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ITC358 ICT Management and Information Security

Chapter 12

Law and Ethics

In law a man is guilty when he violates the rights of others.

In ethics he is guilty if he only thinks of doing so. – Immanuel Kant

Objectives

Upon completion of this chapter, you should be able to:

Differentiate between law and ethics

Describe the ethical foundations and approaches that underlie modern codes of ethics

Identify major national and international laws that relate to the practice of information security

Describe the role of culture as it applies to ethics in information security

Identify current information on laws, regulations, and relevant professional organisations

Introduction

All information security professionals must understand the scope of an organisation’s legal and ethical responsibilities

Understand the current legal environment

Keep apprised of new laws, regulations, and ethical issues as they emerge

To minimise the organisation’s liabilities

Educate employees and management about their legal and ethical obligations

And proper use of information technology

Law and Ethics in Information Security

Laws

Rules adopted and enforced by governments to codify expected behaviour in modern society

The key difference between law and ethics is that law carries the sanction of a governing authority and ethics do not

Ethics are based on cultural mores

Relatively fixed moral attitudes or customs of a societal group

Information Security and the Law

InfoSec professionals and managers must understand the legal framework within which their organisations operate

Can influence the organisation to a greater or lesser extent, depending on the nature of the organisation and the scale on which it operates

Types of Law

Civil law

Pertains to relationships between and among individuals and organisations

Criminal law

Addresses violations harmful to society

Actively enforced and prosecuted by the state

Tort law (search Tort law in Australia)

A subset of civil law that allows individuals to seek redress in the event of personal, physical, or financial injury

Types of Law (cont’d.)

Private law

Regulates the relationships among individuals and among individuals and organisations

Family law, commercial law, and labour law

Public law

Regulates the structure and administration of government agencies and their relationships with citizens, employees, and other governments

Criminal, administrative, and constitutional law

Table 12-1a: Key U.S. laws of interest to information security professionals

Table 12-1b: Key U.S. laws of interest to information security professionals

Relevant U.S. Laws

The Computer Fraud and Abuse Act of 1986 (CFA Act)

The cornerstone of many computer-related federal laws and enforcement efforts

Amended in October 1996 by the National Information Infrastructure Protection Act

Modified several sections of the previous act, and increased the penalties for select crimes

Further modified by the USA Patriot Act of 2001

Provides law enforcement agencies with broader latitude to combat terrorism-related activities

The USA Patriot Act was updated and extended, in many cases permanently

Through the USA Patriot Improvement and Reauthorisation Act of 2005

Relevant U.S. Laws (cont’d.)

The Computer Security Act of 1987

One of the first attempts to protect federal computer systems

Established minimum acceptable security practices

Established a Computer System Security and Privacy Advisory Board within the Department of Commerce

Requires mandatory periodic training in computer security awareness and accepted computer security practice for all users of Federal computer systems

Relevant U.S. Laws (cont’d.)

The Computer Security Act of 1987 (cont’d.)

Charged the National Bureau of Standards and the NSA (now NIST) with the development of:

Standards, guidelines, and associated methods and techniques for computer systems

Uniform standards and guidelines for most federal computer systems

Technical, management, physical, and administrative standards and guidelines for the cost-effective security and privacy of sensitive information in federal computer systems

Guidelines for operators of federal computer systems containing sensitive information in training their employees in security awareness

Validation procedures for, and evaluation of the effectiveness of, standards and guidelines

Through research and liaison with other government and private agencies

Relevant U.S. Laws (cont’d.)

Privacy Laws

Many organisations collect, trade, and sell personal information as a commodity

Individuals are becoming aware of these practices and looking to governments to protect their privacy

Aggregation of data from multiple sources permits unethical organisations to build databases with alarming quantities of personal information

Relevant U.S. Laws (cont’d.)

Privacy Laws (cont’d.)

The Privacy of Customer Information Section of the section of regulations covering common carriers

Specifies that any proprietary information shall be used explicitly for providing services, and not for any marketing purposes

The Federal Privacy Act of 1974 regulates the government’s use of private information

Ensure that government agencies protect the privacy of individuals’ and businesses’ information

Relevant U.S. Laws (cont’d.)

Privacy Laws (cont’d.)

The Electronic Communications Privacy Act of 1986

A collection of statutes that regulates the interception of wire, electronic, and oral communications

These statutes work in cooperation with the Fourth Amendment of the U.S. Constitution

Prohibits search and seizure without a warrant

Relevant U.S. Laws (cont’d.)

Health Insurance Portability & Accountability Act Of 1996 (HIPAA)

An attempt to protect the confidentiality and security of health care data

Establishes and enforces standards

Standardises electronic data interchange

Requires organisations that retain health care information to use information security mechanisms to protect this information

Also requires an assessment of the organisation's InfoSec systems, policies, and procedures

Relevant U.S. Laws (cont’d.)

HIPAA (cont’d.)

Provides guidelines for the use of electronic signatures

Based on security standards ensuring message integrity, user authentication, and nonrepudiation

Fundamental privacy principles:

Consumer control of medical information

Boundaries on the use of medical information

Accountability for the privacy of private information

Fundamental privacy principles: (cont’d.)

Balance of public responsibility for the use of medical information for the greater good measured against impact to the individual

Security of health information

Relevant U.S. Laws (cont’d.)

The Financial Services Modernisation Act

Also called Gramm-Leach-Bliley Act of 1999

Applies to banks, securities firms, and insurance companies

Requires all financial institutions to disclose their privacy policies

Describing how they share nonpublic personal information

Describing how customers can request that their information not be shared with third parties

Ensures that the privacy policies in effect in an organisation are fully disclosed when a customer initiates a business relationship

Distributed at least annually for the duration of the professional association

Relevant U.S. Laws (cont’d.)

Export and Espionage Laws

Economic Espionage Act (EEA) of 1996

An attempt to protect intellectual property and competitive advantage

Attempts to protect trade secrets from the foreign government that uses its classic espionage apparatus to spy on a company

Also between two companies

Or a disgruntled former employee

Relevant U.S. Laws (cont’d.)

Export and Espionage Laws

The Security and Freedom through Encryption Act of 1997

Provides guidance on the use of encryption

Institutes measures of public protection from government intervention

Reinforces an individual’s right to use or sell encryption algorithms

Prohibits the federal government from requiring the use of encryption for contracts, grants, and other official documents, and correspondence

Relevant U.S. Laws (cont’d.)

Figure 12-1: Export restrictions

Source: Course Technology/Cengage Learning

Relevant U.S. Laws (cont’d.)

U.S. Copyright Law

Extends protection to intellectual property, including words published in electronic formats

‘Fair use’ allows material to be quoted so long as the purpose is educational and not for profit, and the usage is not excessive

Proper acknowledgement must be provided to the author and/or copyright holder of such works

Including a description of the location of source materials, using a recognised form of citation

Relevant U.S. Laws (cont’d.)

Freedom of Information Act of 1966

All Federal agencies are required to disclose records requested in writing by any person

Applies only to Federal agencies and does not create a right of access to records held by Congress, the courts, or by state or local government agencies

Sarbanes-Oxley Act of 2002

Enforces accountability for the financial record keeping and reporting at publicly traded corporations

Relevant U.S. Laws (cont’d.)

Sarbanes-Oxley Act of 2002 (cont’d.)

Requires that the CEO and chief financial officer (CFO) assume direct and personal accountability for the completeness and accuracy of a publicly traded organisation’s financial reporting and record-keeping systems

As these executives attempt to ensure that the systems used to record and report are sound, the related areas of availability and confidentiality are also emphasised

International Laws and Legal Bodies

International trade is governed by international treaties and trade agreements

Many domestic laws and customs do not apply

There are currently few international laws relating to privacy and information security

Because of cultural differences and political complexities of the relationships among nations

International Laws and Legal Bodies (cont’d.)

European Council Cyber-Crime Convention

Empowers an international task force to oversee a range of Internet security functions

Standardises technology laws internationally

Attempts to improve the effectiveness of international investigations into breaches of technology law

Goal is to simplify the acquisition of information for law enforcement agents in certain types of international crimes, as well as the extradition process

International Laws and Legal Bodies (cont’d.)

The Digital Millennium Copyright Act

A U.S.-based international effort to reduce the impact of copyright, trademark, and privacy infringement, especially via the removal of technological copyright protection measures

European Union Directive 95/46/EC

Increases individual rights to process and freely move personal data

Database Right

U.K. version of this directive

State and Local Regulations

Information security professionals must understand state laws and regulations

Ensure that their organisation’s security policies and procedures comply

Georgia Computer Systems Protection Act

Has various computer security provisions

Establishes specific penalties for use of information technology to attack or exploit information systems in organisations

Requires that a business may not discard a record containing personal information unless it shreds, erases, modifies, or otherwise makes the information irretrievable

Policy Versus Law

Difference between policy and law

Ignorance of policy is an acceptable defense

Policies must be:

Distributed to all individuals who are expected to comply with them

Readily available for employee reference

Easily understood, with multilingual, visually impaired and low-literacy translations

Acknowledged by employee with consent form

Uniformly enforced for all employees

Ethics in Information Security

The student of information security is not expected to study the topic of ethics in a vacuum, but within a larger ethical framework

Information security professionals may be expected to be more articulate about the topic than others in the organisation

Often must withstand a higher degree of scrutiny

Ethics in Information Security (cont’d.)

The Ten Commandments of Computer Ethics

From the Computer Ethics Institute

Thou shalt not:

Use a computer to harm other people

Interfere with other people's computer work

Snoop around in other people's computer files

Use a computer to steal

Use a computer to bear false witness

Copy or use proprietary software for which you have not paid

Ethics in Information Security (cont’d.)

The Ten Commandments of Computer Ethics (cont’d.)

Thou shalt not: (cont’d.)

Use other people's computer resources without authorisation or proper compensation

Appropriate other people's intellectual output

Think about the social consequences of the program you are writing or the system you are designing

Always use a computer in ways that ensure consideration and respect for fellow humans

Ethics and Education

Differences in computer use ethics

Not exclusively cultural

Found among individuals within the same country, within the same social class, and within the same company

Key studies reveal that the overriding factor in leveling the ethical perceptions within a small population is education

Employees must be trained on the expected behaviours of an ethical employee

Deterring Unethical and Illegal Behaviour

InfoSec personnel should do everything in their power to deter unethical and illegal acts

Using policy, education and training, and technology as controls to protect information

Categories of unethical behaviour

Ignorance

Accident

Intent

Deterring Unethical and Illegal Behavior (cont’d.)

Deterrence

Best method for preventing an illegal or unethical activity

Examples: laws, policies, and technical controls

Laws and policies and their associated penalties only deter if three conditions are present:

Fear of penalty

Probability of being caught

Probability of penalty being administered

Professional Organisations and their Codes of Ethics

Some professional organisations have established codes of conduct and/or codes of ethics

Members are expected to follow

Codes of ethics can have a positive effect on an individual’s judgment regarding computer use

Security professionals must act ethically

According to the policies and procedures of their employers, their professional organisations, and the laws of society

Association of Computing Machinery

A respected professional society

Originally established in 1947 as “the world's first educational and scientific computing society”

One of the few organisations that strongly promotes education and provides discounted membership for students

Code of ethics requires members to perform their duties in a manner befitting an ethical computing professional

International Information Systems Security Certification Consortium, Inc. (ISC)2

Code of ethics applies to information security professionals who have earned one of their certifications

Includes four mandatory canons:

Protect society, the commonwealth, and the infrastructure

Act honorably, honestly, justly, responsibly, and legally

Provide diligent and competent service to principals

Advance and protect the profession

System Administration, Networking, and Security Institute (SANS)

Professional research and education cooperative organisation

Over 156,000 security professionals, auditors, system and network administrators

SANS GIAC code of ethics requires:

Respect for the public

Respect for the certification

Respect for my employer

Respect for myself

Information Systems Audit and Control Association (ISACA)

A professional association with a focus on auditing, control, and security

Membership comprises both technical and managerial professionals

Has a code of ethics for its professionals

Requires many of the same high standards for ethical performance as the other organisations and certifications

Information Systems Audit and Control Association (cont’d.)

Code of ethics tenets

Support the implementation of, and encourage compliance with, appropriate standards, procedures, and information systems controls

Perform duties with objectivity, due diligence and professional care, using professional standards and best practices

Serve in the interest of stakeholders in a lawful and honest manner, maintain high standards of conduct and character, and not engage in acts discreditable to the profession

Information Systems Audit and Control Association (cont.)

Code of ethics tenets (cont’d.)

Maintain the privacy and confidentiality of information obtained in the course of their duties

Unless disclosure is required by legal authority

Such information shall not be used for personal benefit or released to inappropriate parties

Maintain competency in their respective fields, and agree to undertake only those activities that they can reasonably expect to complete with professional competence

Information Systems Audit and Control Association (cont’d.)

Code of ethics tenets (cont’d.)

Inform appropriate parties of the results of work performed, revealing all significant facts known to them

Support the professional education of stakeholders in enhancing their understanding of information systems security and control

Information Systems Security Association

Nonprofit society of information security professionals

Mission is to bring together qualified practitioners of information security for information exchange and educational development

Provides conferences, meetings, publications, and information resources to promote information security awareness and education

Promotes a code of ethics

Similar to that of other organisations

“Promoting management practices that will ensure the confidentiality, integrity, and availability of organisational information resources.”

Organisational Liability and the Need for Counsel

What if an organisation does not support or encourage strong ethical conduct by its employees?

What if an organisation does not behave ethically?

If an employee, acting with or without the authorisation, performs an illegal or unethical act, causing some degree of harm, the organisation can be held financially liable for that action

Organisational Liability and the Need for Counsel (cont’d.)

An organisation increases its liability if it refuses to take measures (due care) to make sure that every employee knows what is acceptable and what is not, and the consequences of illegal or unethical actions

Due diligence requires that an organisation make a valid and ongoing effort to protect others

Key Law Enforcement Agencies

Federal Bureau of Investigation’s InfraGard Program

Promotes efforts to educate, train, inform, and involve the business and public sector in information security

Every FBI field office has established an InfraGard chapter and collaborates with public and private organisations and the academic community to share information about attacks, vulnerabilities, and threats

InfraGard’s dominant contribution is the free exchange of information to and from the private sector in the subject areas of threats and attacks on information resources

Key Law Enforcement Agencies (cont’d.)

National Security Agency (NSA)

The nation's cryptologic organisation

Coordinates, directs, and performs highly-specialised activities to protect U.S. information systems and produce foreign intelligence information

Responsible for signal intelligence and information system security

Key Law Enforcement Agencies (cont’d.)

National Security Agency (cont’d.)

Information Assurance Directorate (IAD) provides information security “solutions including the technologies, specifications and criteria, products, product configurations, tools, standards, operational doctrine, and support activities needed to implement the protect, detect and report, and respond elements of cyber defense.”

Key Law Enforcement Agencies (cont’d.)

U.S. Secret Service is a department within the Department of the Treasury

In addition to its well-known mission to protect key members of the U.S. government

Also charged with the detection and arrest of any person committing a U.S. federal offense relating to computer fraud, as well as false identification crimes

Department of Homeland Security

Formed when U.S. Secret Service was transferred to it from the Department of the Treasury

Managing Investigations in the Organisation

When (not if) an organisation finds itself dealing with a suspected policy or law violation

Must appoint an individual to investigate it

How the internal investigation proceeds

Dictates whether or not the organisation has the ability to take action against the perpetrator if in fact evidence is found that substantiates the charge

In order to protect the organisation, and to possibly assist law enforcement in the conduct of an investigation

The investigator (CISO, InfoSec Manager or other appointed individual) must document what happened and how

Managing Investigations in the Organisation (cont’d.)

Forensics

The coherent application of methodical investigatory techniques to present evidence of crimes in a court or court-like setting

Digital forensics

The investigation of what happened and how

Involves the preservation, identification, extraction, documentation, and interpretation of computer media for evidentiary and/or root cause analysis

Managing Investigations in the Organisation (cont’d.)

Digital forensics (cont’d.)

Like traditional forensics, it follows clear, well-defined methodologies, but still tends to be as much art as science

Evidentiary material (EM)

Also called item of potential evidentiary value

Any information that could potentially support the organisations legal- or policy-based case against a suspect

An item does not become evidence until it is formally admitted to evidence by a judge or other ruling official

Digital forensics can be used for two key purposes:

Investigate allegations of digital malfeasance

A crime against or using digital media, computer technology or related components

Perform root cause analysis

If an incident occurs and the organisation suspects an attack was successful, digital forensics can be used to examine the path and methodology used to gain unauthorised access, as well as to determine how pervasive and successful the attack was

Managing Investigations in the Organisation (cont’d.)

Digital forensics approaches

Protect and forget (a.k.a. patch and proceed)

Focuses on the defense of the data and the systems that house, use, and transmit it

Apprehend and prosecute (a.k.a. pursue and prosecute)

Focuses on the identification and apprehension of responsible individuals, with additional attention on the collection and preservation of potential EM that might support administrative or criminal prosecution

Affidavits and Search Warrants

Investigations begin with an allegation or an indication of an incident

Forensics team requests permission to examine digital media for potential EM

An affidavit is sworn testimony

That the investigating officer has certain facts they feel warrant the examination of specific items located at a specific place

Search warrant

Permission to search for EM at the specified location and/or to seize items to return to the investigator’s lab for examination

Created when an approving authority signs the affidavit or creates a synopsis form based on it

Digital Forensics Methodology

Steps in the digital forensics methodology

Identify relevant items of evidentiary value

Acquire (seize) the evidence without alteration or damage

Take steps to assure that the evidence is at every step verifiably authentic and is unchanged from the time it was seized

Analyse the data without risking modification or unauthorised access

Report the findings to the proper authority

Digital Forensics Methodology

Figure 12-2: Digital forensics process

Source: Course Technology/Cengage Learning

Evidentiary Procedures

Organisations should develop specific procedures and guidance for their use

Who may conduct an investigation

Who may authorise an investigation

What affidavit-related documents are required

What search warrant-related documents are required

What digital media may be seized or taken offline

What methodology should be followed

What methods are required for chain of custody or chain of evidence

What format the final report should take, and to whom it should it be given

Summary

Introduction

Law and ethics in information security

The legal environment

Ethical concepts in information security

Professional organisations’ codes of ethics

Organisational liability and the need for counsel

Key U.S. Federal agencies

Managing investigations in the organisation

Management of Information Security, 3rd ed.