Building an Information Technology Security Awareness …

1 Building an Information Technology Security Awareness and Training Program Mark Wilson and Joan Hash C O M P U T E R S E C U R I T YNIST Special Publication 800-50 Computer Security Division Information Technology Laboratory National Institute of Standards and Technology Gaithersburg, MD 20899-8933 October 2003 Department of Commerce Donald L. Evans, Secretary Technology Administration Phillip J. Bond, Under Secretary for Technology National Institute of Standards and Technology Arden L. Bement, Jr., Director Reports on Computer Systems Technology The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the economy and public welfare by providing technical leadership for the Nation s measurement and standards infrastructure.

2 ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of Information Technology . ITL s responsibilities include the development of technical, physical, administrative, and management standards and guidelines for the cost-effective Security and privacy of sensitive unclassified Information in Federal computer systems. This Special Publication 800-series reports on ITL s research, guidance, and outreach efforts in computer Security , and its collaborative activities with industry, government, and academic organizations. GOVERNMENT PRINTING OFFICE WASHINGTON: 2003 For sale by the Superintendent of Documents, Government Printing Office Internet: Phone: (202) 512-1800 Fax: (202) 512-2250 Mail: Stop SSOP, Washington, DC 20402-0001 NIST Special Publication 800-50 Authority This document has been developed by the National Institute of Standards and Technology (NIST) in furtherance of its statutory responsibilities under the Federal Information Security Management Act (FISMA) of 2002, Public Law 107-347.

3 NIST is responsible for developing standards and guidelines, including minimum requirements, for providing adequate Information Security for all agency operations and assets, but such standards and guidelines shall not apply to national Security systems. This guideline is consistent with the requirements of the Office of Management and Budget (OMB) Circular A-130, Section 8b(3), Securing Agency Information Systems, as analyzed in A-130, Appendix IV: Analysis of Key Sections. Supplemental Information is provided A-130, Appendix III. This guideline has been prepared for use by federal agencies. It may be used by nongovernmental organizations on a voluntary basis and is not subject to copyright. (Attribution would be appreciated by NIST.) Nothing in this document should be taken to contradict standards and guidelines made mandatory and binding on federal agencies by the Secretary of Commerce under statutory authority.

4 Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of the OMB, or any other federal official. Certain commercial entities, equipment, or materials may be identified in this document in order to describe an experimental procedure or concept adequately. Such identification is not intended to imply recommendation or endorsement by the National Institute of Standards and Technology , nor is it intended to imply that the entities, materials, or equipment are necessarily the best available for the purpose. NIST Special Publication 800-50 TABLE OF CONTENTS Executive 1. Roles and Agency Head ..3 Chief Information Information Technology Security Program 2. Components: Awareness , Training, The Professional Development.

5 10 3. Designing an Awareness and Training Structuring an Agency Awareness and Training Conducting a Needs Developing an Awareness and Training Strategy and Establishing Setting the Funding the Security Awareness and Training 4. Developing Awareness and Training Developing Awareness Selecting Awareness Sources of Awareness Developing Training A Model for Building Training Courses: NIST Special Pub. Sources of Training Courses and 5. Implementing the Awareness and Training Communicating the Techniques for Delivering Awareness Techniques for Delivering Training 6. Monitoring Evaluation and Managing i NIST Special Publication 800-50 Ongoing Improvement ( Raising the Bar )..38 Program Success APPENDIX A SAMPLE NEEDS ASSESSMENT INTERVIEW AND APPENDIX B SAMPLE Awareness AND TRAINING APPENDIX C SAMPLE Awareness AND TRAINING PROGRAM PLAN APPENDIX D SAMPLE Awareness LIST OF FIGURES Figure 2-1: The IT Security Learning Figure 3-1: Model 1 Centralized Program Figure 3-2: Model 2 - Partially Decentralized Program Figure 3-3: Model 3 Fully Decentralized Program Figure 3-4: Techniques for Gathering Information as Part of a Needs Figure 3-5: Understanding Overarching Agency-Specific Figure 3-6: Key Questions to be Answered in Performing a Needs Figure 3-7: Required Awareness and Training Versus Current Figure 4-1: Sample IT Security Training Figure 4-2: Key Questions Develop Training Material In-house or Outsource?

6 28 Figure 5-1: Key Steps Leading to Program Figure 6-1: Key Steps Leading to Figure 6-2: Evaluation and Feedback Techniques ..37 ii NIST Special Publication 800-50 Acknowledgements We would like to express our thanks to George Bieber, Department of Defense; Carolyn Schmidt, NIST IT Security Office; Jaren Doherty, National Institutes of Health (NIH); Becky Vasvary, National Oceanographic and Atmospheric Administration (NOAA); Richard Stone, Internal Revenue Service (IRS); and Pauline Bowen, Richard Kissel, and Tanya Brewer-Joneas of NIST. We would also like to thank the NIST Technical Editor, Elizabeth Lennon, for editing this document. Noteworthy contributions were also made by Ann L. Brown, Department of Health and Human Services (DHHS) Indian Health Service; Carolyn O Connor, DHHS/Program Support Center (PSC); and Charles A.

7 Filius, DHHS/PSC. Finally, we wish to thank the members of the Executive Board of the Federal Information Systems Security Educators Association (FISSEA) - Barbara Cuffie, Social Security Administration (SSA); Patricia Black, Treasury Department; and Dara Murray, DHHS/PSC. iii NIST Special Publication 800-50 Executive Summary NIST Special Publication 800-50, Building An Information Technology Security Awareness and Training Program, provides guidance for Building an effective Information Technology (IT) Security program and supports requirements specified in the Federal Information Security Management Act (FISMA) of 2002 and the Office of Management and Budget (OMB) Circular A-130, Appendix III. A strong IT Security program cannot be put in place without significant attention given to training agency IT users on Security policy, procedures, and techniques, as well as the various management, operational, and technical controls necessary and available to secure IT resources.

8 In addition, those in the agency who manage the IT infrastructure need to have the necessary skills to carry out their assigned duties effectively. Failure to give attention to the area of Security training puts an enterprise at great risk because Security of agency resources is as much a human issue as it is a Technology issue. Everyone has a role to play in the success of a Security Awareness and training program but agency heads, Chief Information Officers (CIOs), program officials, and IT Security program managers have key responsibilities to ensure that an effective program is established agency wide. The scope and content of the program must be tied to existing Security program directives and established agency Security policy. Within agency IT Security program policy, there must exist clear requirements for the Awareness and training program.

9 The document identifies the four critical steps in the life cycle of an IT Security Awareness and training program: Awareness and Training Program Design (Section 3): In this step, an agency wide needs assessment is conducted and a training strategy is developed and approved. This strategic planning document identifies implementation tasks to be performed in support of established agency Security training goals. Awareness and Training Material Development (Section 4): This step focuses on available training sources, scope, content, and development of training material, including solicitation of contractor assistance if needed. Program Implementation (Section 5): This step addresses effective communication and roll out of the Awareness and training program. It also addresses options for delivery of Awareness and training material (web-based, distance learning, video, on-site, etc.)

10 Post-Implementation (Section 6): This step gives guidance on keeping the program current and monitoring its effectiveness. Effective feedback methods are described (surveys, focus groups, benchmarking, etc.). The document also discusses three common models used in managing a Security training function. Centralized: All responsibility resides with a central authority ( , CIO and IT Security program manager). Partially Decentralized: Training policy and strategy lie with a central authority, but implementation responsibilities are distributed. Fully Decentralized: Only policy development resides with a central authority, and all other responsibilities are delegated to individual agency components. ES-1 NIST Special Publication 800-50 The type of model considered should be based on an understanding and assessment of budget and other resource allocation, organization size, consistency of mission, and geographic dispersion of the organization.