[comp.admin.policy] Guidelines for Setting Policy

marchany@vtserf.cc.vt.edu (Randy Marchany) (05/28/91)

The Internet Engineering Task Force (IETF) has a security policy working
group that is devising a handbook that contains guidelines for aiding
sysadmins is creating a usage policy for their individual sites. It is
available via anonymous FTP from cert.sei.cmu.edu under the 
/pub/ssphwg directory. It is a DRAFT copy but still is quite useful as
a guide. Another resource for DEC users is the Security SIG of DECUS.
They have offered a series of talks in the past 2 DECUSs and they serve
to increase a sysadmins awareness of protection from unauthorized use in
today's networked environment.

There are a few things to keep in mind. A workable policy requires 3
major steps. First, someone HAS to write the policy. This is usually
left up to the sysadmin. In an environment where there are a number of
networked machines (university, branches/divisions of a company, etc),
then ALL of the sysadmins should get together and agree on a policy
statement. This is not as difficult as it sounds because nobody wants
their system to be misused. The sysadmins should devise the policy
because while mgt may be aware of the problem, chances are they tend to
operate in a reactive mode rather than a preventive mode. The policy
statement need not be complicated. A simple statement to the effect of
"our computers must not be used in violation of international, national,
state, local laws". The important thing is that this policy statement be
WRITTEN down somewhere. The draft policy should be reviewed by the
site's legal counsel. It is NOT our job to be "wanna-be lawyers".
After legal review, it should then be presented to mgt for approval. 
The most effective argument to ensure consideration of the policy is
that of liability. Is a site liable for misuse of its computing
resources if there is not policy statement regarding their use?

Second, the user community needs to be educated on the policy as well
as ethical and responsible use. This involves creating a series of
"Statement" papers on subjects such as responsible userid access, etc.
These statements should be more specific than the general policy
statement. For instance, they should refer to the state laws on computer
abuse AND the penalties mentioned in those statutes. Again, the local 
sysadmin group should draft the document(s). How do we implement this
"education"? Some suggestions are 1) orientation sessions for users
2) training your local user consulting groups 3) training your upper
mgt. Remember, the whole purpose of this is NOT to create a Big Brother
atmosphere, rather, it is to EDUCATE your user community on RESPONSIBLE
behavior. This really isn't that hard to do since most of us already
have an inherent sense of what is responsible use. The users should
sign a form (approved by your site legal counsel) acknowledging that
they understand and agree to abide by the policy. You, as a sysadmin
need to go the extra mile to ensure user NOTIFICATION of the policy and
the signed form is proof that the user was notified. 

Third, I mentioned in an earlier post that setting up the policy
structure is like insurance. You never think about it until you have to.
If a "violation" occurs at your site, you should have a plan in place 
on how to deal with it. Everybody has fire drill plans, etc., this is no
different. I summarize this section from the IETF Draft policy handbook.
1. Define what your goals/objectives are in handling the incident
	-Examples: protect human life, protect sensitive data, prevent
	           damage to systems/equipment, prevent disruption of
		   service.
2. Evaluation.
	- Is the violation real? This requires the sysadmin to have a
	  "feel" for what is "normal" system use.
	- What is the scope of the "violation"? Is it multi-site? Is
	  sensitive information involved? What is the entry point of the
	  incident (phone lines, network, etc.)
3. Notification.
	- Who do you notify of an incident? How do you notify them
	  (email, phone, fax, etc.)? Who do you notify DURING the 
	  incident and AFTER the incident? People such as sysadmins,
	  administration, law enforcement, CERT should be on your list.
	- Public Relations? Keeping your site public relations office
	  informed may need to be considered.
4. Response.
	- Contain the incident.
	- Eradicate the cause.
	- Recover from the incident
	- Follow-up.
		Do a post-mortem analysis. What happened and when? How
		well did we deal with the incident. Were the appropriate
		staff elements (sysadmins, user consulting groups, mgt)
		informed?
	- KEEP A DETAILED LOG OF THE INCIDENT HANDLING!!!!
	- Keep the evidence in a SECURE place.
5. Legal/Investigative.
	- Establish contacts with investigative agencies. The reason for
	  this is that things happen quickly during an incident and
	  is little time to determine who to call. If the incident is
	  serious enough to go to court, you need to know HOW TO GATHER
	  ADMISSIBLE EVIDENCE!!!! Otherwise, your efforts are useless.
	- Your site legal counsel should be involved in any decision to
	  contact outside law enforcement agencies. Hopefully, your
	  legal counsel was involved in the drafting of your site policy
	  statement, so you've already esatblished a contact there.
	  It is IMPERATIVE that your legal counsel review your steps for
	  Incident Handling BEFORE you actually carry out these procs.

It does seem like a lot of work but it really is a "one-shot". You'll
spend a lot of time to do this once but then it's in place for a long
period of time. Periodic reviews of the procedures will not take a lot
of time to do. Again, I stress that we shouldn't drift off course in
our discussions. 
	
	-Randy Marchany
Internet: marchany@vtserf.cc.vt.edu