prevent recurrence; and,
Securing audit logs as evidence.

A.12.4.2 – Protection of log information

The purpose is to preserve the integrity of information system logging facilities and log information. Logging facilities and log information are protected against tampering and unauthorized access. Information system logging facilities and log information must be protected against tampering and unauthorized access.
a) Protecting information system logging facilities
b) Protecting log information

a) Protecting information system logging facilities
CISO is responsible for ensuring periodic independent reviews or audits are conducted to confirm that Information Owners have implemented appropriate controls. They must implement controls to protect logging facilities and log files from unauthorized modification, access, or disposal. Controls must include physical security safeguards such as situating logging facilities within a secure zone with restricted access.

b) Protecting log information
Information Owners must apply controls to protect log files from tampering or modification. Controls must include:

Consideration of multi-factor authentication for access to sensitive records;
Back-up of audit logs to off-site facilities;
Automatic archiving of audit logs to remain within storage capacity;
Scheduling the audit logs as part of the records management process; and,
Digital signing for detecting alteration or corruption where available.
All employees must not have permission to erase logs or de-activate logging of their own activities.

A.12.4.3 – Administrator and operator logs

The purpose is to protect information from unauthorized access, modification, or deletion. Logging facilities and log information are protected against tampering and unauthorized access. Activities of privileged users must be logged, and the log must be subject to regular independent review.
a) Activities logged
b) Independent review
c) Repairing and logging fault
d) Analysis, resolution, and corrective action

a) Activities logged
Privileged users typically have extensive system permissions not granted to most users. Information Owners must ensure that the activities of privileged users are regularly reviewed, including logging:

Event occurrence times;
Event details, such as files accessed, modified, or deleted, errors and corrective action;
Identity of the account and the privileged user involved; and,
The system processes involved.

Privileged users must not have permission to erase logs or de-activate logging of their own activities.

b) Independent review
Information Owner must have a documented process to ensure that the activity of privileged users is independently reviewed. Reviews must be conducted regularly and at random with the frequency being commensurate with the criticality, value, and sensitivity of system and information assets. Following verification of logs, the individual checking them should digitally sign them and store or archive them securely in accordance with the approved records retention schedule. The audit logs must be reviewed prior to being discarded or overwritten.

c) Reporting and logging faults
Information Owners must implement processes for monitoring, reporting, logging, analyzing, and correcting system faults reported by users and automated detection systems. Fault logging requirements should be determined through a Security Threat and Risk Assessment and Privacy Impact Assessments. Fault management reports must include:

Description of the fault including date and time, location, the extent of fault;
Analysis of probable source and cause;
Actions were taken to respond to and resolve the fault; and,
Corrective action is taken.

d) Analysis, resolution, and corrective action
Information Owners must review fault logs to ensure that faults have been resolved and documented in a fault management report. They must provide the fault management report to CISO.
Analysis and corrective action include:

Defining the fault and probable cause(s);
Assessing the effectiveness of corrective action(s);
Checking to ensure that corrective action has not introduced unforeseen vulnerabilities;
Identifying trends so that corrective action makes increasingly effective use of resources while improving results;
Recommending upgrades, replacement of components, software, or other elements that create or cause faults;
Improving fault detection and reporting to reduce the time between fault occurrence and taking corrective action;
Measuring the exposure caused by the fault;
Reporting on performance impact(s); and,
Periodically re-assessing logging requirements.

A.12.4.4 – Clock synchronization

the purpose is to ensure the integrity of information system logs. The correct setting of critical computer clocks is important and carried out to ensure the accuracy of audit logs, which may be required for the investigation or as evidence in legal or disciplinary cases. One Server is identified as Time Master Server & other Servers of the network are synchronized with the Master. Computer clocks must be synchronized for accurate reporting.
a) Synchronization
b) Checking and Verification

a) Synchronization
System administrators must synchronize information system clocks to:

the local router gateway; or,
the organization approved clock host.

b) Checking and Verification
System administrators must confirm system clock synchronization:

Following power outages or brownouts;
As part of incident analysis and audit log review; and,
At least semi-annually in conjunction with Daylight Savings Time.

Time discrepancies must be reported to IT Helpdesk, Customer Service Centre. The clock hosts must be synchronized with a national time service

A.12.5 Control of operational software

Control Objective: To ensure the integrity of operational systems.

A.12.5.1 – Installation of software on operational systems

The purpose is to prevent the compromise of operational information systems providing services from unauthorized software installation. To ensure secured implementation of Software on Operational System. The installation of software on operational information systems providing services must be controlled.
a) Software changes to operational information systems
b) Software implementation controls
c) Protection of systems documentation

a) Software changes to operational information systems
Information Owners must implement procedures to control software installation on operational information systems providing services to ensure that:

Updates of operational information systems are planned, approved, impacts assessed, tested, logged, and have a rollback plan;
Operations employees and end-users have been notified of the changes, potential impacts and if required have received additional training;
New releases of software are reviewed to determine if the release will introduce new security vulnerabilities;
Modifications to operational software are logged;
The number of employees able to perform the updates is restricted and kept to a minimum;
Development code or compilers are not present on operational information systems;
Vendor-supplied software is maintained at the supported level.

b) Software implementation controls:

Pre-Implementation
Before an updated or new information system is implemented into the operational environment, checks must be performed to ensure that:
- A Security Threat and Risk Assessment has been carried out;
- A Privacy Impact Assessment has been performed and approved;
- Limitations of security controls are documented;
- Performance and capacity requirements can be met and support organizations have the capacity to maintain the information system;
- Development problems have been resolved successfully;
- The effects on existing operational information systems are known;
- Arrangements for fall-back have been established if the updated or new information system fails to function as intended;
- Error recovery and restart procedures are established;
- Business continuity plans are developed or updated;
- Operating procedures are tested;
- Changes are communicated to users who may be affected by the change;
- Users are educated to use the information system correctly and securely; and,
- Computer operators and system administrators are trained in how to run the information system correctly and securely.
Implementation
The installation process must include:
- Validating the load or conversion of data files;
- Installing executable code only, and not source code;
- Providing ongoing technical support;
- Implementing new or revised procedures and documentation;
- Discontinuing old software, procedures, and documentation;
- Arranging for fallback in the event of failure;
- Informing the individuals involved of their roles and responsibilities;
- Transferring responsibility for the information system from development teams to operational teams to ensure segregation of duties; and,
- Recording installation activity.
Post-implementation
Post-implementation reviews must include:
- The efficiency, effectiveness, and cost of security controls;
- Lessons learned and scope for improvements of security controls; and,
- Security incidents and mitigation.

c) Protection of systems documentation
Information Owners must ensure that documented procedures for the secure use and storage of systems documentation are established and followed. Procedures must:

Require information classification labeling of system documentation;
Establish lists of users authorized to access system documentation on a ‘need to know basis;
Establish handling rules for the information regardless of storage media (e.g., electronic, paper);
Require use of access controls, passwords, encryption, or digital signatures as appropriate to the information classification; and,
Include a compliance monitoring process.

A.12.6 Technical Vulnerability Management

Control objective: To reduce risks resulting from exploitation of published technical vulnerabilities.

A.12.6.1 – Management of technical vulnerabilities

The purpose is to mitigate damage to the operations resulting from the exploitation of published vulnerabilities. XXX. is using VA/PT to obtain information on new exposures while applying patches for earlier identified threats and vulnerabilities. The VA/PT shall be carried out as per Security Committee Review Procedure. Appropriate actions will be initiated based on threat assessment diagnosed from VA/PT. Assessments for known exposures must be conducted to evaluate information system vulnerabilities and the management of associated risks. Vulnerabilities that impact information systems must be addressed in a timely manner to mitigate or minimize the impact on the operations. Information Owners must establish processes to identify, assess and respond to vulnerabilities that may impact information systems by:

Monitoring external sources of information on published vulnerabilities;
Assessing the risk of published vulnerabilities;
Testing and evaluating options to mitigate or minimize the impact of vulnerabilities;
Applying corrective measures to address the vulnerabilities;
Completing a Security Threat and Risk Assessment to verify the risk has been mitigated; and,
Reporting to the Chief Information Security Officer on progress in responding to vulnerabilities.
Responsibilities for vulnerability response by service providers must be included in external party service agreements.

The Chief Information Security Officer must:

Evaluate vulnerabilities and provide advice on appropriate responses;
Monitor progress in responding to vulnerabilities;
Publish summary reports on vulnerability response activities and costs; and,
When required, initiate incident response processes to address vulnerabilities.

A.12.6.2 – Restrictions on software installation

The purpose is to limit the installation of software to authorized employees to avoid security incidents. Users should not run any unauthorized or undocumented software on their desktops. IT department will approve on the recommendation of Department Heads, the installation of any software on Desktop/Laptop/Servers. A review of the rules governing the installation of software by employees must be established and implemented. Uncontrolled installation of software on computing devices can lead to introducing vulnerabilities and then to information leakage, loss of integrity or other information security incidents, or to violation of intellectual property rights. Employees must receive authorization prior to installing software on the organization’s devices. Software installation must be consistent with the requirements of the Appropriate Use Policy.

A.12.7 Information systems audit considerations

Control Objective: To maximize the effectiveness of and to minimize interference to/from the information systems audit process.

A.12.7.1- Information systems audit controls

The purpose is to prevent compliance checking activities from causing unplanned disruptions to operational information systems. Audit activities involving checks on the operating system shall be carefully planned and agreed upon to minimize the risk of disruption to business processes. Audit requirements and activities involving checks on operational systems must be planned and approved to minimize disruption to business processes. Audit requirements and activities involving checks on operational systems must be planned and approved to minimize disruption to business processes.
a) Management of information systems compliance checking
b)Protection of information system audit tools

a) Management of information systems compliance checking
Prior to commencing compliance checking activities such as audits, risk and controls reviews, monitoring or security reviews of operational information systems, the Manager responsible for the compliance checking activity, Information Owners must define, document, and approve the activities by:

Determining the scope, duration, and level of detail of the compliance checking activity;
Limiting access rights to operational information systems for compliance checking employees to “read-only”;
Determining handling requirements for copies of files made by compliance checking employees including:
- establishing a separate environment for the analysis of files,
- restricting access to those files,
- logging the accesses made to those files, and,
- erasing files at the conclusion of compliance checking activities unless needed to support report findings;
Identifying special testing or processing which may impact the operational information system (e.g., penetration tests, server vulnerability assessments) and by:
- notifying the Chief Information Security Officer prior to compliance checking activities to prevent triggering false security alarms from the infrastructure, and,
- scheduling tests to minimize disruption;
Submitting the reports of penetration tests or vulnerability assessments to the Chief Information Security Officer immediately upon receipt; and,
Requiring that employees conducting compliance checking activities maintain segregation of duty from the operational information systems being checked.

Guidance for compliance checking activities can be obtained from the Information Security Branch, Office of Chief Information Officer.

b) Protection of information system audit tools
Managers responsible for compliance checking activities and Information Custodians must control the use of audit tools by:

Restricting access to authorized employees who have a need-to-know;
Installing or enabling specialized audit tools for the duration required by the compliance checking activity;
Removing information system access at the conclusion of the compliance checking activities; and,
Notifying the Chief Information Security Officer prior to the use of audit tools.

A.13 Communications and Operations Management

It identifies the information security requirements for network and communication services.

A.13.1 Network security management

Control Objective: To ensure the protection of information in networks and the protection of the supporting infrastructure.

A.13.1.1 – Network controls

The purpose is to ensure that network security controls and network security management practices are implemented and documented to maintain network security. XXX. has a dedicated team of employed professionals in the network, who are responsible for the smooth and secure operation of the network. Policies of network usage are defined. 9.1.1 Controls must be implemented to achieve and maintain security within the network.
a) Control and management of networks
b) Configuration control
c) Secured path
d) Wireless Local Area Networking
e) Equipment management
f) Logging, monitoring, and detection
g) Coordination and consistency of control implementation

a) Control and management of networks
Information Owners must implement network infrastructure security controls and security management systems for networks to ensure the protection of information and attached information systems. Selection of controls must be based on a Security Threat and Risk Assessment, taking into account the information security classification determined by the Information Owners, and applicability to the network technology. The Security Threat and Risk Assessment must consider network-related assets which require protection including:

Information in transit;
Stored information (e.g., cached content, temporary files);
Network infrastructure;
Network configuration information, including device configuration, access control definitions, routing information, passwords, and cryptographic keys;
Network management information;
Network pathways and routes;
Network resources such as bandwidth;
Network security boundaries and perimeters; and,
Information system interfaces to networks.

b) Configuration control
To maintain the integrity of networks, Information Owners must manage and control changes to network device configuration information such as configuration data, access control definitions, routing information, and passwords. Network device configuration data must be protected from unauthorized access, modification, misuse, or loss by the use of controls such as:

Encryption;
Access controls and multi-factor authentication;
Monitoring of access;
Configuration change logs;
Configuration baselines protected by cryptographic checksums; and,
Regular backups.

Status accounting must be regularly performed to ensure that configuration baselines reflect actual device configuration.

c) Secured path
Where required by information classification and a Security Threat and Risk Assessment, information must only be transmitted using a secured path. Secured paths for information transmission must use controls such as:

Data, message or session encryption, such as SSH, SSL or VPN tunnels; and,
Systems to detect tampering.

d) Wireless Local Area Networking
Wireless Local Area Network access points must be authorized by the Chief Information Officer for attachment to the network. Wireless Local Area Networks must utilize the controls specified by the Chief Information Security Officer and must include:

Strong link layer encryption, such as Wi-Fi Protected Access;
User and device network access controlled by authentication services;
The use of strong, frequently changed, automatically expiring encryption keys and passwords;
Segregation of wireless networks from wired networks by the use of filters, firewalls or proxies; and,
Port-based access control, for example use of 802.1x technology.

Where supported by the information classification or a Security Threat and Risk Assessment, additional controls for wireless networks may include:

Virtual Private Network tunnel technology;
The use of Desktop Terminal Services (DTS) technology; and,
Intrusion detection systems, firewalls and Media Access Control (MAC) address filtering.

e) Equipment management
Information Owners must document responsibilities and procedures for the operational management of network infrastructure, including devices at network boundaries and in user areas.

f) Logging, monitoring, and detection
To facilitate monitoring, response, and investigation, logging to a centralized log management service must be enabled, including logging of:

Traffic traversing network security boundaries;
Traffic within networks housing sensitive or critical systems or information;
Security-relevant events on network devices, such as operator logon and configuration changes;
Security-relevant events on systems that provide authentication and authorization services to network infrastructure devices such as routers, firewalls, or switches.

Logs must be continuously monitored to enable detection and response to security events and intrusions (e.g., automation of log monitoring and event alerting). Logs from available sources (including, but not limited to, network traffic, network firewalls, Intrusion Prevention Systems, routers, switches, content filtering, servers, applications, databases, application firewalls, authentication services) must be continuously correlated to enable detection and response to security events and intrusions, that otherwise would go undetected without such correlation and alerting.
In order to support the monitoring and correlation of logs from available sources, in cases when infrastructure or services are provided via a third-party, it must be ensured that security event logs from the respective outsourced infrastructure or services can be forwarded real-time to the centralized monitoring services to allow for the centralized monitoring, correlation and alerting across the organization. Information Owner must ensure there is a clear segregation of duties for employees involved in logging, monitoring, or detection activities. Active automated surveillance of networks must be implemented to detect and report on security events (e.g., network intrusion detection systems). Sensors enabling on-demand capture of network traffic must be implemented at network security boundaries and within networks housing sensitive information or information systems as determined by a Security Threat and Risk Assessment.

g) Coordination and consistency of control implementation
Information Owners must document network security controls in the System Security Plan including:

A summary of risks identified in the Security Threat and Risk Assessment;
Roles and responsibilities for network security management;
Specific procedures and standards used to mitigate risks and protect the network;
Communication procedures for security-relevant events and incidents; and,
Monitoring procedures (including monitoring frequency, review, and remediation processes).

A.13.1.2 – Security of network services

The purpose is to specify what security features are required for the delivery of a network service. Security attributes for network services like Leased Line / Wireless Radio modem are taken care of through SLA (Service Level Agreement) with ISP (Internet Service Provider) viz., STPI. Security configuration, service levels, and management requirements of all network services must be documented and included in any network service agreement. Formal network service agreements must be established between network service providers and consumers of network services to specify service levels, services offered, security requirements, and security features of network services. The network service agreement must include specification of:

The rules of use to be followed by consumers to maintain the security of network services;
The schedule for ongoing verification of network security controls;
The rights of either party to monitor, audit, or investigate as needed;
Security incident response responsibilities, contacts and procedures; and,
The requirement to meet or exceed Information Security Policy and standards.

Information Owners must confirm that the specified security features are implemented prior to commencement of service delivery.

A.13.1.3 – Segregation in networks

The purpose is to isolate information systems, users, and networks based on risk and business connectivity requirements. Groups of information services, users, and information systems must be segregated on networks.
a) Segregation based on risk and requirements.

a) Segregation based on risk and requirements
Information Order must segregate services, information systems, and users to support business requirements for information system connectivity and access control based on the principles of least privilege, management of risk, and segregation of duties. Information Order must establish network perimeters and control traffic flow between networks. Network traffic flow control points such as firewalls, routers, switches, security gateways, VPN gateways, or proxy servers must be implemented at multiple points throughout the network to provide the required level of control. The techniques and technologies selected for network segregation must be based on Security Threat and Risk Assessment and Privacy Impact Assessment findings. Factors to consider include:

The information and information system security classification;
The trustworthiness of the network, based on the amount of uncontrolled malicious traffic present, the level of device identification and authentication in the networks, and sensitivity to eavesdropping (e.g., the Internet is a less trusted network than a controlled server network zone);
Transparency, usability and management costs of network segregation technologies; and,
The availability of compensating controls for detection, prevention, and correction of malicious network traffic and unauthorized access attempts.

Network zones must be defined and network perimeters established, according to business requirements and risk as identified in the Security Threat and Risk Assessment and Privacy Impact Assessment (e.g., network zones, core network, wireless network). Information system operational management and business applications must be defined and separated by network flow control points.

Guidelines:
Security gateways should be used to verify the trustworthiness of devices attempting to connect to the network (e.g., VPN Quarantine systems, network switch isolation, and admission control systems).

A.13.2 Exchange of Information

Control Objective: To maintain the security of information and software exchanged within an organization and with any external entity.

A.13.2.1 – Information transfer policies and procedures

The purpose is to protect information from unauthorized disclosure. Electronic Office Systems like Telephone, Fax, etc. are maintained by a 3rd Party. Security of Information available through such a system is ensured through suitable clauses in the contract. Users shall be made aware of the risk of Information Security while exchanging information through Voice, Fax, and Video Communication facility. The Information exchange policies, procedures, and controls must be documented and implemented to protect the exchange of information through all types of electronic communication services. The Chief Information Security Officer must document and implement procedures to protect information from interception, copying, misrouting, and disposal when being transmitted electronically. Transmission methods include but are not limited to:

E-mail, including attachments;
Electronic file transfer (e.g., File Transfer Protocol (FTP), Electronic Data Interchange (EDI));
Use of mobile devices;
Telephone, cell, and other voice messaging;
Faxes; and,
Instant messaging.

A.13.2.2 – Agreements on information transfer

The purpose to protect information or software from loss or unauthorized disclosure. Agreements shall be established for the exchange of information and software between XXX and external parties like Oracle, MS, and IBM, etc. Information and software exchange agreements between XXX and other organizations must address the secure transfer of information between parties.
a) Exchange agreements
b) Information and software exchange requirements

a) Exchange agreements
Information Owners must ensure the terms and conditions for the secure exchange of information assets with external parties is documented in an agreement. The agreement must define:

Custody and control accountabilities;
Authority of a custodian to publish, grant access to or redistribute the information;
Purpose and authorized uses of the information or software;
Limitations on data linkage;
Duration, renewal and termination provisions;
Primary contacts for agreement, governance and management;
Requirements for:
- Protecting information according to its security classification,
- Handling information (e.g., recording authorized recipients, confirming receipt of transmitted data, periodically reviewing records of authorized recipients),
- Labelling information (e.g., methods to be used to apply and recognize labelling),
- Maintaining integrity and non-repudiation of information, and,
- Media management and disposal;
Technical standards for transmission, recording or reading information or software;
Responsibilities for reporting privacy and security incidents and breaches;
Liability, accountability and mitigation strategies, for attempted, suspected or actual privacy and security incidents and breaches; and,
Problem resolution and escalation processes.

b) Information and software exchange requirements
Information Owners must ensure an approved Privacy Impact Assessment and a Security Threat and Risk Assessment are completed for the information or software covered by the exchange agreement. Exchange agreements must be reviewed by legal counsel for the Province prior to being signed.

A.13.2.3– Electronic messaging

The purpose is to enable secure and trustworthy electronic messaging. The electronic mail systems are properly secured from unauthorized access by using Spam protection software & Anti-Virus firewall, and from viruses by deploying antivirus software. XXX. has a well-defined policy and guidelines on the use of electronic mail. Information transmitted by electronic messaging must be appropriately protected.
a) General requirements
b) Custody of electronic messages

a) General requirements
Electronic messaging services must be managed to protect the integrity of messages by:

Protecting messages from unauthorized access, modification or denial of service;
Ensuring correct addressing and transportation of messages;
Providing reliable and available messaging infrastructure; and,
Conforming to legislative, regulatory and policy requirements.

The Chief Information Officer must approve implementation of, and significant modification to, electronic messaging systems. Employees must support the responsible use of electronic messaging services by:

Using only electronic messaging systems for conducting business, including systems for remote access to messaging systems from publicly available networks;
Using only authorized encryption for e-mail or attachments;
Not automatically forwarding e-mail to external e-mail addresses; and,
Maintaining the confidentiality and privacy of information being communicated in electronic messages as appropriate to the sensitivity and classification of the information.

Information Owners must authorize and approve the use of social media services and other electronic messaging services for conducting official business.

b) Custody of electronic messages
Electronic messages created, compiled, sent or received on information systems are records of the organization. These records:

Are the property of XXX;
Must be managed in accordance with the Information Management Act and related regulations, policies, standards and procedures; and,
Are subject to the access and the protection of privacy provisions of the Freedom of Information and Protection of Privacy Act.

A.13.2.4 – Confidentiality or non-disclosure agreements

The purpose in to ensure employees understand their role in maintaining the confidentiality of information and information systems. All contractors and external parties are required to sign NDA as covered by respective contract guidelines. A confidentiality agreement reflecting organizational requirements for the handling of information must be in place and reviewed regularly. Information Owners must:

Ensure employees are informed of their obligation to maintain the confidentiality of information; and,
Ensure individuals other than employees accept and sign an agreement to maintain the confidentiality of information.
Confidentiality requirements must be reviewed and updated annually.

A.14 Systems acquisition, development and maintenance

This establishes requirements for incorporating security measures into the life-cycle of an information system. Security controls must be identified as part of the business requirements for new information systems or enhancements to existing information systems. Information security is integrated into the creation, modification, implementation and expansion by ongoing security practices such as the management of vulnerable points and securing system files. For applications, information security can be applied to the validation of data input and output and by encoding information using electronic keys.

A.14.1 Security requirements of information systems

Control Objective: To ensure that security is an integral part of information systems.

A.14.1.1 – Security requirements analysis and specification

The purpose is to integrate system security requirements into business processes supporting the development, maintenance and acquisition of information systems.XXX., will acquire and accept hardware and software. .Security controls must be identified as part of the business requirements for new information systems or enhancements to existing information systems.
a) Security requirements for information systems
b) Security requirements at implementation

a) Security requirements for information systems

Information Owners must conduct a Security Threat and Risk Assessment and a Privacy Impact Assessment during the requirements phase when developing, implementing major changes to, or acquiring an information system, to:

Identify the security requirements necessary to protect the information system; and,
Assign a security classification to the information and the information system.

The Information Owner must ensure that information system development or acquisition activities are done in accordance with documented requirements, standards and procedures which include:

Testing the information system to verify that it functions as intended;
Enforcing change control processes to identify and document modifications or changes which may compromise security controls or introduce security weaknesses; and,
Using common processes and services (e.g., authentication, access control, financial management).

b) Security requirements at implementation
Information Owners must ensure that sufficient controls are in place to mitigate the risk of information loss, error or misuse from information systems. Prior to implementation, information systems must be assessed to verify the adequacy of, and document the details of, the security controls used, by completing a security certification. Different tiers of applications need to be separated across different platforms or servers (e.g., web interface must be on a different server from the data base).Information systems should have a documented and maintained System Security Plan. The Plan should include:

A summary of risks identified in the Security Threat and Risk Assessment;
Results of the system certification;
Roles and responsibilities for information system security management;
Specific procedures and standards used to mitigate risks and protect the information system;
Communication procedures for security-relevant events and incidents; and,
Monitoring procedures.

While Security Threat and Risk Assessments are not required for all apps on mobile devices, where the app is used for processing the information, a Security Threat and Risk Assessment and Privacy Impact Assessment must be completed before the use of the app. Apps should be downloaded only from official vendor provided app stores. Mobile devices attached to the network must be used according to vendor specifications (e.g., not removing vendor built-in restrictions). Employees should always consider potential risks before downloading apps on their mobile devices. Some apps have been found to have harmful effects and may inadvertently release information from the mobile device to third parties.

A.14.1.2 – Securing applications services on public networks

The Purpose is to enable secure electronic commerce for the delivery of services. Information in application services information systems must be protected from fraudulent activity, contract dispute, unauthorized disclosure and modification.
a) Electronic commerce
b) Electronic documents

a) Electronic commerce
Prior to initiating or implementing electronic commerce information systems, Information Owners must:

Ensure that the Security Threat and Risk Assessment is conducted and addresses threats and risks related to electronic commerce;
Confirm that a Privacy Impact Assessment has been conducted and approved;
Determine the security classification of the information and information system involved;
Ensure that the user notification and acceptance of terms and conditions of use complies with policies and standards;
Ensure multi-factor authentication is used commensurate with the sensitivity and value of the information;
Develop and implement processes to maintain content currency;
Confirm the information system has received security certification and accreditation;
Develop Business Continuity Plans and supporting Disaster Recovery Plans.

b) Electronic documents
When accepting or submitting electronic documents, Information Owners must:

Authenticate the users claimed identity;
Determine an authorization process for approving contents, issue or sign key documents;
Determine the requirements for confidentiality, integrity, proof of dispatch and receipt of key documents and the confidentiality of contracts; and,
Ensure the protection requirements of any confidential information.

A.14.1.3 – Protecting application services transactions

The Purpose is to maintain the confidentiality, integrity and availability of on-line transactions in information systems. Information systems utilizing on-line transactions must have security controls commensurate with the value and sensitivity of the information.
a) On-line transaction security
b) Payment card transaction security

a) On-line transaction security
Information Owners are responsible for ensuring information systems containing on-line transactions have implemented security controls commensurate with the value and sensitivity of the information. Security controls must be implemented to prevent incomplete transmission, misrouting, repudiation of transaction, unauthorized message alteration, unauthorized disclosure, unauthorized message duplication and replay. Security controls include:

Validating and verifying user credentials;
Using digital signatures;
Using cryptography to protect data and information;
Establishing secure communications protocols; and,
Storing on-line transaction details on servers within the appropriate network security zone.

b) Payment card transaction security
Information Owners are responsible for ensuring that information systems used for processing payment card transactions, or connected to payment card transaction processing systems, comply with the Payment Card Industry Data Security Standard. The Payment Card Industry Data Security Standard V3.0 has 12 high-level requirements:
 Install and maintain a firewall configuration to protect cardholder data

Do not use vendor-supplied defaults for system passwords and other security parameters;
Protect stored cardholder data;
Encrypt transmission of cardholder data across open, public networks;
Protect all systems against malware and regularly update anti-virus software or programs;
Develop and maintain secure systems and applications;
Restrict access to cardholder data by business need-to-know;
Identify and authenticate access to system components;
Restrict physical access to cardholder data;
Track and monitor all access to network resources and cardholder data;
Regularly test security systems and processes; and,
Maintain a policy that addresses information security for all employees.

A.14.2 Security in development and support processes

Control Objective: To maintain the security of application system software and information.

A.14.2.1 – Secure development policy

The purpose is to ensure that information security is designed and implemented within the development life-cycle of information systems. Software development will be as per the agreed Software Development Lifecycle defined in ‘PR-09-SLC-Software Life Cycle Process.doc’. Policies, standards, and guidelines for the development of software and systems must be established and applied to developments within the organization.
a) Secure development process
b) Secure programming techniques

a) Secure development process
Information Owners must ensure that software and systems developed internally follow established policies, standards and best practices for secure development process. The established policies and standards must be applied consistently to all developments within the organization. A secure development process is a necessity in developing a secure information system. Within a secure development life-cycle of information systems, the following aspects must be considered:

Security of the development environment;
Security in the software development methodology;
Secure coding guidelines for each programming language used;
Inclusion of security requirements starting from the design phase;
Security checkpoints within the development milestones;
Secure repositories;
Security in the version control and updates;
Required application security knowledge; and,
Developer capability of avoiding, finding and fixing vulnerabilities.

b) Secure programming techniques

Secure programming techniques must be used both for new developments and in code re-use scenarios where the standards applied to development may not be known or are not consistent with current best practices. Secure coding standards must be considered and where relevant mandated for use.

Program code must not be altered unless authorized to do so;
Any variations to program code must be documented; and,
All changes to existing code must ensure applicable standards have been applied for program security.

If development is outsourced, the organization must obtain assurance that the external party complies with the policies for secure development.

A.14.2.2 – Change control procedures

The purpose is to ensure that information systems are not compromised from changes to software..XXX. has a defined procedure to manage and control changes in the software developed and support systems, during the development life cycle. Changes to software must be controlled by the use of formal change control procedures.
a) Changes to software during information systems development
b) Changes to software for operational information systems

a) Changes to software during information systems development
Information Owners must implement a change control process during development which includes:

Requiring that change requests originate from authorized employees;
Requiring that proposed changes are reviewed and assessed for impact; and,
Logging all requests for change.

b) Changes to software for operational information systems
Information Owners must implement a change control process during the maintenance phase including:

Requiring that change requests originate from authorized employees;
Performing an impact assessment considering items such as the System Security Plan and proposed modifications;
Documenting fallback plans;
Documenting approval of changes proposed prior to the commencement of the work;
Documenting the acceptance tests and approval of the results of acceptance testing;
Updating the System Security Plan and other system, operations and user documentation with the details of changes in accordance with records management policy;
Maintaining version control for all changes to the software; and,
Logging all requests for change.

A.14.2.3 – Technical review of applications after operating system changes

The purpose is to ensure information systems will not be disrupted or compromised. The application systems are reviewed to ensure that there is no adverse impact on operation and security due to changes in operating system. Information systems must be reviewed and tested when operating system changes occur. Information owners must notify CISO and other affected parties of operating system changes to allow:

Sufficient time for the review and testing of information systems prior to implementation;
Review of System Security Plans to ensure information systems will not be compromised by the change;
Significant changes to the operating system must have a completed Security Threat and Risk Assessment completed;
Information system testing with the changes to the operating system in a separate (i.e., test) environment; and,
Update of business continuity plans if required.

A. 14.2.4 – Restrictions on changes to software packages

The purpose is to reduce the risk of information system functionality loss.Modification to software package is not permitted without the consent of project team. To ensure that only desired changes are implemented after the approval, a process need to be followed for controlling the changes in software packages.Modification of commercial-off-the-shelf software is limited to essential changes that are strictly controlled and documented.
a) Modifying commercial-off-the-shelf software
b) Applying vendor supplied patches and updates

a) Modifying commercial-off-the-shelf software
Other than vendor supplied patches, commercial-off-the-shelf (COTS) software must not be modified except in exceptional circumstances when needed for a critical business requirement. This requirement must be documented and approved by the Information Owner. If changes to COTS software are required, the Information Owners must determine:

The effect the change will have on the security controls in the software;
If consent of the vendor is required;
If the required functionality is included in a new version of the software;
If the organization becomes responsible for maintenance of the software as a result of the change; and,
Compatibility with other software in use.

if changes are made to COTS software the original software must be kept unaltered and the changes must be:

Logged and documented, including a detailed technical description;
Applied to a copy of the original software; and,
Tested and reviewed to ensure that the modified software continues to operate as intended.

b) Applying vendor supplied patches and updates
A software update management process must be maintained for commercial-off-the-shelf (COTS) software to ensure:

The most up-to-date approved patches have been applied; and,
The version of software is vendor supported.

A. 14.2.5 – Secure System Engineering Principles

The purpose is to ensure information security is designed in all architectural layers of information systems.Software development will be as per the agreed Software Development Lifecycle defined in ‘PR-09-SLC-Software Life Cycle Process.doc’. Principles for engineering secure systems must be established, documented, maintained and applied to any information system implementation efforts.
a) Secure engineering principles
b) Outsourcing engineering security
c) Application development

a) Secure engineering principles
Information Owners must establish and document secure information system engineering procedures based on security engineering principles and best practices. The procedures must be applied to all in-house information system engineering activities. Security must be designed into all architecture layers (business, data, applications and technology) balancing the need for information security with the need for accessibility. New technology must be analyzed for security risks and the design must be reviewed against known attack patterns. Secure engineering procedures must be reviewed regularly to ensure they remain current to reflect the changes in the environment and threat landscape.

b) Outsourcing engineering security

Information Owners must ensure that contracts and other binding agreements incorporate the secure engineering principles and procedures for outsourced information systems.

c) Application development
Application development procedures must apply secure engineering techniques in the development of applications that have input and output interfaces and provide guidance on user authentication techniques, secure session control and data validation, sanitization and elimination of debugging codes.

A. 14.2.6 – Secure Development Environment

The purpose is to ensure the security of information during the development and system integration process.To secure the selected product of development environment the process of configuration management need to be adopted so that the correct product is available to authenticated users. Organizations must establish and appropriately protect secure development environments for system development and integration efforts that cover the entire system development life-cycle. A secure development environment includes people, processes and technologies associated with system development and integration. Information Owners must assess the risks associated with individual system development efforts and establish secure development environments for system development, considering:

Sensitivity of data to be processed, stored or transmitted by the system;
Applicable external and internal requirements (e.g., from regulations, policies and standards);
The need for segregation between different development environments;
Security controls already in place that support system development;
Trustworthiness of employees working in the environment;
The degree of outsourcing associated with system development;
Control of access to the development environment;
Monitoring of changes to the environment and code stored therein;
Backups are stored at secure offsite locations; and,
Control over movement of data from and to the environment.

Once the level of protection is determined for a specific development environment, Information Owners must document corresponding processes in secure development procedures and provide these to all individuals who need them. Personal information must not be used in the testing or development phases without a valid policy exemption from the Office of the Chief Information Officer.

A.14.2.7 – Outsourced software development

The purpose is to ensure information systems perform as expected and meet security requirements.Controls must be applied to secure outsourced information system development.Information Owners must consider the following when outsourcing information system development:

Procurement policy for licensing, ownership and intellectual property rights;
Escrow arrangements in the event of the failure of the external party;
Testing of the information system for common vulnerabilities and malicious code;
Rights of access for audit and certification of the quality and accuracy of the work; and,
Contractual requirements for quality and security functionality of the information system.

Information Owners must ensure that the outsourced information system meets the requirements defined in the system development agreements.

A. 14.2.8 – System security testing

The purpose is to ensure that security functionality is carried out during the development process. Testing of security functionality must be carried out during development.Information Owners must ensure that new and updated systems undergo thorough testing and verification during the development processes. A detailed schedule of test activities, inputs and expected outputs under a range of conditions must be prepared as part of testing and verification processes.Independent acceptance testing must be undertaken to ensure that the system works as expected and only as expected. The extent of testing must be in proportion to the importance and nature of the system.

A.14.2.9 – System acceptance testing

The purpose is to ensure that new or upgraded information systems are tested against defined, agreed and documented criteria for acceptance, prior to becoming operational.New information systems, upgrades, and new versions are put through a system acceptance for their acceptability and interoperability. A separate environment comprising of hardware and software is used to carry out tests prior to deploying or upgrading the main system. Appropriate tests are carried out to confirm that all acceptance criteria are fully satisfied. The tests results are documented and operational, maintenance and usage procedure are established. Training is provided for use and operation of new system. Acceptance criteria for new information systems, upgrades and new versions must be established and suitable tests of the system carried out prior to acceptance.
a) System acceptance process
b) System acceptance criteria
c) Security certification
d) System accreditation

a) System acceptance process
Information Owners must ensure that system acceptance criteria are defined as part of the system development and acquisition process. Prior to implementing new or upgraded information systems, Information Owners must ensure:

Acceptance criteria are identified including privacy, security, systems development and user acceptance testing;
Security certification is attained, indicating the system meets minimum acceptance criteria; and,
Security accreditation to proceed with implementation is attained.

A Privacy Impact Assessment must be completed for new or upgraded information systems.

b) System acceptance criteria
Information Owners must document system acceptance criteria, including:
• Projected performance and resource capacity requirements;
• Disaster recovery, restart, and contingency plans and procedures;
• Impact on standardized routine operating procedures and manual procedures;
• Implementation of security controls;
• Assurance that installation of the new system will not adversely affect existing systems, particularly at peak processing times;
• Business continuity arrangements;
• Training requirements; and,
• User acceptance testing.

c) Security certification
The Information Owners must receive assurance that a new or updated information system meets minimum security acceptance criteria.Assurance should be obtained by conducting either an independent Security Threat and Risk Assessment or a Risk and Controls Review which determines whether a system includes adequate controls to mitigate security risks. This process will also determine the effect of the new system on the overall security of information systems.

d) System accreditation
Information Owners must authorize the implementation of new or upgraded information systems based on the degree to which the acceptance criteria are satisfied.

A.14.3 Test Data

Control Objective: To ensure the protection of data used for testing.

A.14.3.1 – Protection of test data

The Purpose is to protect information from unauthorized access or use. System and acceptance testing usually requires substantial volumes of test data that are as close as possible to operational data, hence test data is carefully selected and controlled such that security violations do not occur. Test data must be protected and controlled using the same procedures as for data from operational information systems. Information Owners must implement procedures to ensure that:

Using test data extracted from operational information systems is authorized and logged to provide an audit trail;
Test data is protected with controls appropriate to the security classification of the information and information system; and,
Data from operational information systems is removed from the test environment once testing is complete.

Sensitive or personal information from operational information systems should not be used as test data. Where personal or sensitive data must be used for testing purposes, sensitive details and content should be removed, depersonalized or de-identified. In rare cases when sensitive or personal data from operational systems has to be used for testing purposes, the following conditions must be met:

Information Owners must provide a strong business case for the use of operational data containing sensitive or personal data for testing purposes;
Privacy Impact Assessment and Security Threat and Risk Assessment must be completed specific to the use of operational data in test;
Use of production data for testing purposes must be approved by the Executive Director and Chief Information Officer;
Testing with the use of operational data must occur only in a production-like environment;
The data to be used for testing purposes in the production-like environment must be handled with the same care and diligence as in the production environment with the same or more stringent security controls;
Access to test data must be limited to the minimum number of individuals required to perform testing activities and must be based on clearly defined roles and responsibilities, and formal approval process;
Information Owners must ensure that access to sensitive or personal information used for testing is monitored and reviewed on a regular basis to detect inappropriate or unauthorized access attempts, at a minimum once a week;
Where sensitive or personal information is used, Information Owners must ensure that only information fields necessary for testing be used (e.g., if successful results can be achieved using the last four digits of a Social Insurance Number, avoid using the whole number);
Information Owners must ensure that the smallest subset of sensitive or personal information is used, which is necessary to complete the testing (e.g., if successful results can be achieved using a small number of records, avoid using the whole dataset);
Information Owners must maintain detailed project documentation on testing activities and processes for audit purposes, including a list of employees involved in testing, date and time when testing began and ended, any deviations from the established processes or procedures that may affect the existing security controls, and any other relevant information; and,
The documentation must demonstrate why the use of sensitive or personal information is necessary.

Information Owners must ensure that the use of personal information for testing purposes does not contravene the requirements of the Freedom of Information and Protection of Privacy Act. Privacy. HR manager should be consulted when test data involves personal information.

Guidelines:
Output from test systems should be labelled “test”.

A.15 Supplier relationships

This covers the requirements for information security in supplier agreements. These are important to consider in outsourcing deals, awarding contracts and in IT procurement services.

A.15.1 Security in supplier relationship

Control Objective: To maintain the security of XXX.’s information and information processing facilities that are assessed, processed, communicated to, or managed by external parties or suppliers.

A.15.1.1 – Information security policy for supplier relationships

The purpose is to ensure that risks associated with external party access to information and information systems have been mitigated by applying security controls as determined by business needs.XXX has identified risks from third-party access mainly in two categories viz., Physical and Network. Risk areas have been identified and appropriate measures shall be taken to mitigate them. They have been addressed adequately in the following sections of this chapter.

A.11.1.2 – Physical entry controls
A.9.1.2 – Access to network and network services

All contract personnel are given restricted access as per the requirement of the service they are providing and as per the contractual obligations. All third parties working at the premises have signed Non-Disclosure Agreement (NDA) at the time of contracts. Identified security requirements must be addressed, agreed upon and documented prior to granting external parties access to information, information systems or information processing facilities.
a) Security requirements
b) Cloud Computing Policy
c) Awareness requirements

a) Security requirements
Prior to granting access to non-public information and information systems for external parties Information Owners must:

Determine that mitigation strategies have been implemented to address security requirements;
Review the Security Threat and Risk Assessment for asset protection requirements including:
- Asset classification,
- Legislative, regulatory and policy considerations, and,
- Intellectual property rights obligations;
Complete a Privacy Impact Assessment;
Determine that security controls will not adversely affect target service levels; and,
Document the roles and responsibilities of the Information Owner and the external party in a formal agreement.

b) Cloud Computing Policy
Cloud computing relies on sharing resources rather than having local servers handle applications and storage. Cloud computing is a term used to describe on-demand resource pooling, rapid elasticity and measured services with broad network access (e.g., Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS)).
The Cloud Computing Policy is a documented corporate policy for the purchase and use of cloud services, which is:

Based on the Chief Information Officer’s strategy;
Approved by executive Director;
Distributed to all relevant individuals throughout the organization; and, 
Applied throughout the organization

Information Owners are responsible for determining the information security classification of the data to be moved to a cloud service and the security requirements in using cloud computing services. Information Owners must include the Chief Information Security Officer, or a designate, as part of the business functions (e.g., procurement and legal) for all cloud initiatives, and in the definition of standard and contractual requirements for the procurement and use of cloud services, to ensure that all controls and protection levels for cloud services have security by design.

c) Awareness requirements
Specific awareness activities must be performed to help ensure all employees:

Are aware of the corporate policy on the use of cloud services; and,
Are educated about the risks of using unapproved cloud services.

A.15.1.2 – Addressing security within supplier agreements

The purpose is to ensure external parties accessing information assets and information processing facilities are required to implement and use security controls. All agreements with the supplier who provides any type of services to XXX & have access to the premises of XXX shall have a clause related to security and Access Control as under

“The vendor will adhere to security guidelines of XXX while delivering the services and follow access privileges & rights provided with precaution and safety measures indicated for each of them. Non-adherence of these guidelines may result in termination of the agreement and/ or claiming of liability/ damages caused due to non-adherence of these instruction.”

External party access to information, information systems or information processing facilities must be based on a formal contract containing necessary information security requirements.
a) External party access agreements
b) Security requirements
c) Service level continuity

a) External party access agreements

Information Owners and Information Custodians must ensure access to information assets and information processing facilities by external parties is only provided after an access agreement has been completed and signed. Access agreements must include:

Roles and responsibilities of the Information Owner and the external party;
Non-disclosure agreements;
Sub-contracting requirements;
Specialized security controls (i.e., meet particular business and security arrangements, legal or regulatory requirements);
Conditions for contract termination;
Audit and compliance monitoring rights, responsibilities and processes;
Reporting obligations for suspected or actual security and privacy incidents;
Renewal and extension conditions; and,
Requirements for regular compliance reviews.

Approved forms of agreement include:

General Service Agreement for purchase of goods or services;
Agreements for Alternate Service Delivery;
Information Sharing Agreement; or,
Other forms of agreement as approved by Legal Services.

b) Security requirements

Information Owners must ensure the security requirements of external party access agreements include:

Notification of obligations of the parties to adhere to legislation and regulation;
Requirements to adhere to agreed information security policies and procedures;
Processes for amending the agreement;
Acknowledgement by the external party that ownership of information is retained by the Province;
Confidentiality obligations of the external party and their employees or agents;
Requirements for use of unique user identifiers;
Processes for conducting audits and compliance monitoring activities;
Responsibilities and processes for reporting security and privacy incidents; and,
Assurances that disciplinary action will be applied to employees or contractors who fail to comply with the terms of the agreement.

c) Service level continuity
Information Owners must ensure supplier service agreements document service level continuity requirements and include processes for:

Ongoing review of service level needs with business process owners;
Audit and compliance monitoring rights and responsibilities;
Communicating requirements to service providers;
Obtaining periodic confirmation from service providers that adequate capacity is maintained;
Reviewing the adequacy of the service provider’s contingency plans for responding to disasters or major service failures; and,
Establishing the metrics for service delivery levels (including risk profiles and audit trigger levels).

A.15.1.3 – ICT (Information and Communication Technology) Supply chain

The purpose is to identify security controls concerning supply chain security in supplier agreements.All agreements with the Information & Communication Technology service provider, who provides any such type of services to XXX, shall have the requirements to address information security risk in the agreement.Agreements with suppliers must include requirements to address the information security risks involving or associated with information and communications technology components, services and product supply chain. Information Owners must identify the security risks concerning the supplier chain relationships and specify the necessary controls in the agreements. Supply chain risk management practices should be built on top of general information security, quality, project management and system engineering practices but do not replace them. Information Owners must work with suppliers to understand their supply chain and any matters that have an impact on the products and services being provided. Agreements with suppliers must address the security requirements that involve other suppliers in the supply chain. Supply chain as addressed here includes cloud computing services. The following security controls must be considered for inclusion in supplier agreements concerning supply chain security:

Defining information security requirements that apply to information systems and information technology product or service acquisitions;
Requiring that suppliers apply security requirements throughout their supply chain if the services are further subcontracted as a whole or in part;
Requiring that suppliers apply appropriate security practices throughout the supply chain for products that include components purchased from other suppliers;
Implementing a monitoring process and acceptable methods for validating that delivered information and communication technology products and services are adhering to stated security requirements;
Implementing a process for identifying product or service components that are critical for maintaining functionality and therefore require increased attention and scrutiny when built outside of the organization especially if the top tier supplier outsources aspects of product or service components to other suppliers;
Obtaining assurance that critical components and their origin can be traced throughout the supply chain;
Obtaining assurance that the delivered information and communication technology products are functioning as expected without any unexpected or unwanted features;
Defining the rules for sharing of information regarding the supply chain and any potential issues and compromises among the organization and suppliers; and,
Implementing specific processes for managing information and communication technology component life-cycle and availability and associated security risks. This includes managing the risks of components no longer being available due to suppliers no longer being in business or suppliers no longer providing these components due to technology advancements.

A.15.2 Supplier service delivery management

Control Objective: To maintain an agreed level of information security and service delivery in line with supplier agreements.

A.15.2.1 – Monitoring and review of supplier services

The purpose is to ensure that services delivered by external parties maintain compliance with security and audit requirements. The services, reports and records provided by the third party are regularly monitored and reviewed regularly. Services provided by external parties must be regularly monitored and the reports and records reviewed. Information Owners must establish processes to manage and review the information security of external party delivered services by:

Assigning responsibility for monitoring to a designated employee;
Maintaining an inventory of agreements and associated access rights;
Monitoring for compliance through processes such as:
- Conducting internal self-assessments of control processes,
- Requiring external parties conduct and submit self-assessments,
- Using embedded audit tools,
- Requiring external parties to submit annual management assertions that controls are being adhered to,
- Conducting independent security reviews, audits and updates to risk and controls reviews, and,
- Analysis of audit logs;
Establishing a process, jointly with the service provider, to monitor, evaluate, investigate and remediate incidents; and,
Establishing performance measures within service plans to ensure adequate service levels are maintained and measured.

A.15.2.2 – Managing changes to supplier services

The purpose is ensure that changes to information system services delivered by external parties maintain or enhance security controls. Changes to the provision of services, including maintaining and improving existing information security policies, procedures and controls, shall be managed, taking account of the criticality of business systems and processes involved and re-assessment of risks. Changes to the provision of services by suppliers for information system services must take into account the criticality of the information systems, processes involved and reassessment of risks. Information Owners must ensure agreements with external party service providers include provisions for:

Amending agreements when required by changes to legislation, regulations, business requirements, policy or service delivery; and,
Requiring the service provider to obtain pre-approval for significant changes involving:
- Network services,
- New technologies,
- Use of new or enhanced system components (e.g., software or hardware),
- System development, test tools and facilities,
- Modification or relocation of the physical facilities, and,
- Sub-contracted services.

Information Owners must ensure the change management process for information systems services delivered by external parties includes, as required:

Reviewing and updating the Security Threat and Risk Assessment to determine impacts on security controls;
Implementing new or enhanced security controls where identified by the risk assessment;
Reviewing and updating the Privacy Impact Assessment;
Initiating and implementing revisions to policies and procedures; and,
Revising employee awareness and training resources.

A.16 Information security incident management

This establishes requirements for reporting a possible breach of information security as quickly as possible. This includes establishing procedures and processes so that employees understand their roles in reporting and mitigating security events. Information security incident management policies identify mechanisms to detect and report when information security events occur and the directives for the consistent management of such events. The information collected about the events can be analyzed to identify trends and to direct efforts to continually improve and strengthen the information security infrastructure of the Province.

A.16.1 Management of information security incidents and improvements

Control Objective: To ensure a consistent and effective approach to the management of information security incidents, including communication on security events and weaknesses.

A.16.1.1 – Responsibilities and procedures

The purpose is to enable quick and orderly management of information security incidents. Incident management responsibilities and procedure exist to ensure a quick, effective, and orderly response to security incidents. Incident management responsibilities and procedures must be established to ensure a quick, effective and orderly response to information security incidents. Information Owners must adopt the Information Security Incident Management Process and ensure that those responsible for information security incident management understand the priorities for handling information security incidents. XXX must follow the established Information Incident Management Process for reporting, managing, responding to and recovering from information security incidents. The process must include:

Procedures for incident response planning and preparation;
Procedures for monitoring, detecting, analyzing and reporting of information security incidents;
Procedures for logging incident management activities; and,
Procedures for handling different types of information security incidents, including immediate action for containment, response escalation and contingency plans.

Employees with security incident management responsibilities must be appropriately trained and deemed qualified (e.g., in forensics and investigations), and their authorization for access to live systems and data must be delineated formally. Incident response processes must be documented, tested and rehearsed regularly to evaluate their effectiveness. In case of an information security incident, the Chief Information Officer must be provided access to all and any relevant primary data stores in a quick, effective and expedient manner to ensure an orderly response to incidents. The Information Incident Management Process includes the following documents:

Information Incident Management Process document;
Information Incident Report Form;
Easy Guide for Responding to Information Incidents;
Process for Responding to Privacy Breaches; and,
Information Incident Checklist.

Guidelines:
Potential types of security incidents to be reported include:

Suspected or actual breaches of privacy and/or confidentiality;
Denial of service;
Detection of network probing;
Detection of malicious code (e.g., virus, worm, Trojan horse);
Errors due to incomplete or inaccurate data;
Outgoing network traffic not associated with typical business processing;
Repeated attempts of unauthorized access;
Inappropriate use of organization’s information resources;
Repeated attempts to e-mail unknown internal accounts;
System activity not related to typical business processing;
System failures and loss of service;
Privacy breaches of personal information;
Responses to phishing attacks;
Threatening or harassing communication; and,
Sharing of user credentials.

Employees who regularly ignore information security and privacy policies should be subject to a disciplinary process that includes notification of their Supervisor and suspension of privileges for repeated offences.

A.16.1.2 – Reporting information security events

The purpose is to enable prompt response to information security events and identify the organization’s wide trends.Security events are defined as incidents that could cause unauthorized disclosure, modification, or destruction of, XXX’s information assets, or loss or destruction of the physical equipment associated with the computer systems, it’s peripheral or network infrastructure components. Security incidents also include other aspects of security, such as carrying fire arms, or other lethal weapons on property, are as typically secured being left unlocked or unattended, fire or hazardous material spills, or witnessing someone performing an unsafe act, or committing a violation of security policies or procedures etc. All users in the, XXX are responsible to report any observed or suspected security incidents through email/help desk phone/on-line Incident reporting system available on Intranet. The security incidents are reported and are managed by the documented procedure. Information security events must be reported immediately.
a) Reporting information security events
b) Information security event logging

a) Reporting information security events
As required by the Information Incident Management Process, employees must immediately report all suspected or actual information security events as quickly as possible to their Dept. head. Dept. head will ensure that senior managers and Chief Information Security Officer are also informed. CISO will seek further details and may give advice on next steps. All employees must be aware of:

Procedures for reporting information security events; and,
Points of contact for reporting.

Requirements for reporting events must be included in contracts and service agreements. Situations to be considered for information security event reporting include:

Ineffective security controls;
Breach of information integrity, confidentiality or availability expectations;
Breach of personal privacy;
Human errors;
Non-compliance with policies or guidelines;
Breaches of physical security arrangements;
Uncontrolled system changes;
Malfunctions of software or hardware; and,
Access violations.

b) Information security event logging
Information security event logs are logs that could be used in security investigations, auditing or monitoring and could give rise to a security incident. Security events may be any activities that can potentially impact the confidentiality, integrity or availability of the information in both paper and electronic format. Information security event logs are notification or alert that a device or software may be technically capable of producing, and are related to its status (e.g., configurations changes, log-on or log-off events), or its function and activities (e.g., data, traffic or sessions routed, transmitted, blocked, permitted). Information security event logging must always be enabled to provide context and data to support security investigation, audit, and monitoring. Information security event logging is not limited to security devices, but is applicable to any and all devices, systems, software or applications that can produce logs that can be used to validate the confidentiality, integrity or availability of the information whether in security investigations, auditing or ongoing monitoring. Examples of devices, systems, software or applications that can produce information security logs include, but are not limited to, routers, switches, content filtering, network traffic flow, network firewalls, Intrusion Prevention/Detection Systems, servers, applications, databases, operating systems, application firewalls, authentication services, directory services, DHCP, DNS, and hardware platforms. All devices, systems, software or applications that have logging capabilities must be configured to produce logs to enable the detection of security events and intrusions that otherwise would go undetected without such logging. If the logging that the device or software is technically capable of producing is disabled or only partially configured, then this decision must be documented and include the rationale for deactivating or only partially implementing the logging. The corresponding Security Threat and Risk Assessment must be updated to reflect this decision and must assess whether the risk introduced by the lack of logging is acceptable.

Guidelines:
The Information Incident Management Process should be part of the Business Continuity Program. The awareness program should build trust with employees and stress that “to err is human”. Positive reinforcement of good computing and reporting practices will help employees understand their responsibilities. Employees who commit errors that lead to security incidents should receive appropriate training and counselling.

A.16.1.3 – Reporting information security weaknesses

The purpose is to assist in maintaining the security of information system. Security weaknesses are defined as loopholes, weak points or vulnerabilities in the information system. These vulnerabilities or the loopholes may be exploited to gain unauthorized access to data or systems. All users in the, XXX. are responsible to note and report any such observed or suspected security weakness. Any user (viz., employee, contractor and third party) can report the incident using email/help desk phone/online system available on Intranet. Employees using the organization’s information systems must note and report any observed or suspected security weaknesses in those systems. All employees must report as quickly as possible any observed or suspected security weaknesses in information systems. Ministries must follow the Information Incident Management Process for responding to suspected or actual security weaknesses which includes:

Reporting to the Chief Information Officer, Risk Management and Security Office, as appropriate. The response process must:
- ensure all reports are investigated and handled in a secure, confidential manner, and,
- ensure the individual who reported the weakness is advised of the outcome when the investigation is complete; and,
A user awareness program on information security advising employees that:
- they have a responsibility to report observed or suspected weaknesses to the Ministry point-of-contact,
- suspected or observed weaknesses must not be tried or tested, and,
- weaknesses should not be discussed, or made known, except through approved reporting channels.

Guidelines:
The reporting and response processes for all security weaknesses, threats, events and incidents should be consolidated to avoid duplication and establish a consistent approach.

A.16.1.4 – Assessment and decision of information security events

The purpose is to help assess and classify events to identify if they are information security incidents. All incidents occurring in the, XXX. are documented and stored and handled as per the procedure.The Chief Information Security Officer must assess each information security event using the agreed upon information security event and incident classification scale and decide whether the event should be classified as an information security incident. An information incident is a single or a series of unwanted or unexpected events that threaten privacy or information security. Information incidents include the collection, use, disclosure, access, disposal, or storage of information, whether accidental or deliberate, that is not authorized by the business owner of that information. Information incidents include privacy breaches. Results of assessments and decisions should be recorded in detail and provided to the Chief Information Officer.

A.16.1.5 – Response to information security incidents

The purpose is to identify in advance of an information security incident, the authority to respond in a controlled manner. All incidents occurring in the, Information security incidents must be responded to in accordance with the documented procedures. Information security incidents must be responded to by the Chief Information Security Officer and other relevant employees of the organization or external parties. The response should include the following:

Collecting evidence as soon as possible after the occurrence;
Conducting information security forensics analysis, as required;
Escalation, as required;
Ensuring that all involved response activities are properly logged for later analysis;
Communicating the existence of the information security incident or any relevant details thereof to other internal and external people or organizations with a need-to-know;
Dealing with information security weaknesses found to cause or contribute to the incident; and,
Once the incident has been successfully dealt with, formally closing and recording it.

The goals of incident response are to resume ‘normal security level’ and to initiate the necessary recovery. Post-incident analysis should take place, as necessary, to identify the source of the incident. Information security incidents must be responded to in accordance with the documented procedures. Information security incidents must be responded to by the Chief Information Security Officer and other relevant employees of the organization or external parties. The response should include the following:

Collecting evidence as soon as possible after the occurrence;
Conducting information security forensics analysis, as required;
Escalation, as required;
Ensuring that all involved response activities are properly logged for later analysis;
Communicating the existence of the information security incident or any relevant details thereof to other internal and external people or organizations with a need-to-know;
Dealing with information security weaknesses found to cause or contribute to the incident; and,
Once the incident has been successfully dealt with, formally closing and recording it.

A.16.1.6 – Learning from information security incidents

The purpose is to identify and use information security incident trends to update the Information Security Policy and supporting security processes. All incidents occurring in the, XXX. are documented and stored in the Corrective and Preventive Actions database. The , XXX. consolidates the incident reports for root cause analysis and considers these as an input for appropriate actions and necessary controls to avoid reoccurrence of the incidents.Knowledge gained from analyzing and resolving information security incidents must be used to reduce the likelihood or impact of future incidents. The Chief Information Security Officer is responsible for monitoring and evaluating information security incidents by:

Using statistical analysis of incident frequency, type and location to identify trends;
Ensuring incident reports and trends are used to promote continuous improvement of security policies and processes, security awareness and training programs, and business continuity and disaster recovery plans;
Advising Information Owners and Information Custodians and Ministry Information Security Officers of evolving security exposures and mitigation strategies;
Evaluating the effectiveness of incident management, response and reporting; and,
Evaluating the effectiveness of information security technologies.

The Chief Information Security Officer must provide incident information to the Executive Director. as appropriate. The CISO is the center of expertise and an essential capability in security incident protection, detection, response and correction where employees assigned responsibility for information incident management receive special training in managing crises across the spectrum of potential incidents. Information sharing with stakeholder and partner organizations. Information security incident response must be integrated within the broader requirements for business continuity and disaster recovery. Integration will simplify processes, maintain consistency and eliminate duplication. Continuous improvement of security incident management processes includes:

Monitoring incidents using statistical analysis of frequency, types and locations of security incidents;
Analysis of incidents, responses and successful containment;
Determining requirements for user awareness and training;
Improving the security of information systems through monitoring and reporting; and,
Integrating automated alarms and other security incident detection technology with user reporting, checking logs and auditing systems.

A.16.1.7 – Collection of evidence

The purpose is to ensure investigation processes preserve the integrity of evidence that may be required for legal or disciplinary action.All applicable laws and regulations have been identified by, XXX. wherever applicable, the records and documents that may be accepted as evidence shall be collected and maintained. Shall ensure that all evidence collected in the process is:

Admissible as evidence – Acceptable to court and legal authorities
Complete – Present a complete trail of the incident
Meet quality requirements – Are readable, legible etc.

Investigations into information security incidents must ensure evidence is identified, collected, preserved, retained and presented in conformance with the rules for collection of evidence.
a) Information security incident investigation
b) Collection of evidence

a) Information security incident investigation
Information security incident investigation must be formalized and practiced in accordance with standard investigation techniques:

Information security incident investigation processes include:
- identification of the incident cause,
- planning of corrective action,
- implementation of corrective action to prevent recurrence, and,
- reporting action taken;
Employees with responsibilities for information security investigations (investigating officers) must be aware of processes for securing potential evidence such as technology assets, audit logs, audit trails, voice mail and e-mail accounts for analysis and as potential evidence in legal proceedings;
Inappropriate use of information and technology resources requires that within 48 hours the investigating officer contact:
- in the case of an employee the individual’s excluded Supervisor and,
- in the case of a contractor or business partner the contract manager or relationship manager;
When criminal activity is suspected, the investigating officer must ensure that the appropriate law enforcement authorities are contacted. Before contacting law enforcement authorities, the Risk Management Branch and Security Office and Chief Information Officer must be consulted;
On resolution of an information security incident or weakness, the investigating officer must prepare a report that includes a detailed problem analysis, actions taken, and recommendations for corrective action or improvements; and,
Information security incident reports must be submitted to Information Owners, Information Custodians, Chief Information Officer as part of security program management.

In order to enable quick, effective and immediate response to information security incidents and breaches, employees with responsibilities for security investigations (investigating officers) must be able to access security log data and security log data processing and reporting facilities immediately. This access will be for the purposes of evidence collection as well as security log parsing, searching, and reporting to enable identification, root cause analysis, and resolution of breaches and incidents. Access will be configured and enabled for on-line, real-time access to the GUI (Graphical User Interfaces)/Consoles/Interfaces of:

The systems that generate and produce security log data and feature an interface that has reporting, parsing or searching functions with relation to the security log data it generates;
The centralized log management system, service or facilities; and,
The centralized monitoring system, service or facilities.

If the specific technology does not have a GUI/Console/Interface available, and instead relies on raw log data generation, equivalent functionality that permits the timely and effective searching of the security logs produced must be implemented.

b) Collection of evidence
At the outset of an information security investigation it may not be known if legal or disciplinary actions will result and what evidence will be required. To ensure proper procedures, confidentiality and information privacy, evidence must only be collected by individuals authorized by the Chief Information Security Officer.

Evidence collection procedures must be documented by the Chief Information Security Officer;
Investigative processes must follow the rules of evidence to ensure relevance, admissibility and materiality; and,
Information Owners and Information Custodians in receipt of a legal order to produce electronic evidence must immediately contact the Chief Information Security Officer.

Guidelines:
In general, procedures for evidence collection should include identification, collection, acquisition and preservation of evidence in accordance with different types of media, devices and the status of devices (e.g., powered on or off). The procedures should take account of:

Chain of custody;
Safety of evidence;
Safety of employees;
Roles and responsibilities of employees involved;
Competency of employees;
Documentation; and,
Briefing.

A.17 Business continuity management

This provides direction from a security focus for planning the resumption of business or services where a man-made or natural disaster has occurred. The organizations are required to be prepared and to re-establish business or services as swiftly and smoothly as possible. Business continuity plans include the evaluation of security risks in line with the directions set by Emergency Management

A.17.1 Information security aspects of business continuity management

Control objective: To counteract interruptions to business activities and to protect critical business processes from the effects of major failures of information systems or disasters and to ensure timely resumption.

A.17.1.1 – Planning information security continuity

The purpose is to ensure XXX can continue to deliver essential services despite damage, loss, or disruption of business processes.Business continuity begins by identifying events that can cause interruptions to business processes, e.g. equipment failure, flood and fire. This is followed by a risk assessment to determine the impact of those interruptions (both in terms of damage scale and recovery period). This assessment considers all business processes and is not limited to the information processing facilities. Depending on the results of the risk assessment, a strategy plan is developed to determine the overall approach to business continuity. The organization must determine its requirements for information security and the continuity of information security management in adverse situations.
a) Business continuity planning
b) Business continuity risk assessment
c) Business continuity strategy
d) Business continuity plans
e) Coordination of business continuity plans

a) Business continuity planning
Information Owners must ensure business continuity and recovery plans address information security requirements consistent with the classification of the information. Processes for establishing business continuity and recovery plans are detailed in the Business Continuity Management Program Guidelines.

Information Owners must perform a business impact analysis for information security aspects to determine the information security requirements applicable to adverse situations; and,
Information security requirements remain the same in adverse situations, compared to normal operational conditions.

The Information owner must maintain the business continuity and recovery plans for information systems as part of the System Security Plan. The Organization policy on business continuity programs is defined in Core Policy and Procedures Manual – Business Continuity Management.

b) Business continuity risk assessment
The process for identifying, analyzing and evaluating risks, including information security risks, is detailed in the Business Continuity Management Program Guidelines – Identify, Analyze and Evaluate Risks. The process for analyzing and assessing business impacts, including those for information security risks, is detailed in the Business Continuity Management Program Guidelines – Review Business Functions and Analyze Business Impacts.

c) Business continuity strategy
The process for developing a business continuity strategy is detailed in the Business Continuity Management Program Guidelines, – Plan Mitigation Strategies and, Plan Business Continuity Strategies.

d) Business continuity plans
Requirements for business continuity plans are defined in Core Policy and Procedures Manual 16 – Business Continuity Management. The process for developing and maintaining business continuity plans is detailed in the Business Continuity Management Program Guidelines.

e) Co-ordination of business continuity plans
Information Owners must ensure business continuity plans:

Include the classification of information assets to identify critical business operations;
Use organization-wide frameworks and processes; and,
Use information security processes which maintain approved security levels.

The Emergency Management BC must coordinate organization-wide business continuity plans to reconcile recovery priorities, business impacts, security impacts and business resumption processes. The Chief Information Officer is responsible for protecting the privacy, confidentiality, integrity and availability of electronic information. This responsibility includes providing expert advice to Emergency Management BC on information security aspects of business continuity plans.

A.17.1.2 – Implementing information security continuity

The purpose is to ensure the required level of continuity for information security is maintained during an adverse situation.The organization must establish, document, implement and maintain processes, procedures and controls to ensure the required level of information security for business continuity during an adverse situation.
a) Implement required level of continuity
b) Information security continuity requirements
c) Processes and procedures
d) System redundancy

a) Implement required level of continuity
Information Owners must ensure that:

An adequate management structure is in place to prepare for, mitigate and respond to a disruptive event using employees with the necessary authority, experience and competence;
Incident response employees with the necessary responsibility, authority and competence to manage an incident and maintain information security are nominated; and,
Documented plans, response and recovery procedures are developed and approved, detailing how the organization will manage a disruptive event and will maintain its information security to a predetermined level, based on approved information security continuity objectives.

b) Information security continuity requirements
According to the information security continuity requirements, Information Owners must establish, document, implement and maintain:

Information security controls within business continuity or disaster recovery processes, procedures and supporting systems and tools;
Processes, procedures and implementation changes to maintain existing information security controls during an adverse situation; and,
Compensating controls for information security controls that cannot be maintained during an adverse situation.

c) Processes and procedures
Within the context of business continuity or disaster recovery, specific processes and procedures have been defined. Information that is handled within these processes and procedures or within dedicated information systems to support them must be protected. Information Owners must involve information security specialists when establishing, implementing and maintaining business continuity or disaster recovery processes and procedures.

d) System redundancy
Information security controls that have been implemented must continue to operate during an adverse situation. If security controls are not able to continue to secure information, other controls must be established, implemented and maintained to achieve an acceptable level of information security

A.17.1.3 – Verify, review and evaluate information security continuity

The purpose is to o ensure business continuity plans are current, functional and address information security requirements. Business continuity plans shall be tested regularly to ensure that they are up to date and effective. Such tests should also ensure that all members of the recovery team and other relevant staff are aware of the plans. Business continuity plans must be regularly exercised and updated. Information Owners must review business continuity plans annually to ensure they are current, valid and readily accessible during a business interruption. Business Continuity Plans must be coordinated with security management and emergency preparedness and response plans. Business Continuity Plans must be exercised at least annually to the extent necessary to confirm plan effectiveness and to ensure employees are prepared and trained. All employees and key stakeholders must be aware of the Business Continuity Management Program and understand its contents and their role. Information Owners must report the number and type of exercises completed, the training conducted and the status of the business continuity plans to Emergency Management BC semi-annually. Requirements for exercising business continuity plans are defined in Core Policy and Procedures – Business Continuity Management. The processes for exercising business continuity plans are detailed in the Business Continuity Management Program Guidelines – Train and Exercise. Requirements for the maintenance of the business continuity plan are detailed in Business Continuity Management Program Guidelines – Monitor and Review.

A.17.2 Redundancies

Control objective: To ensure availability of information processing facilities.

A.17.2.1 – Availability of information processing facilities

The purpose is to ensure the availability of information systems without interruption.Information processing facilities shall be monitored and sufficient redundancy shall be ensured by fixing the appropriate threshold level while maintain Control Effectiveness Measurement as defined. Information processing facilities must be implemented with redundancy sufficient to meet availability requirements.The implementation of redundancies can introduce risks to the integrity or confidentiality of information and information systems, which need to be considered when designing information systems. Information Owners must identify business requirements for the availability of information systems. Where the availability cannot be guaranteed using the existing systems architecture, redundant components or architectures must be considered. Where applicable, redundant information systems must be tested to ensure the failover from one component to another component works as intended.

A.18 Compliance

This describes requirements for verifying that information systems comply with relevant statutory, regulatory, and information security contractual clauses. Compliance policies identify what to do to ensure that the Province is in compliance with applicable laws and policies. Processes to monitor the extent to which information systems follow policies include conducting security reviews, assessments and the systematic analysis of logged information.

A.18.1 Information security reviews

Control Objective: To ensure that information security is implemented and operated in accordance with the organizational policies and procedures.

A.18.1.1 – Independent review of information security

The purpose is to provide an assessment of the Information Security Program.Information System Security Committee is responsible for reviewing and auditing the ISMS for its compliance. All areas covered in the ISMS policy are considered for regular reviews and audits. MR prepares and publishes the annual audit/ review plan. Independent reviews of information security must be regularly conducted.
a) Independent review of information security
b) Remediation

a) Independent review of information security
Independent reviews are necessary to ensure the continuing suitability, adequacy and effectiveness of the organization’s approach to managing information security. The review must include assessing opportunities for improvement and the need for changes to the approach to security, including the policy and control objectives. The Chief Information Security Officer must initiate an independent third party review of the Information Security Program every two years including:

Assessing the operational effectiveness of the Information Security Program;
Documenting the results; and,
Reporting the results of the review to senior management.

b) Remediation
Information Owners must address the identified weaknesses and non-compliant controls prior to the next review.

A.18.1.2 – Compliance with security policies and standards

The purpose is to ensure compliance of information systems with information security policy, requirements and standards. The XXX. with the help of the Security Committee and other Core Group members conducts periodic/event-driven review to ensure compliance with security policy & standards. Information Owners must ensure security procedures are followed in their areas of responsibility and facilitate regular reviews to ensure compliance with security policies and standards.
a) Compliance with security policies and standards
b) Review of controls
c) Review of implementation of information incident report recommendations

a) Compliance with security policies and standards
Information Owners must ensure security policies and processes are implemented and adhered to by:

Conducting periodic self-assessments;
Ensuring employees receive regular information security awareness updates; and,
Initiating independent assessments, reviews or audits to assess compliance with policy.

When review processes indicate non-compliance with policies, Information Owners must:

Determine cause(s);
Assess the threats and risks of non-compliant processes;
Document the marginal risks where required; and,
Develop plans to implement corrective action.

b) Review of controls
Information Owners must develop an annual plan which identifies information systems scheduled for a security review in each fiscal year. The information systems to be reviewed in each year should be:

Determined in conjunction with the Enterprise-wide Risk Management Plan;
Endorsed by the Audit Committee, or equivalent; and,
Reported as part of the annual information resource management plan.

Information Owners must ensure that critical information systems are reviewed at least every three years.

c) Review of implementation of information incident report recommendations
Information Owners and Information must ensure that recommendations from information incident reports are addressed. The Chief Information Security Officer may perform compliance reviews or audits of the implementation of recommendations from information incident reports, when necessary. The Chief Information Officer must ensure that Information Owners support the audit activities.

Guidelines:
When determining the review frequency for information systems consider:

The value of the information system as determined by a Security Threat and Risk Assessment or a Risk and Controls Review;
Frequency of changes or updates (as changes may introduce new risks, a system which has undergone frequent changes may have higher risks); and,
Results of previous reviews.

A.18.1.3 – Technical compliance checking

The purpose is to determine if technical controls meet established standards. Periodic internal audits, third party audits and independent VA/PT shall be planned for and conducted according to Security Committee Review Procedure.Information systems must be regularly reviewed for compliance with security policies and standards.
a) Technical compliance checking
b) Authorization to conduct technical compliance checking
c) Reporting results

a) Technical compliance checking
Information Owners must regularly test information system technical control compliance by using automated tools to:

Detect network intrusion;
Conduct penetration testing;
Determine if information system patches have been applied;
Confirm that system technical controls have been implemented and are functioning as designed; and,
Perform technical compliance checking as part of the system change management process to verify that unauthorized connections and/or systems changes have not been made.

b) Authorization to conduct technical compliance checking
Supervisors responsible for technical compliance checking must ensure that:

Information Owners and operations employees are consulted prior to initiating tests;
The Chief Information Security Officer is notified prior to testing to prevent triggering false security alarms from the infrastructure; and,
Automated testing of operational systems is conducted by employees authorized by the Chief Information Security Officer.

Department HOD must consult with the Chief Information Security Officer prior to issuing Requests for Proposal or contracts for technical compliance checking.

c) Reporting results
Supervisors responsible for technical compliance checking and Information Custodians must:

Assess results of testing and promptly develop action plans to investigate and mitigate identified exposures in consultation with the Ministry Information Security Officer;
Provide Information Owners and the Chief Information Security Officer with copies of test results and action plans;
Provide the Chief Information Security Officer with the internal or external audit reports immediately upon receipt; and,
Maintain records, in accordance with established records schedules, of tests for subsequent review by internal and external auditors.

Guidelines:
The Chief Information Security Officer should:

Develop and maintain testing processes for authorizing/conducting tests, storing results and building on previous testing experience; and,
Provide summarized quarterly reports to the Chief Information Officer on the status and results of testing.

A.18.2 Compliance with legal and contractual requirement

Control Objective: To avoid breaches of any law, statutory, regulatory or contractual obligations and of any security requirements.

A.18.2.1 – Identification of applicable legislation

The purpose is to ensure that the legal requirements of information systems are documented. All relevant statutory, regulatory, and contractual obligations pertaining to information systems are explicitly defined and documented. XXX. adheres to all the applicable laws and acts. It is the responsibility of the HR department to review compliance and identify new or unidentified legal obligations. All agreements entered by the company are duly vetted and approved by the HR department for this purpose. The legislative, statutory, regulatory and contractual requirements for each information system must be explicitly defined, documented and maintained. Information Owners are responsible for ensuring that legislative statutory, regulatory, policy and contractual requirements of each information system are:

Identified and documented when commencing a system development or enhancement initiative;
Reviewed prior to, or concurrent with, changes to legislation, regulation or policy; and,
Explicitly identified in contracts and service agreements, and included in:
- Privacy Impact Assessments,
- Security Threat and Risk Assessments,
- System Security Plans,
- Risk Management Plans, and,
- Business Continuity Plans.

Privacy requirements for information systems containing or handling personal information are defined in the Freedom of Information and Protection of Privacy Act – Policy and Procedures Manual

A.18.2.2 – Intellectual property rights (IPR)

The purpose is to protect the intellectual property rights of information and software creators and owners. XXX. ensures that all license agreements are respected and limits the use of the products to specified machines, and for specific purposes.

The IPR of hardware, software and documentation belonging to , XXX will not be disclosed to any outside party unless and otherwise cleared by XXX
The IPR of programs and associated material supplied by outside organizations / collaborators will be used by, XXX. for only those purposes for which they are licensed.
No unauthorized copies will be made for use within or outside, XXX

Controls must be implemented to ensure compliance with legal, regulatory and contractual restrictions on the use of material with respect to intellectual property rights and proprietary software licensing.
a) Intellectual property rights of external creators and owners
b) Intellectual property rights for the organizational assets

a) Intellectual property rights of external creators and owners
Information Owners and Information Custodians must protect intellectual property by:

Ensuring that information and software is only acquired from reputable vendors;
Maintaining proof or evidence of ownership or right to use;
Adhering to the terms and conditions of use associated with intellectual property;
Ensuring the maximum number of users permitted is not exceeded;
Implementing processes to detect unlicensed information (e.g., ISO standards documents) and software or expired licenses;
Requiring the removal of unlicensed information and software from the information systems;
Informing employees of the policies, including the Appropriate Use Policy;
Ensuring licensed intellectual property is securely removed from electronic media prior to media disposition; and,
Complying with terms and conditions for information and software obtained from public networks (e.g., “free for personal use only”, open source).

b) Intellectual property rights for the assets
Policy for the intellectual property of information assets is in the Core Policy and Procedures Manual – Corporate Supply and Disposal Arrangements which is managed by the Chief Information Officer

A.18.2.3 – Protection of documented information

The purpose is to ensure compliance with legislative and policy requirements for documented information.The important records are protected from loss, destruction and falsification. The following records of, XXX are safeguarded:

Master List of Documents
Master List of Records
Database records
Transaction logs
All contracts and agreements

All records are retained for a defined period as specified by the owner of the information. Storage and handling of all these records is in accordance with a defined procedure. The documented information must be protected from loss, destruction and falsification, unauthorized access, release, and disposal in accordance with legislative, regulatory, contractual and business requirements. When deciding upon protection of specific organizational records, Information Owners must consider the information security classification. Information Owners must ensure the protection of records by:

Using organization guidelines on the retention, storage, handling and disposal of records and information;
Following a retention schedule identifying records and the period of time for which they should be retained; and,
Maintaining an inventory of sources of key information.

A.18.2.4 – Privacy and protection of personal information

The purpose is to To ensure the privacy and protection of personal information in compliance with legislation.. However, all personal records are maintained as hard copies and classified as ‘Confidential’. Only HR department has access to those files. Online personal information is maintained which is password protected, and the access is limited to the HR.Privacy and protection of personal information must be ensured as required in legislation and regulation.Information Owners must document and implement policies for privacy and the protection of personal information. The policy must be communicated to all employees involved in the processing of personal information. There must be Privacy Impact Assessment and Security Threat and Risk Assessment documents for all operations areas that are collecting, processing and storing personal information. The Freedom of Information and Protection of Privacy Act requires personal information to be protected using ‘reasonable security measures’. The Information Security Policy includes detailed controls which enable and support the protection of information and information systems.

A.18.2.5 – Regulation of cryptographic controls

The purpose is to prevent inappropriate use and unregulated importing or exporting of cryptographic controls.The cryptographic regulations as per IT Act of Government of (P) shall be followed for XXX operations. In case of usage of third party cryptographic devices compliance letter from the third party shall be secured.Cryptographic controls must be used in compliance with relevant agreements, legislation and regulations. When cryptographic controls are used, Information Owners must:

Ensure that the use of cryptographic control(s) is supported by an Information Security Threat and Risk Assessment;
Consult with the Chief Information Officer regarding the records management, electronic commerce, information access, privacy and security issues prior to acquiring cryptographic controls;
Ensure encrypted information assets do not become unavailable due to unavailability or loss of cryptographic keys by implementing a process to manage cryptographic keys as defined by the Chief Information Officer; and,
When acquiring cryptographic controls from outside the country, the procurement must be from a reputable vendor who can provide reasonable assurance on the legality of import into country.

The Chief Information Officer will:

Develop and document cryptographic key management processes;
Provide guidance and assistance to the departments and agencies in the selection and use of cryptographic controls; and,
Establish and publish cryptographic standards

12. ISMS Master list of Records and its Retention Period

Sl. No	Record Name	Responsibility	Classification of Information	Retention Period
1.	Security Council Meeting Minutes	MR	Restricted	1 Year
2.	Corrective Action Record	MR	Restricted	1Year
3.	Preventive Action Record	MR	Restricted	1 Year
4.	User Registration & Deregistration Record		Restricted	1 Year
5.	Incident Log	MR	Restricted	3 Years
6.	Asset Record	MR	Restricted	3 Years
7.	Risk Assessment Record	MR	Restricted	3 Years
8.	List of Applicable Legislations	MR	Restricted	3 Years
9.	Server Logs	System Administrator	Internal	1 Year
10.	NC Reports	MR	Restricted	3 Years
11.	BCP Record	IT Manager	Restricted	3 Years
12.	Change Request Record	System Admin	Internal	3 Years
13.	Change Request Impact Analysis Record	System Admin	Internal	3 Years
14.	Software License Usage Monitoring Report	System Admin	Internal	1 Year
15.	Bandwidth Monitoring Report	System Admin	Internal	6 Months
16.	H/W and S/W Verification Records	System Admin	Internal	1 Year
17.	List of authorized persons for sensitive data	MR/CISO	Restricted	1 Year
18.	Antivirus record of user machines	System Admin	Internal	1 Year
19.	Backup logs	System Admin	Internal	1 Year
20.	Backup restoration logs	System Admin	Internal	1 Year
21.	Network Access Authorization Records	System Admin	Restricted	1 Year
22.	Media Disposal Records	MR	Internal	3 years
23.	Visitor Log Book	System Admin	Internal
24.	Management Authorization Approval sheet	MR	Confidential	3 years
25.	Contract for Power Supply	MR	Internal
26.	Contract for DG Set	MR	Internal
27.	Contract for Air Conditioner	MR	Internal
28.	Contract for Security Agency	Admin	Internal
29.	Contract for Fire prevention	Admin	Internal
30.	Contract for Leased Line	MR	Internal	3 years
31.	Contract for FM	MR	Internal
32.	Contract for Antivirus Protection	MR	Internal	1 year
33.	Third Party Contract & NDA documents	MR	Restricted	3 years
34.	IBM/MacAfee Service Level Agreement	MR	Restricted	3 years
35.	Background Verification Record	HR	Confidential
36.	KPI related records	MR	Internal
37.	ISMS Plan	MR	Internal

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