US20120084867A1 - Method, system, and computer program product for assessing information security - Google Patents

Abstract

Methods and systems to assess information security based on based on a combination of user-responses to computer-selected queries and results of a testing/diagnostic application. Users may be interviewed based on areas of expertise. Information security assessment may be performed with respect to domains of an enterprise, the results of which may be rolled-up to assess information security across the enterprise. A system may include application-specific questions and vulnerabilities, industry specific questions and vulnerabilities, a repository of expert knowledge, and/or working aids. A system may include an inference engine, which may include a logic-based inference engine, a knowledge-based inference engine, and/or an artificial intelligence inference engine. A system may include an application-specific tool to configure the system to assess security of information handled by a third party application program.

Description

CROSS REFERENCE TO RELATED APPLICATIONS
• This application is a continuation of U.S. Utility patent application Ser. No. 11/144,946, filed Jun. 6, 2005, which is a divisional application of U.S. Utility application Ser. No. 09/558,387, filed Apr. 26, 2000 (U.S. Pat. No. 6,925,443), all of which are incorporated herein by reference in their entireties.
BACKGROUND
• 1. Field of the Invention
• The present invention relates to information security assessments and, more particularly, to information security assessments based on one or more of information technology infrastructure characteristics, components, configuration, connectivity, and/or architecture, information handling policies, procedures, training, and/or awareness, enterprise type, and/or user area of expertise.
• 2. Related Art
• Corporate and government enterprises rely on a variety of types of information, such as customer information, vendor information, personnel information, and regulatory filing/compliance information. If any of this information is compromised, whether by accident or malicious intent, then the business of the enterprise suffers. Assessing and improving information security is thus a goal of an enterprise.
• Information security has both technology based elements and non-technology based elements. Deficiencies in either may compromise information security.
• Technology based elements of information security typically include information technology (“IT”) infrastructure characteristics, components (hardware and software), configuration of the components (e.g., version and patch history of an operating system, routers, and firewalls), connectivity of the components, and architecture. Information security can be compromised by weaknesses and/or vulnerabilities in IT components, configuration of the IT components, connectivity of the IT components, architecture of the entire IT infrastructure or portions thereof. These are referred to as technology based vulnerabilities and risks.
• For example, many technology components, hardware and software, have known inherent vulnerabilities and/or risks. Vulnerabilities and/or risks may vary by manufacturer, version, installed patches, etc. Similarly, the way in which IT components are configured may create vulnerabilities and/or risks to the information handled by the IT infrastructure. For example, hardware switch settings or software settings may be associated with known vulnerabilities and/or risks to the information handled by the IT infrastructure. Similarly, the way in which IT components are interconnected may create vulnerabilities and/or risks to the information handled by the IT infrastructure.
• Non-technology based information security elements can include information handling policies, procedures, training, and/or awareness. Information security handling policy generally refers to guidelines, instructions, rules, and/or regulations for handling information. Information security procedure generally refers to specific step-by-step instructions for implementing security handling policies. Information security policies and procedures tend to vary by enterprise type and by the type of information being handled.
• Depending upon the context, information security policies may also refer to policies implemented within an IT infrastructure, such as firewall policies, for example. Vulnerability and risks associated with this category of information security, however, generally falls under the rubric of technology based vulnerabilities and risks, rather than non-technology based vulnerabilities and risks.
• A fundamental goal of an information security policy is to communicate to everyone in an enterprise that information is a valuable asset to the enterprise and that everyone is responsible and accountable for protecting the information. A security policy is a visible representation of security considerations, requirements, priorities, assumptions, and responsibilities.
• A security policy provides many benefits to an enterprise, including, without limitation:
• demonstrates management commitment to protecting enterprise information;
• provides cost benefit analyses of security measures to mange risk and protect enterprise assets;
• supports an enterprise's mission and goals and acts as an enabler for the enterprise;
• identifies what information must be protected;
• establishes who is responsible for protecting information;
• provides unambiguous expectations for employee conduct and responsibility;
• provides consequences of misuse;
• minimizes negative exposure to the enterprise by limiting liability, negative press, etc;
• guides product selection;
• ensures proper implementation of IT.
• Security policies are developed by identifying information to be managed, determining the value of the information, determining the way the information is used, identifying who creates and uses the information, assessing risks to the information, and deriving requirements for protecting the information.
• Information security can be compromised by deficiencies in IT infrastructure characteristics, components, configuration, connectivity, and/or architecture, and/or by deficiencies in information handling policies, procedures, training, and/or awareness.
• In order to protect information, an information security assessment should be performed to identify any deficiencies in systems and/or processes. A proper information security assessment results in corrective measures and policy fixes that are appropriate for the types of information used by the enterprise, the way(s) in which the information is used, and the nature of the threats facing the information, and vulnerabilities associated with the systems and processes.
• What is needed, therefore, is a system and method for assessing information security that takes into account technology based vulnerabilities and risks and non-technology based vulnerability and risks.
• Information security vulnerabilities and risks vary by enterprise type. This is due, in part, to types of information handled by different types of enterprises, different types of threats faced by different types of enterprises, and/or different IT infrastructures. Thus, government enterprises, for example, may have different vulnerabilities and risks than commercial enterprises.
• What is needed, therefore, is a system and method for assessing information security that takes into account an enterprise type, including consideration of any industry specific vulnerabilities and risks.
• Within an enterprise, information needed to properly assess information security may not rest with a single individual or even within a single group of individuals. For example, IT information may be spread among multiple individuals or groups of individuals. The individuals or groups of individuals may be geographically diverse. For example, wide area network (WAN) knowledge might be with a WAN administrator, local area network (LAN) information might be with a LAN administrator. Other types of IT information might rest with one or more server administrators, IT supervisors, a CIO, etc.
• Similarly, policies and procedures may vary within an enterprise depending upon the type of information being handled. For example, financial information, intellectual property information, human resource information, employee information, merger and acquisition information, regulatory information, and other types of information, may each have their own policy and procedure. Different individuals and/or groups of individuals may not be necessarily be aware of, or need to be aware of, policies and procedures outside of their respective areas of expertise.
• What is needed, therefore, is a system and method for assessing information security that considers users' areas of expertise. Such a method and system should interview a plurality of users, based on each user's area(s) of expertise, to help insure that questions are answered accurately by qualified users, and to obtain an overall picture of information security within an enterprise.
• An enterprise may define itself in terms of departments, subsidiaries, or other terms (generally, “domains”). Domains may be legally distinct domains or enterprise defined domains. domains may or may not be geographically based. Different domains within an enterprise may have similar and/or distinct information security issues to be addressed. For example, two or more domains within an enterprise may have substantially similar information security concerns, including technology based concerns and non-technology based concerns. On the other hand, two or more domains within an enterprise may have distinctly different information security concerns, including technology based concerns and non-technology based concerns.
• What is needed, therefore, is a system and method for assessing information security that takes into account domains within an enterprise. Such a method and system should include a process for rolling-up information security information from various domains to perform an enterprise wide information security assessment.
SUMMARY OF THE INVENTION
• The present invention is directed to a method, system and computer program product for assessing information security in an enterprise. Users are interviewed with questions designed to elicit deficiencies in information security, based on known weaknesses and/or vulnerabilities. In an embodiment, users are interviewed regarding information technology (“IT”) infrastructure characteristics, components, configuration, connectivity, and/or architecture, and information handling policies, procedures, training, and/or awareness.
• In an embodiment, users are interviewed based on areas of expertise, such as IT infrastructure areas of expertise.
• In an embodiment, information security assessments are performed on domains within an enterprise, the results of which are roll-up to perform an information security assessment across the enterprise.
• In an embodiment, the invention includes application specific questions and vulnerabilities, which permits a detailed assessment directed to known vulnerabilities associated with the application.
• In an embodiment, the invention includes an application specific tailoring tool that allows a user to tailor the system to assess security of information handled by a third party application program.
• In an embodiment, the invention includes industry specific questions and vulnerabilities. This permits a detailed assessment directed to known vulnerability and other issues associated with the various types of enterprise (e.g., government or commercial).
• In an embodiment, the invention permits users to query a repository of expert knowledge.
• In an embodiment, the invention provides users with working aids.
• In an embodiment, the invention permits users to execute third party testing/diagnostic applications. The invention optionally combines results of the executed third party testing/diagnostic application(s) with user responses to interview questions. When the results are combined, security assessment is preferably based on both user responses and results of the executed third party testing/diagnostic application(s).
• A system in accordance with the invention includes an inference engine, which may include a logic based inference engine, a knowledge based inference engine, and/or an artificial intelligence inference engine.
• Further features and advantages of the present invention, as well as the structure and operation of various embodiments of the present invention, are described in detail below with reference to the accompanying drawings.
BRIEF DESCRIPTION OF THE FIGURES
• The present invention will be described with reference to the accompanying drawings, wherein like reference numbers indicate identical or functionally similar elements. Also, the leftmost digit(s) of the reference numbers identify the drawings in which the associated elements are first introduced.
• FIG. 1 illustrates an block diagram of an example IT infrastructure of an enterprise.
• FIG. 2 illustrates an block diagram of various example types of information of an enterprise.
• FIG. 3 illustrates a high level process flow chart of a method for assessing information security, in accordance with the present invention.
• FIG. 4 illustrates a process flow chart of an example start-up process, in accordance with the present invention.
• FIG. 5 illustrates a process flow chart of an example start-up process, in accordance with the present invention.
• FIG. 6 illustrates a high level block diagram of a system for assessing information security, in accordance with the present invention.
• FIG. 7 illustrates a process flow chart of an example initialization and interviewing process, in accordance with the present invention.
• FIG. 8 illustrates a process flow chart of an example initialization and interviewing process, in accordance with the present invention.
• FIG. 9 illustrates a process flow chart of an example initialization and interviewing process, in accordance with the present invention.
• FIG. 10 illustrates an example interviewing step for interviewing users based on areas of expertise, in accordance with the present invention.
• FIG. 11 illustrates an example process flow chart for interviewing users based on areas of expertise, in accordance with the present invention.
• FIG. 12A illustrates an example process flow chart for interviewing users based on IT areas of expertise, in accordance with the present invention.
• FIG. 12B illustrates an example process flow chart for interviewing users based on IT areas of expertise, in accordance with the present invention.
• FIG. 13 illustrates a block diagram of an example system for assessing information security, including an optional initialization module, in accordance with the present invention.
• FIG. 14 illustrates a block diagram of an example database, in accordance with the present invention.
• FIG. 15A illustrates an example data flow process for assessing information security, in accordance with the present invention.
• FIG. 15B illustrates an example data flow process for assessing information security, in accordance with the present invention.
• FIG. 16 illustrates a block diagram of an example system for assessing information security, including an optional roll-up module, in accordance with the present invention.
• FIG. 17 illustrates a block diagram of example details of the optional roll-up module, in accordance with the present invention.
• FIG. 18 illustrates a block diagram of example details of the optional roll-up module, in accordance with the present invention.
• FIG. 19 illustrates a block diagram of an example system for assessing information security, including an optional expert query module, in accordance with the present invention.
• FIG. 20 illustrates a block diagram of an example system for assessing information security, including an optional third party testing/diagnostic module, in accordance with the present invention.
• FIG. 21 illustrates a block diagram of an example third party application database, including an optional roll-up module, in accordance with the present invention.
• FIG. 22 illustrates a block diagram of an example computer system architecture on which the present invention can be implemented.
DETAILED DESCRIPTIONI. INTRODUCTION
• The present invention is directed to methods and systems for assessing information security.
• In an embodiment, the present invention queries users with technology based questions and non-technology based questions. Technology based questions can include, without limitation, questions related to IT infrastructure components, configuration, and connectivity. Non-technology based questions can include, without limitation, questions related to information security handling policies, procedures, training, and/or awareness.
• In an implementation of this embodiment, the present invention determines enterprise vulnerabilities and risks based on an integrated assessment of user responses to technology based questions and non-technology based questions. For example, one or more vulnerabilities and/or risks will depend upon user responses to both a technology based question and a non-technology based question.
• However, the present invention is not limited to this embodiment. For example, one or more vulnerabilities and/or risks may depend only upon user responses to technology based questions. Similarly, one or more vulnerabilities and/or risks may depend only upon user responses to non-technology based questions.
• In an embodiment, the present invention assesses information security based on an enterprise type, considering industry specific vulnerabilities and risks for the enterprise type.
• In an embodiment, the present invention interviews users based on their areas of expertise. In this embodiment, the invention interviews users from multiple areas of expertise in order to obtain an overall information security assessment for the enterprise.
• In an embodiment, the present invention assesses information security for domains within an enterprise. In an implementation of this embodiment, the invention includes a roll-up feature that assesses enterprise wide information security based on responses from users in the individual domains. In this mode, administrators across the enterprise will use the invention in each of the enterprise's constituent components. The results are then aggregated to identify security issues across the enterprise. This roll-up embodiment is useful as a building block of a larger assessment or policy development effort. In this embodiment, the invention can be implemented to develop an overall information security posture of an entire enterprise.
• In an embodiment, the invention executes third party test/diagnostic/verification applications, such as CyberCop Scanner™, from Network Associates, McAfee or Symantec Antivirus, and ISS RealSecure™.
• In an embodiment, the invention is implemented to assess security of information handled by a third party application, such as SAP and/or Oracle™, for example. In this embodiment, the invention includes application specific information, such as questions, vulnerabilities, instructions and/or code. Application specific information can be stored in one or more databases and/or other repositories of an information security tool kit.
• In an embodiment, the invention includes a tool that allows users to generate and/or modify application specific information for the databases and other information repositories of an information security tool kit.
• In an embodiment, the invention provides working aids, including, without limitation, working aids to assist users during interviewing, working aids to assist in understanding reports, and working aids to assist users in developing solutions, such as hot link working aids.
• In an embodiment, the invention allows users to query a repository of information related to information security, IT infrastructure, or any other type of information embodied within a repository.
• In an embodiment, the present invention is implemented with two or more of the above features. For example, in an embodiment, the present invention interviews a set-up administrator to determine an enterprise type, to associate individuals with areas of expertise, to determine whether any third party applications are involved, and/or to define domains within the enterprise. Based on responses from the set-up administrator, questions are selected from one or more pools of questions to interview users. Working aids are provided to the user, the user can query a repository of information, and the user can execute third party testing/diagnostic applications. Information security is assess based on user responses, results of any third party testing/diagnostic applications, and replies to any queries from the user.
• In an embodiment, the present invention is implemented in a computer program.
• The present invention can be implemented for use by administrators (“users”) with little or no specialized information security expertise.
• The invention includes a core set of tools that allow system administrators to conduct risk assessments of a network and applications running on the network, to test for compliance with security policies, and to write policies where required. The core set of tools interview one or more users. The core set of tools evaluates users responses and provides feedback. Optional tools allow a user to “query an expert” to gain insights and assistance in performing systems and security administration functions.
• In an embodiment, the invention is implemented for a system administrator at a local areas network level. Database administrators, web administrators, or application administrators, such as those responsible for SAP™ for Oracle™, can also utilized the invention within their functional domains.
• The invention can be implemented with various levels of complexity. For example, the invention can be implemented for conducting limited risk assessments and determining compliance with information security policies and procedures. In this embodiment, the invention identifies critical deficiencies and presents recommendations for correcting them.
• In more complex implementations, the invention includes a knowledge base of information security expertise and a more sophisticated query capability. This permits system administrators to utilize the information security expertise what will otherwise be available only be employing expensive consultants. The knowledge base will be updated periodically to reflect newly identified vulnerabilities and information security practices. Other embodiments of the invention include plug-in modules for product specific network assessments and a variety of commercial tools that conduct active network scans and/or passive network monitoring.
• Definitions of various terms and phrases used herein are now provided. Detailed descriptions of the present invention follow the definitions.
A. Definitions
• For this specification, the following terms shall have the indicated meaning(s).
• Enterprise shall mean any type of entity that utilizes information, including, without limitation, government enterprises, non-government enterprises, commercial enterprises, non-commercial enterprises, for-profit enterprises, and non-profit enterprises. Generally, when a single information security assessment is performed, the scope of the information security assessment defines the enterprise. Multiple assessments are discussed below with respect to domains.
• Domain shall mean a group within an enterprise. When a plurality of security assessments are performed and the results are rolled up into an overall information security assessment, the scope of the overall assessment defines the enterprise, and the scope of each of the individual assessments defines a domain within the enterprise. Domains can include, without limitation, geographic domains, function domains, content domains, and administrative domains. Domains can overlap one another. For example, individuals and/or IT components can fall within more than one domain.
• “Information” shall mean any information of an enterprise, technical and/or non-technical, including, without limitation:
• IT infrastructure information;
• human resources information;
• intellectual property information;
• enterprise security information;
• financial information;
• accounting information;
• customer information;
• vendor information;
• legal information;
• employee information;
• regulatory information;
• compliance information; and
• mergers and acquisition information.
• “Information security” shall refer to security of any and/or all information of an enterprise, including that which is created, stored, moved within, and/or transmitted through IT assets of an enterprise (e.g., “electronic information”), and that which is not stored, moved within, and/or transmitted through IT assets of an enterprise.
• “IT infrastructure” shall mean any and/or all hardware and/or software components related to storage, processing, and/or transferring of electronic information.
• Vulnerability shall mean a weakness that could be exploited, intentionally or unintentionally. Weakness can include, without limitation, weaknesses in policies and/or procedures, bugs in operating system software, bugs in application software, and configuration mistakes. Vulnerability includes, without limitation, “threats” as described in various literature and/or U.S. Government regulations.
• Threat, unless otherwise defined herein, shall mean any and all types of threats, and shall not be limited by any specific definition that may be used in the relevant art(s).
• Risk, unless otherwise defined herein, shall mean any and all types of risks, and shall not be limited by any specific definition that may be used in the relevant art(s).
• Deficiency shall mean technical and/or non-technical elements that reduce information security such as, for example, handling, set-up, and connectivity).
B. Example Environment
• Information security within an enterprise has technical and non-technical aspects. Technical aspects include information technology infrastructure (i.e., technical characteristics, components, connectivity, and architecture). Non-technical aspects include information handling policies, procedures, training and awareness. Information security can be compromised by deficiencies in either aspect. For example, information security can be compromised by deficiencies in IT infrastructure and/or by an individual's lack of proper information handling training and/or awareness.
• FIG. 1 illustrates anexample enterprise100 having anIT infrastructure102. In the illustrated example, the IT infrastructure includes aweb server104, aprint server106, ane-mail server108, adatabase110, a plurality ofterminals112, aninternal firewall114, and anexternal internet firewall116.IT infrastructure102 is provided an example IT infrastructure. One skilled in the relevant art(s) will understand that an IT infrastructure does not require all of the illustrated components, and can include a variety of other components and configurations, including, without limitation, wide area networks (WANs), and local area networks (LANs).
• Information security withinenterprise100 depends, in part, on the components that make up theIT infrastructure102, their configuration, their connectivity with one another, and the overall architecture.
• Information security withinenterprise100 also depends on information security handling policies, procedure, training and awareness. Typically, an enterprise will maintain some information within its IT infrastructure, some information outside of its IT infrastructure, and some information both within and outside of its IT infrastructure. Information maintained outside of an IT infrastructure may be maintained mentally by employees, and/or in a tangible media, such as in paper files, for example. Information security policies and procedures should take into account all types of information handled by an enterprise.
• FIG. 2 illustrates example types of information that are typically utilized by an enterprise, such asenterprise100. In this example,enterprise100 includes a number of types of information contained partially or wholly withinIT infrastructure102, including:
• human resources information204;
• intellectual property information206;
• financial information208;
• mergers andacquisition information210
• accounting information212;
• customer information214;
• vendor information216;
• legal information218;
• employee information220; and
• regulatory information222.
• Information types204-222 are for illustrative purposes only. Other types of information may also be used. Although information types204-222 are illustrated as separate information types, two or more of information types204-222 may overlap.
• In the example ofFIG. 2, theenterprise100 also includes information outside of the IT infrastructure202, illustrated asother information224.
• The security of information types204-222 depend upon the characteristics of theIT infrastructure102 and upon the policies and procedures for handling the information types204-222. The policies and procedures for handling the information types204-222 can include, without limitation, policies and procedures for human handling and policies and procedures implemented withinIT infrastructure102.
• The security ofother information224 depends upon policies and procedures for human handling, but does not depend on IT infrastructure information security.
• The present invention is a method and system for assessing information security of an enterprise, such asenterprise100. Based on the teachings herein, one skilled in the relevant art(s) will understand how to implement the present invention for other types of enterprises as well.
• In an embodiment, the invention assesses information security based upon IT infrastructure characteristics and information handling policies, procedure, knowledge, training, and awareness.
• In an embodiment, the invention assesses information security based upon an enterprise type, considering industry specific vulnerabilities and risks.
• In an embodiment, the present invention interviews users based upon the users' area(s) of expertise.
• In an embodiment, the present invention is implemented for various domains within an enterprise. A roll-up feature assesses enterprise wide information security based on information security assessments for the domains.
• In an embodiment, the invention interviews one or more set-up administrators prior interviewing users to determine the type and/or structure of an enterprise and to selects questions appropriate for the enterprise.
• The invention optionally includes one or more of a number of optional features described below.
II. METHODS FOR ASSESSING ENTERPRISE INFORMATION SECURITY
• The present invention is now described in terms of a process. Example methods for implementing the process are provided for illustrative purposes only. Based on the teachings herein, one skilled in the relevant art(s) will understand that the present invention can be implemented with other methods as well, which are within the scope of the present invention.
• FIG. 3 illustrates a high levelprocess flow chart302 of the present invention. The process begins atstep302, interviewing user(s). Details and example implementations of interviewing users are provided below.
• Processing proceeds to step304, assessing information security based on user(s) responses. Details and example implementations of assessing information security are provided below.
• Processing then proceeds to step306, reporting the information security assessment. Details and example implementations of reporting information security assessments are provided below.
• A variety of optional start-up processes and/or initialization processes can be implemented as part ofstep302. Example optional start-up processes and/or initialization processes are now presented.
A. Process Start-Up
• In an embodiment, upon execution of the process, a user is prompted to provide identification information (e.g., user ID and password).
• Upon successful login, the user is provided with one or more options, including, without limitation, starting a new assessment, initializing an assessment (described above), continuing with a previously started assessment, query an expert (described below), and/or executing third party testing/diagnostic applications.
• In an embodiment, one or more user options are available to the user throughout the assessment process. For example, where the process is performed under control of a multi-tasking operating system, a user may be permitted to query an expert during an assessment interview, and/or executing third party testing/diagnostic applications.
• InFIG. 4,steps402 and404 illustrates example process start-up procedures
• FIG. 5 shows additional options that can be presented to the user.
B. Initialization
• In an embodiment,step302 includes an optional initialization process that allows a set-up administrator to configure the process for enterprise particulars. For example, the optional initialization procedure can include querying a set-up administrator to tailor questions according to an enterprise type (described below), to tailor questions according to user areas of expertise (described below), to tailor questions for domains and roll-up (described below), and/or combinations thereof. These options are illustrated at a high level in steps406-412 ofFIG. 4, and are described below.
C. Interviewing Users
• Referring back toFIG. 3, in an embodiment of step302 a single user is interviewed. This may be the case for small enterprises where a single person has the necessary knowledge to answer questions posed during the interviewing process. This may also be the case where a limited assessment is being conducted.
• In an alternative embodiment ofstep302, multiple users are interviewed. This may be the case where multiple users have information that would be useful to an information security assessment. In a multiple user embodiment, user interviews can be tailored according to users' areas of expertise. This is described below.
• In an embodiment ofstep302, users are interviewed with questions presented on a display under control of a computer. In this embodiment, users answer questions by entering them into the computer. In an embodiment, users provide answers by typing them on keyboard or other input device. In another embodiment, users may select an answer from a list of acceptable answers.
• In an alternative embodiment, users are interviewed with computer controlled audible questions. In this embodiment, users may provide answers as described above or verbally.
• In another alternative embodiment, users are interviewed verbally by a human.
• In an embodiment, the process includes a plurality of question pools from which questions can be selected. In an embodiment, the process accommodates the addition of new question pools as they become available.
• 1. Interviewing Users with Technology and Non-Technology Questions
• In an embodiment ofstep302, interviewing questions are directed to technical issues, such as, without limitation, IT infrastructure characteristics, components, configuration, connectivity, and/or architecture.
• In an embodiment ofstep302, interviewing questions are directed to non-technical issues, such as, without limitation, information handling policies, procedures, training, and/or awareness, enterprise type, and/or user area of expertise.
• In an embodiment ofstep302, interviewing questions are directed to both technical issues and non-technical issues.
• Two examples of technical and non-technical interviewing questions are provided at the end of this specification. Some of the example questions are presented with example working aids that provide explanations and/or definitions to assist a user in answering questions. These examples are provided for illustrative purposes only. Other questions can be posed to uses to identify deficiencies, vulnerabilities and risks.
2. Interviewing Users Based on Type of Enterprise
• Information security issues can vary according to the type of enterprise. For example, and without limitation, issues can include the type(s) of information handled by the enterprise, the importance of the information, the nature and extent of information security policies associated with the information, the types of IT infrastructure utilized by the enterprise, the layout or organization of the enterprise, and the nature of potential threats to the enterprise and its information.
• Government enterprises, for example, typically have information security concerns different from and/or in addition to concerns of non-government enterprises. Information security concerns can vary among different types of government enterprises. As a result, different government enterprises may be subject to different compliance criteria. Certain government enterprises may have special security concerns because of their location or the nature of the work. For these reasons, the U.S. Government promulgates compliance criteria for different types of government enterprises. For example, current U.S. Government compliance criteria include, without limitation, Department of Defense Information Technology Security Certification Accreditation and Process (“DITSCAP”) and National Security Agency Information Security Assessment Methodology (“NSA IAM”).
• Thus, in an embodiment of the invention, the process interviews users based on an enterprise type. In an implementation, the process selects questions from one or more pools of questions, depending upon an enterprise type. The one or more pools of questions include questions directed to industry specific vulnerabilities and/or risks.
• FIG. 7 illustrates an example process flow chart700 for implementingstep302. The process begins atstep702, determine an enterprise type. In an embodiment,step702 is performed by interviewing one or more users, which may be one of the users interviewed instep706 or may be a different user, such as a set-up administrator. In an alternative embodiment,step702 is performed without user input, for example, by interfacing with the IT infrastructure and accessing information that identifies the enterprise type.
• Processing then proceeds to step704, select enterprise relevant questions. Enterprise relevant questions can be selected in any of a variety of ways. In an embodiment, questions are stored in a database with an indication as to the type of enterprise to which they pertain. In some cases, a question will pertain to more than one type of enterprise. In an alternative embodiment, separate databases of questions are maintained for different types of enterprises.
• Processing then proceeds to step706, interview user(s) with the selected enterprise relevant questions.
• FIG. 8 illustrates another exampleprocess flow chart800 for implementingstep302. The process begins atstep802, determine whether the enterprise is a government enterprise or a non-government enterprise. Step802 can be performed by interviewing a user or automatically, as described forstep702.
• Fromstep802, if the enterprise is a non-government enterprise, processing proceeds to step804, select non-government relevant questions, followed bystep806, interview user(s) with the selected non-government relevant questions. If the enterprise is a government enterprise, processing proceeds fromstep802 to step808, select government relevant questions, followed bystep810, interview user(s) with the selected government relevant questions.
• FIG. 9 illustrates another example process flow chart900 for implementingstep302. The process is similar to theprocess800, with the additional ofstep908, select compliance criteria, followed bystep910, select questions relevant to the selected compliance criteria.
• The examples herein are provided for illustrated purposes only. The invention is not limited to the examples herein. Based on the teachings herein, one skilled in the relevant art(s) will understand that the present invention can be implemented to interview users with enterprise specific questions for other types enterprises and/or compliance criteria as well.
3. Interviewing Users Based on Areas of Expertise
• In an embodiment, users are interviewed according to their respective areas of expertise, as illustrated inFIG. 10, for example, wherestep302 is illustrated asstep1002, interviewing users based on users' areas of expertise. This permits the process to conduct more in-depth interviews of users than might otherwise be possible. This also help the process to avoid asking questions of a user for which the user is not qualified to answer, and thus helps to insure accuracy of information obtained by the process.Step1002 is illustrated in slightly more detail inFIG. 11 as steps1102-1104.
• In an embodiment, questions are simply presented in groupings associated with areas of expertise, with no attempt to associate groupings with particular users. In an alternative embodiment, a set-up administrator is permitted to assign specific users and/or groups of users to one or more groups of questions.
• FIG. 12A illustratesstep1002 asstep1202, interviewing users based on IT areas of expertise. In an embodiment, the users are administrators or supervisors of various IT areas of expertise.
• FIG. 12B illustratesstep1202 for theexample IT infrastructure102 illustrated inFIG. 1. Instep1204, a user is interviewed regardingweb server104. Instep1206, a user is interviewed regardingprinter server106. Instep1208, a user is interviewed regardingemail server108. Instep1210, a user is interviewed regardingdatabase110. Instep1212, a user is interviewed regardingterminals112. Instep1214, a user is interviewed regardingfire wall114. Instep1216, a user is interviewed regardinginternet fire wall116. Additionally, a user can be interviewed regarding wide area networks (WANs), local area networks (LANs), overall policy and architecture.
• In the example ofFIG. 12B, one or more of the groups of questions can be presented to the same user or group of users. Similarly, one or more groups of questions can be presented to different users or groups of users.
• In an embodiment, the interviews include both IT infrastructure questions and policy questions.
• Users may also be interviewed based on other information areas of expertise, such as the areas of information illustrated inFIG. 2.
• The example areas of expertise described herein are provided as illustration only. The present invention can be used to interview users based on other areas of expertise as well.
• In an embodiment, a user's area of expertise is determined in advance during an optional initialization process, described above. Optionally, a user verification process—i.e., user identification and/or password—is utilized to insure that only predetermined users are interviewed.
• Alternatively, or in combination with the above, questions are posed to a user at the time of interviewing to determine and/or verify the user's expertise.
4. Interviewing Users Based on Enterprise Type and Area of Expertise
• In an embodiment, the process interviews multiple users based on the type of enterprise and the users' areas of expertise.
5. Working Aids
• In an embodiment, working aids are provided to users. Working aids can be provided in a number of contexts and for a number of purposes. Working aids can include, without limitation, advice on information security considerations of installing or configuring components, explanations of why certain policy issues are important and possible consequences of not addressing them, definitions, and general reference material, including hot links.
• Working aids are provided during the interviewing process ofstep302 to assist in answering questions, for example. Working aids can also be provided with reports instep306 to assist readers in understanding the reports. Working aids can also include working aids to assist users in developing solutions. For example, by suggesting one or more possible solutions and providing additional information to assist the user in deciding which solution is appropriate for the enterprise.
• Working aids are provided in any of a variety of formats. In an embodiment, when a user is interviewed via a display terminal, availability of a working aid is indicated to the user with a special font, highlighting, or any other suitable display formatting technique. In this embodiment, the user can “click” or otherwise indicate that the available working aid is desired. The process will then provide the working aid.
• Alternatively, working aids are presented automatically whenever appropriate.
6. Dynamic Interviewing—Question Dependencies
• In an embodiment, the interviewing process is dynamic in that questions posed to a user can depend upon one or more prior answers from the user and/or from another user. This allows the process to ask additional information in areas where it might lead to a more thorough information security assessment. For example, if a user has additional information that could be useful, it would be prudent for the process to continue interviewing the user until the user's knowledge is exhausted.
• Question dependencies can be utilized for example, when an answer to a question, or to a group of questions indicates a vulnerability or a potential vulnerability. Further questions and user responses may clarify the potential vulnerability or eliminate the concern.
• Question dependencies also allow the process to cut short a line of questions that may not be relevant to the situation or to the user. For example, if a user indicates that he/she has no knowledge of a particular line of questioning, it would be pointless to ask additional details.
• Question dependencies can be implemented, for example, as a nested loop of questions, whereby, when the nested loop of questioning ends, interviewing continues from where the nested loop began.
• Question dependencies can also be implemented as a jump to another line of questioning, where interviewing may or may not return to the prior line of questioning.
D. Assessing User Responses
• Referring back toFIG. 3, afterstep302, the process proceeds to step304, assessing information security based on users responses. Step304 preferably analyzes user responses to questions in conjunction with known vulnerabilities and/or other considerations associated with IT infrastructure characteristics, components, connectivity, and/or architecture, and/or policy and/or procedures. Such vulnerabilities and/or other considerations can be obtained from a variety of sources including, without limitation, prior experience, product bulletins, research, reverse engineering, and web postings. Generally, as more sources are consulted, more vulnerabilities and/or other considerations are identified.
• Questions posed to users duringstep302 are designed to elicit information from users necessary to determine which, if any, of the vulnerabilities and/or other considerations apply to an enterprise. The questions posed to users are preferably developed by persons having knowledge of the vulnerabilities and/or other issues.
• Step304 outputs deficiency statements based on the analysis of user responses, vulnerabilities and/or other considerations. Deficiency statements can be directed to technical and/or non-technical issues. Deficiency statements can include, without limitation, lists of identified vulnerabilities, deficiencies, critical deficiencies, and risks. Example embodiments of this process are described below. Deficiency statements can also include suggested corrective actions. Other example types of deficiency statements are found throughout this specification.
1. Logic Based Assessment
• In an embodiment,step304 is performed by outputting information security deficiency statements that are associated with answers to one or more questions. This embodiment is referred to as logic based assessment.
• For example, in some situations, the answer to a single question may indicate a deficiency (e.g., a vulnerability or risk, a lack of a relevant information security policies, lack of knowledge of a relevant information security policies, failure to follow an established information security policies, etc.). In other cases, however, a deficiency may depend upon answers to a series or group of related or unrelated questions. In other situations, a deficiency may be indicated by similar or conflicting answers to the same question or group of questions by multiple users.
• Example systems for implementing logic based assessments are described below.
• Information security deficiency statements can take many forms and can be directed to technology based deficiencies (e.g., deficiencies in IT infrastructure characteristics, components, configuration, connectivity, and/or architecture) and/or to non-technology based deficiencies (e.g., policies, procedure, training and/or awareness).
• In an embodiment,step304 includes prioritizing deficiencies.
• In an embodiment,step304 includes identifying critical deficiencies.
• In an embodiment,step304 includes identifying deficiencies in a local computing environment that require immediate attention, with or without recommended actions.
• In an embodiment,step304 includes identifying deficiencies in a local computing environment that require further analysis.
• In an embodiment,step304 includes generating a policy statement.
• In an embodiment,step304 includes generating a new policy statement. In an embodiment,step304 includes generating a revised policy statement.
• In an embodiment,step304 includes generating a combination of two or more of the above example embodiments.
2. Expert Knowledge Based Assessments
• In a embodiment,step304 is performed with an expert (knowledge based) system in which knowledge from human subject-matter experts is encoded into a software program in such a way that the coded logic of the software program provides a searchable repository of this subject-matter knowledge. The expert system is encoded in such a way as to accept input and make inferences based on the implications of that input that a human subject-matter expert would normally be expected to make but which were not specifically encoded in the expert system.
3. Artificial Intelligence Based Assessments
• In an embodiment,step304 is performed with artificial intelligence (AI), such that input data is subjected to analysis by AI, and the problem solving methods and/or analysis and/or other tasks for which the AI is designed is modified by the AI itself as a result of the output of previous processing cycles.
• 4. Comparisons with Prior Assessments
• In an embodiment, the present invention performs comparisons with prior information security assessments.
• In an embodiment, comparisons with prior information security assessments are performed using current reports and prior reports.
• In another embodiment, comparisons with prior information security assessments are performed using current analysis results and prior analysis results.
• In another embodiment, comparisons with prior information security assessments are performed using current raw data and prior raw data.
• In an embodiment, users can select among two or more of the above options when comparing information security assessments.
E. Reporting Information Security Assessment
• In an embodiment,step306 generates and stores one or more pre-formatted reports. Reports can include, without limitation, critical deficiencies requiring immediate attention, deficiencies requiring further analysis, and/or enterprise-wide critical deficiencies.
• Report information can include, without limitation, one or more of the following types of information:
• scope of report (e.g., computing environment that was subject to the assessment, e.g, domain, organizational component);
• date of assessment;
• names of servers;
• names of LANs;
• version of process/software/took kit used for interviews/assessment;
• version of tool kit modules and plug-ins used;
• versions of third party software tools executed (active or passive);
• user queries;
• versions of question pools (including application specific question pools);
• versions of vulnerability and risk pools used;
• version of policy module used.
• The various modules referred to above are described below in the description of a system for assessing information security.
• In an embodiment, information is inserted into one or more standardized reports templates. Standardized report templates can include, without limitation:
• risk assessment of local computing environment;
• deficiencies in local environment requiring immediate attention;
• deficiencies in local environment that require further analysis;
• deficiencies that must be escalated for enterprise-wide analysis and resolution;
• information security policy for local computing environment;
• measure of enterprise conformance to the information security policy;
• measure of overall security posture of the enterprise;
• measure of the effectiveness of enterprise-wide security training and awareness programs; and
• list of most serious information security problems facing the enterprise.
• In an embodiment, upon a user command, a pre-formatted report is output. Alternatively, a user can be permitted to generate a report to include one or more user-selected report templates.
• In an embodiment, a user determines where a report will be output (e.g., to a display, a printer, or to an I/O device for forwarding to another device).
F. Multiple Domain and Roll-Up Features
• In an embodiment, the present invention can be configured to assess information security for one or more domains within an enterprise, and to assess information security across the entire enterprise based on the security assessments from the totality of individual domains.
• In an embodiment, a separate instance of theprocess300 is implemented for each domain, and the results are analyzed to assess information security for the enterprise. SeeFIG. 18, for example.
• In an embodiment, reports from individual domains are used to assess enterprise-wide information security.
• In another embodiment, analysis results from individual domains are used to assess enterprise-wide information security.
• In another embodiment, raw data (i.e., user(s) responses from individual domains) is used to assess enterprise-wide information security.
• In an embodiment, users may select among two or more of the above options when assessing enterprise-wide information security.
G. Querying an Expert
• The present invention optionally includes a “query an expert” feature that allows users to query a repository of information related to information security, IT infrastructure, or any other type of information embodied within a repository.
• In an embodiment, upon start-up, the user is prompted to select between performing an information security assessment and the optional query an expert feature. Alternatively, the optional query an expert feature is available at any time to the user. This can be implemented, for example, when the process of interviewing a user and the optional initialization process are performed under a multi-tasking operating system.
• The process is preferably designed to permit updating of the repository of information.
H. Execution of Third Party Testing/Diagnostic Programs
• In an embodiment, the present invention permits a user to execute a third party testing and/or diagnostic program, such as, for example, a program that actively probes an IT infrastructure or component(s) thereof, or one that passively monitors network activity.
• In an embodiment, the process analyzes results of the third party program in conjunction with responses from users. For example, a vulnerability may depend upon a user response and test results. Alternatively, the process analyzes results of the third party program independent of responses from users. Alternatively, the present invention does not analyze results of third party testing/diagnostic program.
• In an embodiment, test results are used to select one or more questions for interviewing users instep302.
I. Assessments Directed to Third Party Application Programs
• In an embodiment, the present invention interviews users with questions developed for one or more particular third party application programs. This is useful where a significant part of an enterprise's information is maintained under or as a part of a particular third party application program. For this embodiment, questions are designed to address IT infrastructure and/or policy issues associated with the third party application(s).
• In an embodiment, this optional feature is selected and/or initialized during the optional initialization process.
• In an embodiment, the invention is implemented to assess security of information handled by a third party application, such as SAP and/or Oracle™, for example. This can include provision of application specific information, such as questions, vulnerabilities, instructions and/or code. Application specific information can be stored in one or more databases and/or other repositories of an information security toolkit.
• In an embodiment, the invention includes an application specific tailoring tool that allows users to generate and/or modify application specific information for the databases and/or other information repositories of an information security tool kit. In operation, the tool queries one or more users having knowledge of a third party application and knowledge of problem-solving methodologies employed by the enterprise for conducting information security assessments and evaluations.
• For example, the tool may present a graphical depiction of sequential problem-solving steps to the user(s) and prompt the user(s) to rearrange the sequential problem-solving steps to correspond to the method that the enterprise uses to conduct information security assessments and evaluations.
• In addition to capturing the method(s) by which the user conducts an assessment, the tool captures application-specific data. For example, and without limitation, the tool can capture one or more of the following types of application specific data:
• questions to ask about the particular application;
• vulnerabilities associated with the particular application;
• material added to the “query an expert” function that would permit that function to be more appropriately used for the particular application; and
• report templates for the particular application.
• Information collected from the user is then stored and used to generate application specific information to implement the enterprise's methodology in a computer system. The generated application specific information may include, without limitation, a software interface to the application-specific databases and other data repositories.
• Systems and methods for collecting problem solving information are commercially available. Based on the description herein, one skilled in the relevant art(s) will understand how to implement this aspect of the invention.
III. EXAMPLE SYSTEMS FOR ASSESSING INFORMATION SECURITY
• The present invention can be implemented manually, and/or in software, hardware, firmware, manually, and/or combinations thereof. Systems for implementing the present invention are now described with the assistance of functional block diagrams. Based on the descriptions and functional block diagrams herein, one skilled in the relevant art(s) will be able to implement the invention manually, and/or in software, hardware, firmware, and/or combinations thereof.
• In an embodiment, the invention is implemented in software as an interactive set of tools referred to generally herein as a security tool kit (“STK”), which operates from a CD-ROM or downloadable software on a user's desk top or lap top computer. The STK poses questions to a user about technical characteristics of a local computing environment and the procedures used to create, store, and transmit computerized information within the user's computers and between the user's computes and other computers. From the responses of the user, the STK identifies deficiencies in the capability of the local computing environment to protect information from unauthorized disclosure, and it will suggest corrective actions that can be applied to correct these deficiencies. The STK evaluates existing information security policies and procedures, and it will guide the user through the process of developing information security policies for the local computing environment.
• The invention can be implemented for government enterprises, commercial enterprises, and for both government enterprises and commercial enterprises.
A. Example Security Tool Kit
• FIG. 6 illustrates a high level block diagram of an example security tool kit (“STK”)600.
• FIG. 13 illustrates an example ofSTK600 asSTK1300, including auser interview module1302, aninference engine1304, areport generator1306,databases1308, and anoptional initialization module1310.
• FIG. 14 illustrate an example implementation ofdatabases1308, includinginterview questions1402 andpossible responses1404. interviewquestions1402 can include generic questions, generic questions modified for product specific modules, and/or product specific questions.
• Databases1308 also includevulnerabilities1406,dependencies1408, and risks1410.Vulnerabilities1406 is a repository of information security vulnerabilities.Dependencies1408 is a repository of relationships among questions and answers. In other words,dependencies1408 can include a function that map answers to results. Risks1410 is a repository of information security risks, which can include generic risks and/or industry specific risks.
• Databases1308 also include optional working aids1412,policy components1414, and recommendation1422.Policy components1414 preferably include information security policies with numbered sections. Recommendations1422 preferably include policy sections specific to identified deficiencies.
• Databases1308 also includesstore responses1416, store analyzedresults1418, and store reports1420.Store responses1416 include user answers. Store analyzedresults1418 can include the results of theinference engine1304 and/or possible answers to questions associated with the questions. Store reports1420 are generated by thereport generator1306.
• FIGS. 15A and 15B illustrate example data flows for theexample STK1300 and for some of the databases. Numbers, other than element reference numbers typically used throughout this specification, are for reference purposes only and do not indicate a sequence for performing any processes.
• In an embodiment,store responses1416, store analyzedresults1418, andstore reports1420, include results from one or more prior information security assessments. In such an embodiment,analysis module1304 includes a second inference engine for comparing assessments, andreport generator1306 includes a report generator for generating reports for assessment comparisons.
1. Optional Initialization Module
• Theoptional initialization module1310 can be implemented to perform a variety of functions and/or processes. For example, in an embodiment, theoptional initialization module1310 performs a Super User Function, which includes the following sub-functions:
• specify if this is a new assessment;
• authenticate “super user” with privilege to assign user names and privileges;
• determine which users have privileges to enter data in specified STK modules (described below) for the current assessment; and
• assign user names and access privileges to individuals.
• In an embodiment, theoptional initialization module1310 performs a enterprise type identification process, which includes obtaining a company name and industry type.
• In an embodiment, theoptional initialization module1310 allows users to start a new assessment, resume a previously begun assessment, or compare a previously completed assessment.
• In the example embodiment described, theoptional initialization module1310 receives interactive user input and outputs an industry type and company identification information.
2. Interview Module
• Theinterview module1302 presents questions to users. In an embodiment, theinterview module1302 receives an industry type, selects industry specific questions, and presents the industry appropriate questions to users.
• Theinterview module1302 compares user answers to the database ofpossible responses1404 and prompts the user to re-answer if an answer is not permissible. In an embodiment, theinterview module1302 checks answers for dependencies to other questions.
3. Inference Engine
• Theinference engine1304 identifies information security deficiencies based at least on user responses (store responses1420 inFIG. 14) and vulnerabilities1406 (FIG. 14). In an embodiment, theinference engine1304 also considers one or more of the following:
• third party vulnerabilities2108;
• third party testing/diagnostic application test results; and
• user queries to a knowledge database (e.g, query anexpert module1902 inFIG. 19), and/or responses to such user queries.
• In an embodiment, theinference engine1304 first identifies vulnerabilities based on user responses to certain questions. Theinference engine1304 then analyzes the vulnerabilities, in light of any of a variety of relevant factors, which can include, without limitation, one or more of the user responses that were used to identify the vulnerabilities. Based on the analysis of any identified vulnerabilities, theinference engine1304 identifies security deficiencies.
• Information security deficiencies can include IT infrastructure deficiencies and policy deficiencies. Policy deficiencies can be in the form of information security policy sections or statements.
• In an embodiment,inference engine1304 determines risks. Risks can be based on one or more of, interview questions, associated user responses, industry type, vulnerabilities, and/or asset value. In an embodiment, theinference engine1304 receives a list of questions, associated user answers, and an industry type, and outputs a rank ordered list of critical information security risks, policy sections associated with specified vulnerabilities, and policy sections associated with specified risks.
• Theinference engine1304 can be implemented to perform one or more of the following tasks:
• interprets results of active and/or passive third party testing/diagnostic software;
• correlate answers with vulnerabilities;
• identify deficiencies;
• rank deficiencies in order of criticality; and
• determine applicable sections of information security policy.
• In an embodiment,inference engine1304 is a logic based inference engine. In an example implementation, the logic is embodied in software, such as software compiled from C++, for example. Alternatively, the logic is a specification language, or interpreted language.
• In an embodiment,inference engine1304 is an expert system (or knowledge based system) in which knowledge from human subject-matter experts is encoded into a software program in such a way that the coded logic of the software program provides a searchable repository of this subject-matter knowledge. The expert system is encoded in such a way as to accept input and make inferences based on the implications of that input that a human subject-matter expert would normally be expected to make but which were not specifically encoded in the expert system.
• In an embodiment,inference engine1304 is an artificial intelligence (AI) system, such that input data is subjected to analysis by the AI-based inference engine and the problem solving methods or analysis or other tasks for which the AI system is designed is modified by the AI system itself as a result of the output of previous processing cycles.
• In an embodiment, theinference engine1304 permits users to review results of previously completed assessments, perform “what if” scenarios by varying the previously entered answers and inputs, and observe the resulting outputs. This can be useful, for example, in deciding how to change a computing environment.
• In an embodiment, theinference engine1304 permits users to compare results of a previous assessment with results of a current assessment.
• Accordingly, theinference engine1304 can be implemented to perform, or allow a user to select, one or more of the following functions:
• choose a previously completed assessment to analyze;
• choose a segment (e.g., portion or domain) of a selected a assessment to analyze (user may choose to select one or more such segments for comparison and analysis);
• compare a selected assessment/segment(s) with a current assessment to identify differences;
• permit user to vary or change answers to questions of a selected previously completed assessment/segment and observe the differences in the outputs and reports;
• display results of comparison/analysis to user on a display; and
• save results of comparison/analysis to pass to report generator.
4. Report Generator
• Thereport generator1306 can be implemented to perform one or more of the following features:
• determine applicable report type;
• format report for viewing;
• format report for printing;
• format report for saving inSTK database1308.
• Typically, thereport generator1306 receives questions posed to users and associated user answers, a list of working aids accessed during an interview, and analyzed results of user interviews.
• Example processes that are typically performed by thereport generator1306 are now described. Unless otherwise specified, these processes are optional and combinable.
• In a determine a report type function, thereport generator1306 correlates questions and answers with one or more appropriate types of reports, and selects a report template from a database of templates. Report types can include, without limitation, the following:
• risk assessment of local computing environment;
• deficiencies in local environment that require immediate attention;
• deficiencies in local environment that require further analysis;
• deficiencies that must be escalated for enterprise-wide analysis and resolution;
• information security policy for local computing environment;
• measure of enterprise conformance to the information security policy;
• measure of overall security posture of the enterprise;
• measure of the effectiveness of enterprise-wide security training and awareness programs; and
• list of most serious information security problems facing the enterprise.
• Thereport generator1306 inserts appropriate information into reports, such as enterprise identification information. Thereport generator1306 also formats and inserts questions posed to users and user responses into the report.
• Where optional working aids are utilized, thereport generator1306 inserts any working aid material that was accessed during an interview into the report. More specifically, thereport generator1306 selects appropriate templates for a working aids section of the report, and inserts selected working aids material into the report.
• Where implemented, thereport generator1306 inserts results of any queries to the query and expert module1902 (FIG. 19), into the report.
• Where implemented, thereport generator1306 inserts results of any executions of third party software into the appropriate report.
• Where appropriate, thereport generator1306 inserts any analyses of prior assessments into the report. More specifically, thereport generator1306 selects a template for an appropriate report format and inserts prior assessment results into the report.
• Thereport generator1306 prints reports upon appropriate request and saves reports in a report database for future reference.
5. Graphical User Interface
• In an embodiment, theSTK1300 includes a graphical user interface (GUI) with a pull-down menu structure. In an example implementation, the pull-down menu includes the following tool bars. The example below includes options for multiple domains, referred to in this example as segments. The example below is for illustrative purposes only. Other tool bars, tool bar features, and GUIs are within the scope of the present invention.

• Main MenuBar

  A. File

  	1. New (slide across)
  	Assessment
  	Segment
  	2. Open (pop-up window (tree) listing Assessments and Segments)
  	3.Close
  	4.Save
  	5.Delete
  	Assessment
  	Segment
  	6. Print
  	Question Templates
  	ReportTemplates
  	7. Exit
  	B. Administer
  	1. Add New User
  	User Name
  	Organization
  	Job Function (radio button)
  	System Administrator
  	Security Administrator
  	Security Officer
  	Manager
  	CIO
  	Phone Number
  	Email Address
  	Privileges <assessment name> (pull-down)
  	<segment name (radio buttons)>
  	view (default)
  	enter data
  	delete segment
  	Username:
  	Password:
  	Confirm Password:
  	2. ModifyUser
  	3. Delete User
  	Username to delete:
  	Confirm Username to delete:
  	4. List Users (radio buttons)
  	<by assessment
  	<assessment name> (pull down)
  	<by segment>
  	<segment name> (pull down)
  	<all users>
  	5. Create New
  	6. Assign user privileges
  	C. ComputeRisk
  	D. Help
  	1. Contents and Index

B. Multiple Domains and Roll-Up Features
• In an embodiment, the present invention includes a roll-up module for assessing information security for an enterprise based on multiple domains.
• FIG. 16 illustrates theSTK1300 with an optional roll-upmodule1602.FIG. 18 illustrates an example multiple domain implementation. In this example,separate instances1802 through1804 of theSTK1300 are provided for each domain within an enterprise. EachSTK instance1802 through1804 preferably provides a local domain report,1806 and1808. EachSTK instance1802 through1804 also provides information to the roll-upmodule1602, which analyzes the combined results and generates an enterprise-wide report1810.
• InFIG. 17, the optional roll-upmodule1602 is illustrated with an enterprise-wide inference engine1702 and an enterprise-wide report generator1704. The enterprise-wide inference engine1702 analyzes information from the multiple domains. In an alternative embodiment, this function is performed byinference engine1304 inFIG. 13.
• In an embodiment, the enterprise-wide inference engine1702 combines user responses from multiple domains, looks for relationships among the responses, identifies deficiencies across the enterprise, and presents an aggregate description of the security posture of the enterprise.
• In an alternative embodiment, the enterprise-wide inference engine1702 combines analysis results from the multiple domains, identifies deficiencies across the enterprise, and presents an aggregate description of the security posture of the enterprise.
• In an alternative embodiment, the enterprise-wide inference engine1702 combines individual reports from multiple domains and presents an aggregate description of the security posture of the enterprise.
C. Query an Expert Module
• FIG. 19 illustrates an optional query anexpert module1902, which allows users to “query an expert.” In an embodiment, query anexpert module1902 provides insights and assistance in performing systems and security administration functions through look-up tables. In more complex implementations, query anexpert module1902 includes a knowledge base of information security expertise and a more sophisticated query capability. Preferably, the knowledge base is updated periodically to reflect newly identified vulnerabilities and information security practices.
• Two example implementations of the optional query anexpert module1902 are presented below. These example implementations are provided for illustrative purposes only. Based on the teachings herein, one skilled in the relevant art(s) will understand that other implementations are also possible, which are within the scope of the present invention.
• In a structured query implementation, the optional query anexpert module1902 permits users to ask structured queries. Upon receipt of a query, the query anexpert module1902 determines a relevant area of information security knowledge and presents a list of related information security knowledge to the user. The user can then select a specific item within the displayed area of information security knowledge.
• In a natural language implementation, the optional query anexpert module1902 permits users to ask unstructured questions. Upon receipt of a query, the query anexpert module1902 determines a relevant area of information security knowledge and presents a list of related information security knowledge to the user. The user can then select a specific item within the displayed area of information security knowledge.
• In an embodiment, the query anexpert module1902 correlates users' answers with related sections of the optional working aidsdatabase1412. The query anexpert module1902 then presents retrieved working aids material to the user. This is useful, for example, to indicate to the user why a topic of the interview is important.
D. Third Party Testing/Diagnostic Modules
• FIG. 20 illustrates an optional third party testing/diagnostic plug-in module (“module”)2000, which interfaces the STK with commercial third party testing/diagnostic programs. Third party testing/diagnostic programs include tools that conduct active network scans and/or passive network monitoring.
• Module2000 includes any necessary interfacing features to allow theSTK1300 to execute one or more selected third party testing/diagnostic programs. Optionally, themodule2000 also includes necessary interfacing features to all theSTK1300 to receive results from the selected third party testing/diagnostic programs, so that theSTK1300 can analyze the results in combination with user responses.
• When implemented,module2000 presents a list of available third party software applications to the user and receives a user selection. Themodule2000 then executes the selected application, presents the results to the user, and makes the results available to theinference engine1304 and/or thereport generator1306.
• In an embodiment, based on answers obtained during the interview process,module2000 determines which portion(s) of the third party application results to analyze. Themodule2000 also determines the level of detail of the results of the third party application to analyze. Themodule2000 extracts relevant information from the results of the third party application and presents the results of the analysis to the user. Themodule2000 also preferably saves the results in thedatabase1308.
E. Third Party Application Modules
• FIG. 21 illustratesdatabase1308 with an optional third party application database2102, which provides application specific features that allow theSTK1300 to assess information security for one or more particular applications operating on the IT infrastructure of an enterprise.
• In the example illustrated inFIG. 21, the optional third party application database2102 includes a third party specific questions2104, third party possible responses2106, third party specific vulnerabilities2108, optional third party specific working aids2110, third party specific policy components2112, and optional third party specific risks2114.
• User interview module1302,inference engine1304, andreport generator1306, operate as previously described, with additional interviewing, assessing, and reporting functions provided by the optional third party application database2102.
F. Implementation in a Computer Program
• In an embodiment, the invention is implemented in one or more computer systems capable of carrying out the functionality described herein.
• FIG. 22 illustrates anexample computer system2200, including one ormore processors2204.Processor2204 is connected to acommunication bus2202. Various software embodiments are described in terms of thisexample computer system2200. After reading this description, it will become apparent to a person skilled in the relevant art how to implement the invention using other computer systems and/or computer architectures.
• Computer system2200 also includes amain memory2206, preferably random access memory (RAM), and can also include asecondary memory2208.Secondary memory2208 can include, for example, ahard disk drive2210 and/or aremovable storage drive2212, representing a floppy disk drive, a magnetic tape drive, an optical disk drive, etc.Removable storage drive2212 reads from and/or writes to aremovable storage unit2214 in a well known manner.Removable storage unit2214, represents a floppy disk, magnetic tape, optical disk, etc. which is read by and written to byremovable storage drive2212.Removable storage unit2214 includes a computer usable storage medium having stored therein computer software and/or data.
• In alternative embodiments,secondary memory2208 can include other similar means for allowing computer programs or other instructions to be loaded intocomputer system2200. Such means can include, for example, aremovable storage unit2222 and aninterface2220. Examples of such can include a program cartridge and cartridge interface (such as that found in video game devices), a removable memory chip (such as an EPROM, or PROM) and associated socket, and otherremovable storage units2222 andinterfaces2220 which allow software and data to be transferred from theremovable storage unit2222 tocomputer system2200.
• Computer system2200 can also include acommunications interface2224.Communications interface2224 allows software and data to be transferred betweencomputer system2200 and external devices. Examples ofcommunications interface2224 include, but are not limited to a modem, a network interface (such as an Ethernet card), a communications port, a PCMCIA slot and card, etc. Software and data transferred viacommunications interface2224 are in the form ofsignals2226, which can be electronic, electromagnetic, optical or other signals capable of being received bycommunications interface2224. Thesesignals2226 are provided tocommunications interface2224 via asignal path2228.Signal path2228 carriessignals2226 and can be implemented using wire or cable, fiber optics, a phone line, a cellular phone link, an RF link and other communications channels.
• In this document, the terms “computer program medium” and “computer usable medium” are used to generally refer to media such asremovable storage device2212, a hard disk installed inhard disk drive2210, and signals2226. These computer program products are means for providing software tocomputer system2200.
• Computer programs (also called computer control logic) are stored in main memory and/orsecondary memory2208. Computer programs can also be received viacommunications interface2224. Such computer programs, when executed, enable thecomputer system2200 to perform the features of the present invention as discussed herein. In particular, the computer programs, when executed, enable theprocessor2204 to perform the features of the present invention. Accordingly, such computer programs represent controllers of thecomputer system2200.
• In an embodiment where the invention is implemented using software, the software can be stored in a computer program product and loaded intocomputer system2200 usingremovable storage drive2212,hard drive2210 orcommunications interface2224. The control logic (software), when executed by theprocessor2204, causes theprocessor2204 to perform the functions of the invention as described herein.
• In another embodiment, the invention is implemented primarily in hardware using, for example, hardware components such as application specific integrated circuits (ASICs). Implementation of the hardware state machine so as to perform the functions described herein will be apparent to persons skilled in the relevant art(s).
• In yet another embodiment, the invention is implemented using a combination of both hardware and software.
IV. EXAMPLE IMPLEMENTATION
• In an embodiment, the invention is implemented to perform the following initialization features:
• establish an assessment category (government v. commercial, and any compliance criteria (e.g., DITSCAP, NSA IAM)).
• determine category of user (e.g., application administrator, network administrator, senior IT professional (e.g., CIO));
• determine mode of use (standalone v. roll-up); and
• determine mode of implementation (generic v. product specific).
• In an embodiment, the invention is implemented to interview users generically and/or application specifically (e.g., SAP, Oracle).
• In an embodiment, the invention is implemented to interview users based on their associated areas of expertise.
• In an embodiment, the invention is implemented to assess domains and the corresponding enterprise as a whole.
• In an embodiment, the invention is implemented to allow users to query an expert (generically and/or application specifically).
• In an embodiment, the invention is implemented to allow users to execute third party applications, such as third party active and/or passive diagnostic/test applications.
• In an embodiment, the invention is implemented with all of the above features. In alternative embodiments, the invention is implemented with fewer than all of the above features.
V. EXAMPLE QUESTIONSA. Example 1
• Assessment Set-Up
• 1. What is the company's name? (input box)
• 2. What is the company's address? (input box)
• Specific information about the target for the assessment must be gathered at this point. The target for the assessment is part, or parts, of the company that will undergo the assessment. For example, the target may be a company's e-commerce business, a specific file server, all networks utilized by the finance organization, or the entire company.
• 3. What name will be used for the target of the assessment? (input box)
• 4. How does the target of the assessment derive its income? (pull down menu)

• 	Answer Options	Help Text
  	Banking
  	Consulting
  	Education
  	Government
  	Insurance
  	Medical
  	Retail
  	Technology
  	Transportation
  	Utilities

• Within the target, there are one or more domain boundaries which defines who owns, manages, or controls what the regard to its Information Technology (IT) resources. Domain boundaries may have been created around LAN segments, IP addresses, physical locations, or job functions. For small targets, there may be only one domain boundary, meaning all IT resources within that boundary are controlled by the same administrators, while larger targets may have several domain boundaries.
• It is important for the Toolkit to know about, and differentiate among, domain boundaries, because each will likely have different characteristics. An accurate risk assessment will depend on describing the target of the assessment accurately.
• 5. How many divisions, defined by domain boundaries, exist within the target? (radio button)
• one
• more than one
• If the answer toquestion 5 is “one,” then ask question 6:
• 6. What is the name of the domain boundary area?
• Division Name (input box)
• If the answer toquestion 5 is “more than one,” then ask question 7:
• 7. Name each domain boundary.
• Division Name (input box) Add another Done (radio buttons)
• Scope and Boundary
• Identify and Value Assets
• Network Characteristics Section
• 200. DATABASE
• 300. Email
• 400. Web
• Assets
• Enter information about the web servers within this domain boundary. (Input box for web server name, pull down menus for OS platform, OS version and Function. See question 801 for an explanation of how the pull down menus for OS platform and OS version should work.)
• Server Name
• Server Type
• Hardware Architecture
• OS platform
• OS version
• Function

• Answer Options - Server
  Type		Answer Options - Version	Help Text
  Apache		x.x
  Netscape	x.x

  Answer Options -	Answer Options -	Answer Options - OS
  OS platform	HW arch	Version	Help Text
  Solaris	Intel, Spare	2.4, 2.5.1, 2.6, 2.7, 2.8
  RedHat Linux	Intel, Spare	5.2, 6.0, 6.1
  Windows	Intel	3.1, 95, 98, NT
  HP-UX	PA-RISC	9.x, 10.10, 10.20, 11.0

  	Answer Options - Function	Help Text
  	E-Commerce on Internet
  	Host Internet web site
  	Intraoffice applications
  	Interoffice applications

• Is the hardware on which this web server runs owned/controlled/managed by the web administrator? (radio button)
• Yes
• No
• If yes, then ask 2 questions about asset value:
• What is the replacement cost of the asset?
• Low
• Medium
• High
• What is the impact on the company if the asset is disclosed, modified, destroyed or misused?
• Low
• Medium
• High
• Which of the following data items are assets of this web server? (radio buttons)
• Code which drives Web pages (html, Java, per, etc)
• Multi-media contained on Web pages (graphics, audio, video, etc)
• Customer information collected via Web pages
• Customer orders collected via Web pages
• IT configuration Does the web server run as root? (radio button)
• Yes
• No
• Policies and Procedures
• <john>
• Threats
• Did this web server experience a security breach within the six months? (radio buttons—Yes, No, Don't Know)
• Did this web server experience a security breach within the last year? (radio buttons—Yes, No, Don't Know)
• Vulnerabilities
• Has a security configuration guide been consulted for the installation and testing of this web server? (radio buttons—Yes, No, Don't Know)
• Are published vulnerabilities associated with this type of web server tracked and countermeasures implemented? (radio buttons—Yes, No, Don't Know)
• Safeguards
• 500. File Server (NFS)
• 600. Network Information (DNS, NIS., NIS+)
• 700. Critical Infrastructure Components (routers, firewalls, modem banks., etc)
• 800. Desktops (Installation, OS Patches, User Access, Trust)
• 801. Enter all the operating systems which are used as clients on the network. (pull down menus, as follows. If user chooses Solaris for “OS client’, the version numbers in the pull down menu under “Version” automatically change to reflect the possible Solaris versions. User should have options at the bottom for “OK” to enter the next operating system, “Done” to indicate all operating systems have been entered, “Back” to look at the previous operating system entered, and Next” to move forward. There should be a summary presented of all the information chosen for this question after the user hits “Done”. Require user to enter “Done” on the summary screen to move ahead to next question.)
• OS client Version Internet Connect Num Clients % patched Lag time

• Answer Options - OS
  client	Answer Options - Version	Help Text
  Solaris	2.4, 2.5.1, 2.6, 2.7, 2.8
  RedHat Linux	5.2, 6.0, 6.1
  Windows	3.1, 95, 98, NT
  HP-UX	9.x, 10.10, 10.20, 11.0

  	Answer Options - Internet
  	Connectivity	Help Text
  	Yes
  	No
  	Don't Know
  	HP-UX

  	Answer Options - Num
  	Clients	Help Text
  	1-5 clients
  	6-10 clients
  	11-20 clients
  	21-50 clients
  	51-100 clients
  	More than 100 clients

  	Answer Options - %
  	patched	Help Text
  	0%
  	25%
  	50%
  	100%
  	Don't Know

  	Answer Options - lag time	Help Text
  	Hours
  	Days
  	Weeks
  	Months
  	Years

• 900. Connectivity (Intrasite, Intersite)
Policy and Procedure Section
• 1000. Access management
• 1001. When a user logs on, does the system display a banner that states employee privacy rights?
• 1002. Does the organization have guidelines for the composition of passwords?
• 1003. Does the organization have guidelines for the frequency of changing passwords?
• 1004. Can more than one employee share a user name and password?
• 1005. Are contractors, temporary employees, and vendors issued passwords that expire after a fixed duration?
• 1006. Does someone conduct audits for inactive accounts?
• 1007. Has the organization had a security incident within the past year that has resulted in lost or corrupted information or degradation of the performance of the information technology?
• 2000. Employment Begins/Terminates
• 2001. Does the organization have an Information Security Policy?
• 2002. Does each employee receive a copy of the organization's Information Security Policy?
• 2003. Does each employee sign an agreement agreeing to comply with the organization's Information Security Policy?
• 2004. Who determines an employee's access privileges on the information system? [pull down menu with the following selections: “employee”, manager/supervisor”, “system administration”, “don't know”]
• 2005. If an employee leaves the organization, does someone deactivate that person's accounts?
• 2006. Does the organization have a documented policy that explains the requirements for returning all organization property when employment terminates?
• 3000. Privacy
• 3001. Is each employee required to sign an agreement acknowledging their understanding of their privacy rights while using the organization's information systems?
• 3002. Does the organization have a documented policy concerning the storage, use and access of personal information in the workplace?
• 3003. Does each employee sign a statement agreeing to unannounced audits of their use of the organization's information system resources?
• 4000. ACCEPTABLE USE OF CORPORATE INFORMATION SYSTEM ASSETS
• 4001. Are all users required to sign a statement that describes acceptable use of organization information system resources?
• 4002. Are users explicitly prohibited from using information resources to send, view, access or store child pornography?
• 4003. Does the organization have a policy on using corporate computers for personal use?
• 4004. Do employees use corporate computers to access sites on the Internet?
• 4005. Are users told of the possible consequences of unacceptable use of corporate information resources?
• 4006. Are users told how to report improper use of corporate information resources?
• 5000. Virus Prevention, Detection, Response, Training
• 5000. Does the organization provide training to each employee in the prevention and detection of computer viruses?
• 5001 Does the organization have documented policies for responding to computer viruses?
• 5002 Does the organization train each employee in the proper response
B. Example 2
• Design
• Network Characteristics
• General Requirements
• The tool will present a log-in screen. For now we'll assume that an administrator account was established during installation.
• All answers will be tagged with the userid entered at the login screen.
• 100. General Questions Section
• 101. What is the company's name? (input box)
• 102. What is the company's address? (input box)
• [103. What type of business is the company in? (pull down menu)

• 	Answer Options	Help Text
  	Banking
  	Consulting
  	Education
  	Government
  	Insurance
  	Medical
  	Retail
  	Technology
  	Transportation
  	Utilities

• 104. How is the network administered? (pull down menu)

• Answer
  Options	Help Text
  Distributed	We have several different administrators, each adminis-
  	tration with sole control of, and responsibility for,
  	the administration of a certain aspect of the network
  Centralized	We have one office which controls and administration
  	administers the entire network.
  Combination	There are local administrators with certain
  	responsibilities, and a central office responsible
  	for other areas of administration.

• If the answer to question 104 is “Distributed Administration,” then ask question 106:
• 106. How are the areas of distributed administration responsibility defined?
• (pull down menu)

• 	Answer Options	Help Text
  	LANs
  	IP address ranges
  	Router boundaries
  	Access to file
  	servers

• If the answer to question 106 is “LANs,” then ask question 107:
• 107. What are the LAN domain names? (Input boxes—there will be several answers.)
• If the answer to question 106 is “IP address ranges,” then ask question 108:
• 108. What are the IP address ranges? (Input boxes—there will be several answers.) If the answer to question 106 is “Router boundaries,” then ask question 109:
• 109. What are the Router addresses? (Input boxes—there will be several answers.) If the answer to question 106 is “Access to file servers,” then ask question 110:
• 110. What are the file server names? (Input boxes—there will be several answers.)
• Note: The answers to these questions will be used as the way that the analysis/roll up can be done—by tagging all the questions asked of LAN x administrator with the answers to this question)
• 111. What name should be given to this risk analysis? (input box)
• 200. Database
• 300. Email
• 400. Web
• 401. Enter information about all the web servers. (Input box for web server name, pull down menus for OS platform, OS version and Function. See question 801 for an explanation of how the pull down menus for OS platform and OS version should work.)

• Server Name Server Type	OS platform	OS version Function

  Answer Options - Server
  Type		Answer Options - Version	Help Text
  Apache		x.x
  Netscape	x.x

  	Answer Options - OS	Answer Options - OS
  	platform	Version	Help Text
  	Solaris	2.4, 2.5.1, 2.6, 2.7, 2.8
  	RedHat Linux	5.2, 6.0, 6.1
  	Windows	3.1, 95, 98,
  	NT HP-UX	9.x, 10.10, 10.20, 11.0

  	Answer Options - Function	Help Text
  	E-Commerce on Internet
  	Host Internet web site
  	Intraoffice applications
  	Interoffice applications

• 402. Has a security configuration guide been consulted for installing and testing each web server? (pull down menu—Yes, No, Don't Know)
• 403. Which web servers have experienced a security breach within the six months? (pull down menu with server names from 401, plus “None” and “Don't Know”.)
• 404. Which web servers have experienced a security breach within the last year? (pull down menu with server names from 401, plus “Non” and “Don't Know”.)
• 500. File Server (NFS)
• 600. Network Information (DNS, NIS, NIS+)
• 700. Critical Infrastructure Components (routers, firewalls, modem banks, etc)
• 800. Desktops (installation, OSpatches, user access, trust)
• 801. Enter all the operating systems which are used as clients on the network. (pull down menus, as follows. If user chooses Solaris for “OS client”, the version numbers in the pull down menu under “Version” automatically change to reflect the possible Solaris versions. User should have options at the bottom for “OK” to enter the next operating system, “Done” to indicate all operating systems have been entered, “Back” to look at the previous operating system entered, and “Next” to move forward. There should be a summary presented of all the information chosen for this question after the user hits “Done”. Require user to enter “Done” on the summary screen to move ahead to next question.)
• OS client Version Internet Connection Num Clients % patched Lag time

• Answer Options - OS
  client	Answer Options - Version	Help Text
  Solaris	2.4, 2.5.1, 2.6, 2.7, 2.8
  RedHat Linux	5.2, 6.0, 6.1
  Windows	3.1, 95, 98, NT
  HP-UX	9.x, 10.10, 10.20, 11.0

  	Answer Options - Internet
  	Connectivity	Help Text
  	Yes
  	No
  	Don't Know
  	HP-UX

  	Answer Options - Num
  	Clients	Help Text
  	1-5 clients
  	6-10 clients
  	11-20 clients
  	21-50 clients
  	51-100 clients
  	More than 100 clients

  	Answer Options - %
  	patched	Help Text
  	0%
  	25%
  	50%
  	100%
  	Don't Know

  	Answer Options - lag time	Help Text
  	Hours
  	Days
  	Weeks
  	Months
  	Years

• 900. Connectivity (intrasite, intersite)
• Policy and Procedures
• 1000. Access management
• 1001. When a user logs on, does the system display a banner that states employee privacy rights?
• 1002. Does the organization have guidelines for the composition of passwords?
• 1003. Does the organization have guidelines for the frequency of changing passwords?
• 1004. Can more than one employee share a user name and password?
• 1005. Are contractors, temporary employees, and vendors issued passwords that expire after a fixed duration?
• 1006. Does someone conduct audits for inactive accounts?
• 1007. Has the organization had a security incident within the past year that has resulted in lost or corrupted information or degradation of the performance of the information technology?
• 2000. Employment begins/terminates
• 2001. Does the organization have an Information Security Policy?
• 2002. Does each employee receive a copy of the organization's Information Security Policy?
• 2003. Does each employee sign an agreement to comply with the organization's Information Security Policy?
• 2004. Who determines an employee's access privileges on the information system? [pull down menu with the following selections: “employee”, “manager/supervisor”, “system administration”, “don't know”]
• 2005. If an employee leaves the organization, does someone deactivate that person's accounts?
• 2006. Does the organization have a documented policy that explains the requirements for returning all organization property when employment terminates?
• 3000. Privacy
• 3001. Is each employee required to sign an agreement acknowledging their understanding of their privacy rights while using the organization's information systems?
• 3002. Does the organization have documented policy concerning the storage, use and access of personal information in the workplace?
• 3003. Does each employee sign a statement agreeing to unannounced audits of their use of the organization's information system resources?
• 4000. Acceptable use of corporate information system assets
• 4001. Are all users required to sign a statement that describes acceptable use of organization information system resources?
• 4002. Are users explicitly prohibited from using information resources to send, view, access or store child pornography?
• 4003. Does the organization have a policy on using corporate computers for personal use?
• 4004. Do employees use corporate computers to access sites on the internet?
• 4005. Are users told of the possible consequences of unacceptable use of corporate information resources?
• 4006. Are users told how to report improper use of corporate information resources?
• 5000. Virus prevention, detection, response, training
• 5001. Does the organization provide training to each employee in the prevention and detection of computer viruses?
• 5002. Does the organization have documented policies for responding to computer viruses?
• 5003. Does the organization train each employee in the proper response to virus incidents?
VI. CONCLUSION
• The present invention has been described above with the aid of functional building blocks illustrating the performance of specified functions and relationships thereof. The boundaries of these functional building blocks have been arbitrarily defined herein for the convenience of the description. Alternate boundaries can be defined so long as the specified functions and relationships thereof are appropriately performed. Any such alternate boundaries are thus within the scope and spirit of the claimed invention. One skilled in the art will recognize that these functional building blocks can be implemented by discrete components, application specific integrated circuits, processors executing appropriate software and the like or any combination thereof.
• While various embodiments of the present invention have been described above, it should be understood that they have been presented by way of example only, and not limitation. Thus, the breadth and scope of the present invention should not be limited by any of the above-described exemplary embodiments, but should be defined only in accordance with the following claims and their equivalents.

Claims (20)

1. A computer-implemented method, comprising:

selecting information handling questions from a database of information handling questions based on one or more of an entity type and user area of expertise, wherein the information handling questions relate to one or more of information technology (IT) infrastructure and information handling policy;

presenting the selected questions to one or more users;

receiving user responses to the selected questions;

receiving information collected from within the IT infrastructure by a computer program executing within the IT infrastructure;

evaluating the user responses in combination with the information collected from within the IT infrastructure; and

assessing information security based on results of the evaluating.

2. The method ofclaim 1, wherein the information collected from within the IT infrastructure includes one or more of active network scanning information and passive network monitoring information.

3. The method ofclaim 1, wherein the information collected from within the IT infrastructure includes one or more of test information and diagnostic information.

4. The method ofclaim 1, wherein the selecting includes:

selecting at least one of the questions based on the information collected from within the IT infrastructure.

5. The method ofclaim 1, wherein the evaluating includes:

identifying a vulnerability based on a combination of the user responses and the information collected from within the IT infrastructure; and

evaluating the vulnerability based on one or more of the user responses and the information collected from within the IT infrastructure.

6. The method ofclaim 1, wherein the evaluating includes:

identifying a vulnerability based on one or more of the user responses and the information collected from within the IT infrastructure; and

evaluating the vulnerability based on a combination of the user responses and the information collected from within the IT infrastructure.

7. The method ofclaim 1, wherein the evaluating includes:

evaluating the results of the computer program executed within the IT infrastructure in combination with the user responses, and independent of the user responses.

8. A system, comprising:

a database of information handling questions, wherein the questions relate to one or more of information technology (IT) infrastructure and information handling policy;

a user-interview system to select information handling questions from the database based on one or more of an entity type and an area of user expertise, present the selected questions to one or more users, and receive user responses to the selected questions;

an evaluation system to receive information collected from within the IT infrastructure by a computer program executing within the IT infrastructure, evaluate the user responses in combination with the information collected from within the IT infrastructure, and assess information security based on results of the evaluating.

9. The system ofclaim 8, wherein the information collected from within the IT infrastructure includes one or more of active network scanning information and passive network monitoring information.

10. The system ofclaim 8, wherein the information collected from within the IT infrastructure includes one or more of test information and diagnostic information.

11. The system ofclaim 8, wherein the user interview system is implemented to:

select at least one of the questions based on the information collected from within the IT infrastructure.

12. The system ofclaim 8, wherein the evaluation system is implemented to:

identify a vulnerability based on a combination of the user responses and the information collected from within the IT infrastructure; and

evaluate the vulnerability based on one or more of the user responses and the information collected from within the IT infrastructure.

13. The system ofclaim 8, wherein the evaluation system is implemented to:

identify a vulnerability based on one or more of the user responses and the information collected from within the IT infrastructure; and

evaluate the vulnerability based on a combination of the user responses and the information collected from within the IT infrastructure.

14. The system ofclaim 8, wherein the evaluation system is implemented to:

evaluate the results of the computer program executed within the IT infrastructure in combination with the user responses, and independent of the user responses.

15. A non-transitory computer readable medium encoded with a computer program, including instructions to cause a processor to:

select information handling questions from a database of information handling questions based on one or more of an entity type and user area of expertise, wherein the information handling questions relate to one or more of information technology (IT) infrastructure and information handling policy;

present the selected questions to one or more users;

receive user responses to the selected questions;

receive information collected from within the IT infrastructure by a computer program executing within the IT infrastructure;

evaluate the user responses in combination with the information collected from within the IT infrastructure; and

assess information security based on results of the evaluating.

16. The computer readable medium ofclaim 15, wherein the information collected from within the IT infrastructure includes one or more of active network scanning information and passive network monitoring information.

17. The computer readable medium ofclaim 15, wherein the information collected from within the IT infrastructure includes one or more of test information and diagnostic information.

18. The computer readable medium ofclaim 15, wherein the instructions to select questions include instructions to cause the processor to:

select at least one of the questions based on the information collected from within the IT infrastructure.

19. The computer readable medium ofclaim 15, the instructions to evaluate include instructions to cause the processor to:

identify a vulnerability based on a combination of the user responses and the information collected from within the IT infrastructure; and

evaluate the vulnerability based on one or more of the user responses and the information collected from within the IT infrastructure.

20. The computer readable medium ofclaim 15, the instructions to evaluate include instructions to cause the processor to:

identify a vulnerability based on one or more of the user responses and the information collected from within the IT infrastructure; and

evaluate the vulnerability based on a combination of the user responses and the information collected from within the IT infrastructure.

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