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Clinical Field Experience A:
Assessment Strategies for Diverse Students Chart
Part I: Gathering Classroom Data
Directions: Allocate at least 5 hours in the field to support this
field experience. Observe your mentor teacher and in
collaboration with your mentor teacher review the areas below
to obtain the data needed based on your mentor teacher’s class.
No names should be used to protect the confidentiality of all
students.
Classroom Data
50-100 Words Describing Class Demographics(i.e., racial or
ethnic demographics, socioeconomic status, funding, level of
community support, facilities and infrastructure, etc.)
50-100 Words Describing Individual Students’ Learning
Needs(i.e., numbers and specific needs of students who are
English learners and/or who receive special education services
and any other forms of diversity you encounter)
Part II: Instructional Planning and Assessment to Meet the
Needs of Your Classroom
Directions: Now that you have gathered data based on your
mentor teacher’s class, answer the following reflective
questions. Each response should be supported with at least one
scholarly source – at least three scholarly sources in total.
In 100-150 words, discuss evidence-based instructional
strategies, resources, and technological tools you would use to
support the students in the mentor teacher’s class. How would
you use these strategies, resources, and technological tools to
meet the needs of all students in the class? Provide specific
examples based on the classroom profile. Provide at least one
academic in-text citation to support your response.
In 100-150 words, describe one learning activity you would
implement to engage the mentor teacher’s students in multiple
ways that allows all students to demonstrate their knowledge
and skills. Identify an aligned state or national standard for the
activity. Include at least one academic in-text citation to
support your response.
In 100-150 words, describe one assessment you might
implement based on the learning activity from your response
above. How does this assessment support your mentor teacher’s
students and their diverse learning needs? How does this
assessment engage students in multiple ways of demonstrating
knowledge and skills? Provide at least one academic in-text
citation to support your response.
References
© 2019 Grand Canyon University. All Rights Reserved
© 2019 Grand Canyon University. All Rights Reserved.
Employees' Adherence to Information
Security Policies: An Empirical Study
Mikko Siponen', Seppo Pahnila and Adam Mahmood^
1 Department of Information Processing Science, The
University of Oulu,
Finland, {mikko.siponen, seppo.pahnila}@oulu.fi
2 Department of Information and Decision Sciences, University
of Texas at
El Paso, [email protected]
Abstract. The key threat to information security is constituted
by careless
employees who do not comply with information security
policies. To ensure
that employees comply with organizations' information security
procedures, a
number of information security policy compliance measures
have been
proposed in the past. Prior research has criticized these
measures as lacking
theoretically and empirically grounded principles to ensure that
employees
comply with information security policies. To fill this gap in
research, this
paper advances a new model that explains employees' adherence
to
information security policies. In this model, we extend the
Protection
Motivation Theory (PMT) by integrating the General Deterrence
Theory
(GDT) and the Theory of Reasoned Action (TRA) with PMT. To
test this
model, we collected data (N = 917) from four different
companies. The results
show that threat appraisal, self-efficacy and response efficacy
have a
significant impact on intention to comply with information
security policies.
Sanctions have a significant impact on actual compliance with
information
security policies. Intention to comply with information security
policies also
has a significant impact on actual compliance with information
security
policies.
1 Introduction
Up to 90% of organizations confront at least one information
security incident within
any given year [5, p. 684]. To cope with the increase in
information security threats,
not only technical solutions, but also information management
methods and policies
have been proposed. Employees, however, seldom comply with
these information
security procedures and techniques, placing the organizations'
assets and business in
danger [32, p. 125]. To address this concern, several
information security compliance
approaches have been proposed. Aytes and Connolly [3],
Siponen [29] and
Puhakainen [24] have criticized these extant approaches as
lacking not only
Please use the following format when citing this chapter:
Siponen, M., Pahnila, S., and Mahmood, A., 2007, in IFIP
International Federation for Information Processing, Volume
232, New Approaches for Security, Privacy and Trust in
Complex Environments, eds. Venter, H., Eloff, M.,
Labuschagne,
L., Eloff, J., von Solms, R., (Boston: Springer), pp. 133-144.
mailto:[email protected]
134 Mikko Siponen, Seppo Pahnila and Adam Mahmood
theoretically grounded methods, but also empirical evidence on
their effectiveness.
In fact, only three approaches [4], [34], [35] meet these
important criteria. This paper
fills this gap in research by first building a new theoretical
model, explaining how
employees' compliance with information security policies and
guidelines can be
improved. In this model, we combine PMT with the modern
GDT and TRA. The
model is then validated using an empirical study.
The results of this study are of relevance to researchers and
practitioners. Since
the extant studies on information security policy compliance
present only anecdotal
information on the factors explaining employees' adherence to
information security
policies with three exceptions mentioned above, it is of utmost
importance to study
this issue. This information is also useful for practitioners who
want to obtain
empirically proven information on how they can improve their
employees'
adherence to information security policies, and hence improve
the information
security of their organizations.
The paper is organized as follows. The second section reviews
previous works.
The third section proposes the research model and the fourth
discusses the research
methodology. The results are presented in the fifth section. The
sixth section
discusses the implications of the study.
2 Previous work on information security policy compliance
To understand the fundamental limitations of the extant works
on information
security policy compliance, these works have been divided into
three categories: (1)
conceptual principles without an underlying theory and
empirical evidence; (2)
theoretical models without empirical support; (3) empirical
support grounded upon
theories. These categories are discussed next.
Conceptual principles present practical principles and
suggestions for
improving employees' compliance with information security
polices. These studies
include generic information security awareness training
programs by Sommers and
Robinson [30], McCoy and Fowler [20 p. 347], Thomson and
von Solms [36],
McLean [21], Spurling [31, p. 20], and Parker [22, p. 464].
Perry [23, pp. 94-95] offers practical principles for the
improvement of
information security behavior: highlighting information security
violations, sending
managers to information security seminars, and getting
consultants to evaluate the
information security state of the organization. Gaunt [11],
Furnell, Sanders and
Warren [10] and Katsikas [16] all propose information security
awareness programs
for improving information security behavior in healthcare
contexts. Furnell et al. [9]
propose the use of information security training software that
helps users to become
aware of potential risks and the corresponding information
security countermeasures.
Finally, Wood [39] suggests 53 means for ensuring that
employees comply with
information security procedures, such as information security
advertisements on
coffee mugs.
While all the above propose interesting principles for increasing
information
security awareness, none of them are theoretically grounded or
offer empirical
evidence to support their principles in practice.
Employees' Adherence to Information Security Policies: An
Empirical Study 135
Theoretical models without empirical support contain studies
that contribute
to the creation of theoretical insights on how employees'
information security policy
compliance can be increased. Aytes and Connolly's [3] study
suggests that the
perceived probability and desirability of the outcomes of the
individuals' choices
explains users' security behavior. Lee and Lee [17] use the
social bonds theory, the
theory of planned behavior, the social learning theory, and GDT
to explain computer
crimes, while Siponen [29] suggests the use of the theory of
planned behavior, the
theory of intrinsic motivation, and need-based theories to ensure
that employees
follow information security policies and guidelines. Thomson
and von Solms [37]
suggest the use of social psychology to improve employees'
information security
behavior.
To summarize, while these works contribute to the creation of
theoretical insights
on how employees' information security compliance can be
increased, they are
lacking empirical evidence on their practical usefulness.
Empirical works grounded upon theories include Aytes and
Connolly [4],
Straub [34], Straub and Welke [35] and Woon et al. [40]. Aytes
and Connolly [4] use
the Rational Choice Model to explain why workers violate
information security
procedures. Straub [34] and Straub and Welke [35] use the GDT
to investigate
whether investment in information security measures reduces
computer abuse.
Weekly hours dedicated to information security, dissemination
of information
security polices and guidelines, stating penahies for non-
compliance, and the use of
information security software were found to be most effective
deterrents [34, p. 272-
273]. Finally, Woon et al. [40] found that the perceived severity
of the information
security threat, effectiveness of response, perceived capability
to use the security
features (self-efficacy) and the cost of using the security
features (response cost)
affect home users' decisions on whether or not to use security
features.
To summarize the literature review, while several information
security
awareness, education and enforcement approaches exist, only
four approaches are
theoretically and empirically grounded. Of these three, Woon et
al. [40] study
wireless network users, while Straub [34] and Straub and Welke
[35] focus on
classical deterrence theory, and Aytes and Connolly [4] apply
the Rational Choice
Model. Thus, excluding Straub [34], Straub and Welke [35], and
Aytes and Connolly
[4], the prior approaches do not offer an exploratory model or
evidence of what
factors affect employees' information security policy
compliance. This study aims to
fill this gap.
3 The research model
The theoretical model combines PMT, TRA and GDT. PMT is
best known for its use
in health science: it has been used to motivate people to avoid
unhealthy behavior.
PMT is divided into two components: threat appraisal and
coping appraisal. The
former is ftirther divided into threat and coping appraisal, while
the latter consists of
self-efficacy, response efficacy and response costs. PMT
emphasizes the changes
produced by persuasive communications [27]. Persuasive
communications is based
on interacting, aiming to alter the way people think, feel or
behave. Thus, the goal of
136 Mikko Siponen, Seppo Pahnila and Adam Mahmood
persuasion is to motivate or to influence an individual's attitude
or behavior in a
predetermined way.
'Intention to comply with information security policies' and
'actual compliance
with information security policies' are based on TRA [8].
Attitude indicates a
person's positive or negative feelings toward some stimulus
object [2]. According to
Ajzen [2], 'intentions' captures the motivational factors that
influence a behavior,
and they indicate how hard people are willing to try to perform
the behavior in
question. According to TRA, the stronger the intention to
engage in a behavior, the
more likely the behavior is to be carried out. According to our
model, the stronger
the intention to comply with information security policies is,
the more likely it is that
the individual will actually comply with the information
security policies.
Threat appraisal consists of two dimensions: perceived
vulnerability and
perceived severity. Perceived vulnerability means conditional
probability that a
negative event will take place if no measures are taken to
encounter it [25]. In the
context of our study, the negative event is any information
security threat. Therefore,
in the context of our study, perceived vulnerability refers to
employees' perceived
assessment of whether their organization is vulnerable to
information security
threats, which will take place if no measures are taken to
counter them.
Perceived severity, on the other hand, refers to the degree of
both physical and
psychological harm the threat can cause [25]. In our study, it
refers to potential harm
caused by information security breaches in the organization
context. Here our
assumption is that if organizations' employees do not realize
that they are really
confronted by information security threats (threat appraisal) and
if they do not feel
that these threats can cause consequences with a destructive
impact on the
organization (perceived severity), they will not comply with
information security
policies. Therefore, we hypothesize:
HI: Threat appraisal affects employees' intention to comply with
information
security policies.
Coping appraisal is a measure consisting of three dimensions:
response
efficacy, self-efficacy, and response cost [26], [27]. Response
efficacy relates to the
belief in the perceived benefits of the coping action [26], that
is, belief that carrying
out the coping action will remove the threat. In our study, it
means that adherence to
information security policies is an effective mechanism for
detecting an information
security threat. Self-efficacy emphasizes the individual's ability
or judgment of their
capabilities to perform the coping response actions [6]. Placing
self-efficacy theory
in the context of our study, it refers to workers' beliefs in
whether they can apply and
adhere to information security policies; this belief will lead to
compliance with these
policies. Maddux and Rogers [19] found in their study that self-
efficacy was the
most powerful predictor of intention. In our study, the response
costs were not
studied.
Therefore, we hypothesize:
H2: Self-efficacy affects employees' intention to comply with
information security
policies.
Employees' Adherence to Information Security Policies: An
Empirical Study 137
H3: Response efficacy affects employees' intention to comply
with information
security policies.
Sanctions. The concept of deterrence has been a key focus of
criminological
theories for more than thirty years. One of the leading theories
in the field is GDT,
which was originally developed for controlling criminal
behavior [14]. Traditionally,
the classical deterrence theory suggests that certainty, severity,
and celerity of
punishment affect people's decisions on whether to commit a
crime or not [14].
Certainty means that an individual believes that his or her
criminal behavior will be
detected, while severity means that it will be harshly punished.
Celerity signifies that
the sanctions will occur quickly. Straub [34] found that stating
penalties for
information security policy non-compliance increases proper
information security
behavior. However, studies by Straub [34] and Straub and
Welke [35] employ what
Higgins et al. [14] refer to as the classical deterrence theory.
Therefore, these
seminal studies by Straub [34], [35] do not address three
important components of
contemporary GDT: social disapproval, self-disapproval and
impulsivity. Social
disapproval refers to the degree to which family members,
friends and co-workers
disapprove of the action. Self-disapproval refers to an
individual's feeling of shame,
guilt, and embarrassment about an action, while impulsivity
means low self-control,
that is, the inability of an individual to resist a temptation
toward criminal behavior
when an opportunity for it exists. This leads to the following
hypothesis:
H4. Sanctions affect employees' actual compliance with
information security
policies.
Intentions indicate people's willingness to try to perform the
behavior in
question [2], adherence to information security policies in this
case. Rogers and
Prentice-Dunn [27] suggest that the intentions are the most
applicable measure of
protection motivation. Previous research on technology
acceptance, for instance,
shows that intentions are good predictors of actual behavior
[38], which, in the
context of our study, is adherence to information security
policies. Moreover, in our
study, behavioral intention is an indicator of the effects of
persuasion related to
information security policies. Thus we can hypothesize:
H5. Employees' intention to comply with information security
policies affects
actual compliance with information security policies.
4 Research methods and results
According to Straub [33] and Boudreau et al. [7], using
validated and tested
questions will improve the reliability of constructs and results.
Accordingly, we used
items that have been tried and tested by previous studies, when
available (Table 1).
138 Mikko Siponen, Seppo Pahnila and Adam Mahmood
Table 1. Constructs and their theoretical background
Construct Theoretical background Adapted from
Intention to comply TRA [1]
Actual compliance TRA [18]
Threat and copying appraisal PMT [27]
Sanctions GDT [14]
All the items are measured using a standard seven-point Likert
scale (strongly
disagree - strongly agree). Since the measures presented in
Table 1 are not
previously tested in the context of information security policy
compliance, the
present research tests these measures in the information security
context. Hence, the
questions were pilot tested using 15 people. Based on their
feedback, the readability
factor of the questions was improved. The data was collected
from four Finnish
companies. A total of 3130 respondents were asked to fill out
the web-based
questionnaire. The distribution of the respondents was quite
geographically spread
all over Finland. Taking into consideration missing data and
invalid responses we
had a total sum of reliable responses of 917, the response rate
being 29.3%. 56.1%
were males and 43.9% females.
Reliability and validity. The data analysis was conducted using
SPSS 14.0 and
AMOS 6.0 structural equation modeling software (SEM). The
mean, standard
deviation and correlations of the constructs are shown in Table
2. The content
validity of the instrument was ensured by the pilot test as
discussed above.
Convergent validity was ensured by assessing the factor
loadings and by calculating
variance extracted. We conducted a single confirmatory factor
analysis for each of
the constructs. As Table 2 shows all the model items loaded
well, exceeding 0.50
[12]. Divergent validity was assessed by computing the
correlations between
constructs. Correlations between all pairs of constructs were
below the threshold
value of 0.90. The variance extracted of all the constructs
exceeded 0.5 [13]. Internal
consistency reliability among the items was assessed by
calculating Cronbach's
alpha. As Table 3 shows, Cronbach's alpha exceeded the
suggested value of 0.60 for
all constructs [12]. Hence, the reliability and validity of the
constructs in the model
are acceptable.
Table 2. Mean, standard deviation and correlations of the
constructs.
Construct Mean Standard 1. 2. 3. 4. 5. 6.
deviation
1. Actual compliance 6.16 0.98 1
2. Intention to comply 6.35 0.88 0.848 1
3. Threat appraisal 5.72 0.99 0.374 0.351 1
4. Response efficacy 4.75 1.43 0.203 0.193 0.215 1
5. Self-efficacy 5.89 1.02 0.407 0.402 0.322 0.256 1
6. Sanctions 3.80 1.58 0.217 0.132 0.333 0.156 0.140 1
Employees' Adherence to Information Security Policies: An
Empirical Study 139
Table 3. Convergent validity and internal consistency and
reliability.
Construct Items Factor Variance Cronbach's alpha
loading extracted
Actual compliance Actcompl 0.65 0.81 0.84
Actcomp2 0.88
ActcompS 0.89
Intention to comply Intcompl 0.71 0.80 0.85
Intcomp2 0.86
IntcompS 0.84
Threat appraisal Thrapprl 0.54 0.62 0.76
Thrappr2 0.65
ThrapprS 0.60
Thrappr4 0.61
Thrappr5 0.70
Thrappr6 Dropped
Response efficacy Respeffil 0.73 0.75 0.80
Respeffi2 0.88
Respeffi3 0.66
Self-efficacy Selfeffil Dropped 0.85 0.83
Selfeffi2 0.89
Selfeffi3 0.80
Sanctions Sanctiol 0.91 0.83 0.90
Sanctio2 0.96
Sanctio3 0.89
Sanctio4 Dropped
Sanctio5 0.59
Sanctio6 Dropped
The model was assessed using the maximum likelihood method.
The fitness of
the model was tested in structural equation modeling using
goodness-of-fit criteria,
which in practice indicate the degree of compatibility between
the proposed model
and the observed covariances and correlations.
140 Mikko Siponen, Seppo Pahnila and Adam Mahmood
Table 4. Convergent validity and internal consistency and
reliability.
Model Criteria
X
̂ 8.361
df 3
p 0.039
CMIN/DF 2,787 2-3
CFI 0.997 >0.9
NFI 0.995 >0.9
RMSEA 0.044 <0.05
The fit indexes (Table 4) chosen for this study are based on the
literature, and
represent three different fit characteristics: absolute fit,
comparative fit measures and
global fit measures. The chi-square test (x2) with degrees of
freedom, p-value and
sample size is commonly used for absolute model fit criteria
[15, 28]. Root mean
square error of approximation fit index (RMSEA) is used to
assess the error due to
the simplifying of the model. The Comparative Fit Index (CFI)
and Normed Fit
Index (NFI) are recommended for model comparison, for
comparison between the
hypothesized and independent models [15, 28]. Overall
goodness of fit was assessed
with relative chi-square; x2/ciegree of freedom (CMIN/DF). The
fit indices indicate
that the research model provides a good fit with the data.
f Inreat  Q24***
 ^ appraisal y^^^^^^
^^'^^-v^^^ 0.22
f Response  ^ ^ ^ ^ / ^ Intention to comply >v
 ^ ^ efficacy ^ ^ • ^ f with IS security )
0 . 3 1 * * * ^ ^ ^ , . . . - - - ' ' - ' ' ' ' ^ ^ ^ policies ^ y
f Self-efficacy ^ C ^ 0 98***
 ^ y ^ 0.71
CActual compliance ^  with IS security J
policies >^
/̂ sanctions  ^ ^ ^ ^ ^ ^
Fig. 1. The research model.
The research model yielded a x2 value of 8.361 with 3 degrees
of freedom, with a
p value of 0.039 (Fig. 1). The findings indicate that the direct
path from threat
appraisal (6 = 0.24) to intention to comply with IS security
policies is significant.
The correlation (Table 2) between threat appraisal and intention
to comply with IS
Employees' Adherence to Information Security Policies: An
Empirical Study 141
security policies was quite high (0.351), explaining alone about
12.3% of the
variance in intention to comply with IS security policies.
Response efficacy (B =
0.06) and self-efficacy (13 = 0.31) also have a significant effect
on intention to
comply with IS security policies. Sanctions (13 = 0.09) have a
significant effect on
actual compliance with IS security policies. Intention to comply
with IS security
policies (13 = 0.98) has a significant effect on actual
compliance with IS security
policies. In all, the research model accounts for 71% (R2 =
0.71) of the variance in
actual compliance.
5 Conclusive discussion
The literature agrees that the major threat to information
security is constituted by
careless employees who do not comply with organizations'
information security
policies and procedures. Hence, employees have not only to be
aware of, but also to
comply with organizations' information security policies and
procedures. To address
this important concern, different information security
awareness, education and
enforcement approaches have been proposed. Prior research on
information security
policy compliance has criticized these extant information
security policy compliance
approaches as lacking (1) theoretically and (2) empirically
grounded principles to
ensure that employees comply with information security
policies. To address these
two problems in the current research, this study first put
forward a new model in
order to explain employees' information security compliance.
This model combined
the Protection Motivation Theory, the Theory of Reasoned
Action and the General
Deterrence Theory. Second, to validate this model empirically,
we collected data (N
= 917) from four companies.
We found that threat appraisal has a significant impact on
intention to comply
with information security policies. Hence, it is important that
employees are made
aware of the information security threats and their severity and
celerity for the
organization. To be more precise, our findings suggest that
practitioners should
emphasize to the employees that not only are information
security breaches
becoming more and more serious for the business of
organizations, but their severity
to the business of the organization is also increasing.
Self-efficacy, referring to employees' beliefs in whether they
can apply and
adhere to information security policies, will lead to compliance
with these policies in
the context of our study, and has a significant impact on
intention to comply with
information security policies. This finding stresses the
perceived relevance of
information security policies. If employees do not perceive
information security
policies as relevant and sufficiently up-to-date for their work,
they will not adhere to
the policies. Yet it also suggests that it is important to ensure
through information
security education or verbal persuasion, for example, that
employees really can use
information security measures.
Our results show that response efficacy has a significant effect
on intention to
comply with information security policies. In order to minimize
IS security breaches,
first it is important that the organization's IS security personnel
is aware of IS
142 Mikko Siponen, Seppo Pahnila and Adam Mahmood
security threats and knows how to react them. Second, IS
security policy should be
clear and up-to-date, and third, employees should comply with
IS security policies.
Sanctions have a significant impact on actual compliance with
information
security policies. This means in practice that practitioners need
to state the sanctions
for information security policy non-compliance in a visible
manner. In particular, it
is important to get employees to believe that their non-
compliance with information
security policies will be detected and severe legal sanctions will
take place. The
findings also suggest that the detection must occur quickly.
Also, on the basis of our
findings, information security practitioners should realize that
social pressure
(sanctions: social disapproval) towards information security
policy compliance from
top management, the employee's immediate supervisor, peers
and information
security staff is important for ensuring employees' information
security policy
compliance. This is consistent with the findings that social
environment has an effect
on individuals' behavior [2]. To create and ensure such verbal
persuasion, top
management, immediate supervisors and information security
staff should clearly
and explicitly explain the importance of complying with
information security polices
to their employees. This finding has implications for the
information security
education strategy of organizations. In the light of our finding,
organizations should
pay special attention to educating top management, supervisors
and information
security staff in order that they can spread the word on the
importance of adherence
to information security policies, and hence create social
pressure towards
information security policy compliance. This is good news for
large corporations
who may face difficulties educating all their employees.
Finally, intention to comply with information security policies
has a significant
impact on actual compliance with information security policies.
Intention is a
motivational factor that influences a behavior by indicating how
hard people are
willing to try and how much of an effort they are planning to
exert in order to
perform the behavior. The stronger the intention to engage in
the behavior, the more
likely it is to be performed [2].
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Clinical Field Experience A Assessment Strate.docx

  • 1. Clinical Field Experience A: Assessment Strategies for Diverse Students Chart Part I: Gathering Classroom Data Directions: Allocate at least 5 hours in the field to support this field experience. Observe your mentor teacher and in collaboration with your mentor teacher review the areas below to obtain the data needed based on your mentor teacher’s class. No names should be used to protect the confidentiality of all students. Classroom Data 50-100 Words Describing Class Demographics(i.e., racial or ethnic demographics, socioeconomic status, funding, level of community support, facilities and infrastructure, etc.) 50-100 Words Describing Individual Students’ Learning Needs(i.e., numbers and specific needs of students who are English learners and/or who receive special education services and any other forms of diversity you encounter) Part II: Instructional Planning and Assessment to Meet the Needs of Your Classroom
  • 2. Directions: Now that you have gathered data based on your mentor teacher’s class, answer the following reflective questions. Each response should be supported with at least one scholarly source – at least three scholarly sources in total. In 100-150 words, discuss evidence-based instructional strategies, resources, and technological tools you would use to support the students in the mentor teacher’s class. How would you use these strategies, resources, and technological tools to meet the needs of all students in the class? Provide specific examples based on the classroom profile. Provide at least one academic in-text citation to support your response. In 100-150 words, describe one learning activity you would implement to engage the mentor teacher’s students in multiple ways that allows all students to demonstrate their knowledge and skills. Identify an aligned state or national standard for the activity. Include at least one academic in-text citation to support your response. In 100-150 words, describe one assessment you might implement based on the learning activity from your response above. How does this assessment support your mentor teacher’s students and their diverse learning needs? How does this assessment engage students in multiple ways of demonstrating knowledge and skills? Provide at least one academic in-text citation to support your response. References © 2019 Grand Canyon University. All Rights Reserved © 2019 Grand Canyon University. All Rights Reserved.
  • 3. Employees' Adherence to Information Security Policies: An Empirical Study Mikko Siponen', Seppo Pahnila and Adam Mahmood^ 1 Department of Information Processing Science, The University of Oulu, Finland, {mikko.siponen, seppo.pahnila}@oulu.fi 2 Department of Information and Decision Sciences, University of Texas at El Paso, [email protected] Abstract. The key threat to information security is constituted by careless employees who do not comply with information security policies. To ensure that employees comply with organizations' information security procedures, a number of information security policy compliance measures have been proposed in the past. Prior research has criticized these measures as lacking theoretically and empirically grounded principles to ensure that employees comply with information security policies. To fill this gap in research, this paper advances a new model that explains employees' adherence to information security policies. In this model, we extend the Protection Motivation Theory (PMT) by integrating the General Deterrence Theory (GDT) and the Theory of Reasoned Action (TRA) with PMT. To
  • 4. test this model, we collected data (N = 917) from four different companies. The results show that threat appraisal, self-efficacy and response efficacy have a significant impact on intention to comply with information security policies. Sanctions have a significant impact on actual compliance with information security policies. Intention to comply with information security policies also has a significant impact on actual compliance with information security policies. 1 Introduction Up to 90% of organizations confront at least one information security incident within any given year [5, p. 684]. To cope with the increase in information security threats, not only technical solutions, but also information management methods and policies have been proposed. Employees, however, seldom comply with these information security procedures and techniques, placing the organizations' assets and business in danger [32, p. 125]. To address this concern, several information security compliance approaches have been proposed. Aytes and Connolly [3], Siponen [29] and Puhakainen [24] have criticized these extant approaches as lacking not only Please use the following format when citing this chapter:
  • 5. Siponen, M., Pahnila, S., and Mahmood, A., 2007, in IFIP International Federation for Information Processing, Volume 232, New Approaches for Security, Privacy and Trust in Complex Environments, eds. Venter, H., Eloff, M., Labuschagne, L., Eloff, J., von Solms, R., (Boston: Springer), pp. 133-144. mailto:[email protected] 134 Mikko Siponen, Seppo Pahnila and Adam Mahmood theoretically grounded methods, but also empirical evidence on their effectiveness. In fact, only three approaches [4], [34], [35] meet these important criteria. This paper fills this gap in research by first building a new theoretical model, explaining how employees' compliance with information security policies and guidelines can be improved. In this model, we combine PMT with the modern GDT and TRA. The model is then validated using an empirical study. The results of this study are of relevance to researchers and practitioners. Since the extant studies on information security policy compliance present only anecdotal information on the factors explaining employees' adherence to information security policies with three exceptions mentioned above, it is of utmost importance to study this issue. This information is also useful for practitioners who want to obtain empirically proven information on how they can improve their employees'
  • 6. adherence to information security policies, and hence improve the information security of their organizations. The paper is organized as follows. The second section reviews previous works. The third section proposes the research model and the fourth discusses the research methodology. The results are presented in the fifth section. The sixth section discusses the implications of the study. 2 Previous work on information security policy compliance To understand the fundamental limitations of the extant works on information security policy compliance, these works have been divided into three categories: (1) conceptual principles without an underlying theory and empirical evidence; (2) theoretical models without empirical support; (3) empirical support grounded upon theories. These categories are discussed next. Conceptual principles present practical principles and suggestions for improving employees' compliance with information security polices. These studies include generic information security awareness training programs by Sommers and Robinson [30], McCoy and Fowler [20 p. 347], Thomson and von Solms [36], McLean [21], Spurling [31, p. 20], and Parker [22, p. 464]. Perry [23, pp. 94-95] offers practical principles for the improvement of
  • 7. information security behavior: highlighting information security violations, sending managers to information security seminars, and getting consultants to evaluate the information security state of the organization. Gaunt [11], Furnell, Sanders and Warren [10] and Katsikas [16] all propose information security awareness programs for improving information security behavior in healthcare contexts. Furnell et al. [9] propose the use of information security training software that helps users to become aware of potential risks and the corresponding information security countermeasures. Finally, Wood [39] suggests 53 means for ensuring that employees comply with information security procedures, such as information security advertisements on coffee mugs. While all the above propose interesting principles for increasing information security awareness, none of them are theoretically grounded or offer empirical evidence to support their principles in practice. Employees' Adherence to Information Security Policies: An Empirical Study 135 Theoretical models without empirical support contain studies that contribute to the creation of theoretical insights on how employees' information security policy compliance can be increased. Aytes and Connolly's [3] study
  • 8. suggests that the perceived probability and desirability of the outcomes of the individuals' choices explains users' security behavior. Lee and Lee [17] use the social bonds theory, the theory of planned behavior, the social learning theory, and GDT to explain computer crimes, while Siponen [29] suggests the use of the theory of planned behavior, the theory of intrinsic motivation, and need-based theories to ensure that employees follow information security policies and guidelines. Thomson and von Solms [37] suggest the use of social psychology to improve employees' information security behavior. To summarize, while these works contribute to the creation of theoretical insights on how employees' information security compliance can be increased, they are lacking empirical evidence on their practical usefulness. Empirical works grounded upon theories include Aytes and Connolly [4], Straub [34], Straub and Welke [35] and Woon et al. [40]. Aytes and Connolly [4] use the Rational Choice Model to explain why workers violate information security procedures. Straub [34] and Straub and Welke [35] use the GDT to investigate whether investment in information security measures reduces computer abuse. Weekly hours dedicated to information security, dissemination of information security polices and guidelines, stating penahies for non-
  • 9. compliance, and the use of information security software were found to be most effective deterrents [34, p. 272- 273]. Finally, Woon et al. [40] found that the perceived severity of the information security threat, effectiveness of response, perceived capability to use the security features (self-efficacy) and the cost of using the security features (response cost) affect home users' decisions on whether or not to use security features. To summarize the literature review, while several information security awareness, education and enforcement approaches exist, only four approaches are theoretically and empirically grounded. Of these three, Woon et al. [40] study wireless network users, while Straub [34] and Straub and Welke [35] focus on classical deterrence theory, and Aytes and Connolly [4] apply the Rational Choice Model. Thus, excluding Straub [34], Straub and Welke [35], and Aytes and Connolly [4], the prior approaches do not offer an exploratory model or evidence of what factors affect employees' information security policy compliance. This study aims to fill this gap. 3 The research model The theoretical model combines PMT, TRA and GDT. PMT is best known for its use in health science: it has been used to motivate people to avoid unhealthy behavior.
  • 10. PMT is divided into two components: threat appraisal and coping appraisal. The former is ftirther divided into threat and coping appraisal, while the latter consists of self-efficacy, response efficacy and response costs. PMT emphasizes the changes produced by persuasive communications [27]. Persuasive communications is based on interacting, aiming to alter the way people think, feel or behave. Thus, the goal of 136 Mikko Siponen, Seppo Pahnila and Adam Mahmood persuasion is to motivate or to influence an individual's attitude or behavior in a predetermined way. 'Intention to comply with information security policies' and 'actual compliance with information security policies' are based on TRA [8]. Attitude indicates a person's positive or negative feelings toward some stimulus object [2]. According to Ajzen [2], 'intentions' captures the motivational factors that influence a behavior, and they indicate how hard people are willing to try to perform the behavior in question. According to TRA, the stronger the intention to engage in a behavior, the more likely the behavior is to be carried out. According to our model, the stronger the intention to comply with information security policies is, the more likely it is that the individual will actually comply with the information
  • 11. security policies. Threat appraisal consists of two dimensions: perceived vulnerability and perceived severity. Perceived vulnerability means conditional probability that a negative event will take place if no measures are taken to encounter it [25]. In the context of our study, the negative event is any information security threat. Therefore, in the context of our study, perceived vulnerability refers to employees' perceived assessment of whether their organization is vulnerable to information security threats, which will take place if no measures are taken to counter them. Perceived severity, on the other hand, refers to the degree of both physical and psychological harm the threat can cause [25]. In our study, it refers to potential harm caused by information security breaches in the organization context. Here our assumption is that if organizations' employees do not realize that they are really confronted by information security threats (threat appraisal) and if they do not feel that these threats can cause consequences with a destructive impact on the organization (perceived severity), they will not comply with information security policies. Therefore, we hypothesize: HI: Threat appraisal affects employees' intention to comply with information security policies.
  • 12. Coping appraisal is a measure consisting of three dimensions: response efficacy, self-efficacy, and response cost [26], [27]. Response efficacy relates to the belief in the perceived benefits of the coping action [26], that is, belief that carrying out the coping action will remove the threat. In our study, it means that adherence to information security policies is an effective mechanism for detecting an information security threat. Self-efficacy emphasizes the individual's ability or judgment of their capabilities to perform the coping response actions [6]. Placing self-efficacy theory in the context of our study, it refers to workers' beliefs in whether they can apply and adhere to information security policies; this belief will lead to compliance with these policies. Maddux and Rogers [19] found in their study that self- efficacy was the most powerful predictor of intention. In our study, the response costs were not studied. Therefore, we hypothesize: H2: Self-efficacy affects employees' intention to comply with information security policies. Employees' Adherence to Information Security Policies: An Empirical Study 137
  • 13. H3: Response efficacy affects employees' intention to comply with information security policies. Sanctions. The concept of deterrence has been a key focus of criminological theories for more than thirty years. One of the leading theories in the field is GDT, which was originally developed for controlling criminal behavior [14]. Traditionally, the classical deterrence theory suggests that certainty, severity, and celerity of punishment affect people's decisions on whether to commit a crime or not [14]. Certainty means that an individual believes that his or her criminal behavior will be detected, while severity means that it will be harshly punished. Celerity signifies that the sanctions will occur quickly. Straub [34] found that stating penalties for information security policy non-compliance increases proper information security behavior. However, studies by Straub [34] and Straub and Welke [35] employ what Higgins et al. [14] refer to as the classical deterrence theory. Therefore, these seminal studies by Straub [34], [35] do not address three important components of contemporary GDT: social disapproval, self-disapproval and impulsivity. Social disapproval refers to the degree to which family members, friends and co-workers disapprove of the action. Self-disapproval refers to an individual's feeling of shame, guilt, and embarrassment about an action, while impulsivity means low self-control,
  • 14. that is, the inability of an individual to resist a temptation toward criminal behavior when an opportunity for it exists. This leads to the following hypothesis: H4. Sanctions affect employees' actual compliance with information security policies. Intentions indicate people's willingness to try to perform the behavior in question [2], adherence to information security policies in this case. Rogers and Prentice-Dunn [27] suggest that the intentions are the most applicable measure of protection motivation. Previous research on technology acceptance, for instance, shows that intentions are good predictors of actual behavior [38], which, in the context of our study, is adherence to information security policies. Moreover, in our study, behavioral intention is an indicator of the effects of persuasion related to information security policies. Thus we can hypothesize: H5. Employees' intention to comply with information security policies affects actual compliance with information security policies. 4 Research methods and results According to Straub [33] and Boudreau et al. [7], using validated and tested questions will improve the reliability of constructs and results. Accordingly, we used items that have been tried and tested by previous studies, when
  • 15. available (Table 1). 138 Mikko Siponen, Seppo Pahnila and Adam Mahmood Table 1. Constructs and their theoretical background Construct Theoretical background Adapted from Intention to comply TRA [1] Actual compliance TRA [18] Threat and copying appraisal PMT [27] Sanctions GDT [14] All the items are measured using a standard seven-point Likert scale (strongly disagree - strongly agree). Since the measures presented in Table 1 are not previously tested in the context of information security policy compliance, the present research tests these measures in the information security context. Hence, the questions were pilot tested using 15 people. Based on their feedback, the readability factor of the questions was improved. The data was collected from four Finnish companies. A total of 3130 respondents were asked to fill out the web-based questionnaire. The distribution of the respondents was quite geographically spread all over Finland. Taking into consideration missing data and invalid responses we had a total sum of reliable responses of 917, the response rate being 29.3%. 56.1% were males and 43.9% females.
  • 16. Reliability and validity. The data analysis was conducted using SPSS 14.0 and AMOS 6.0 structural equation modeling software (SEM). The mean, standard deviation and correlations of the constructs are shown in Table 2. The content validity of the instrument was ensured by the pilot test as discussed above. Convergent validity was ensured by assessing the factor loadings and by calculating variance extracted. We conducted a single confirmatory factor analysis for each of the constructs. As Table 2 shows all the model items loaded well, exceeding 0.50 [12]. Divergent validity was assessed by computing the correlations between constructs. Correlations between all pairs of constructs were below the threshold value of 0.90. The variance extracted of all the constructs exceeded 0.5 [13]. Internal consistency reliability among the items was assessed by calculating Cronbach's alpha. As Table 3 shows, Cronbach's alpha exceeded the suggested value of 0.60 for all constructs [12]. Hence, the reliability and validity of the constructs in the model are acceptable. Table 2. Mean, standard deviation and correlations of the constructs. Construct Mean Standard 1. 2. 3. 4. 5. 6. deviation 1. Actual compliance 6.16 0.98 1 2. Intention to comply 6.35 0.88 0.848 1
  • 17. 3. Threat appraisal 5.72 0.99 0.374 0.351 1 4. Response efficacy 4.75 1.43 0.203 0.193 0.215 1 5. Self-efficacy 5.89 1.02 0.407 0.402 0.322 0.256 1 6. Sanctions 3.80 1.58 0.217 0.132 0.333 0.156 0.140 1 Employees' Adherence to Information Security Policies: An Empirical Study 139 Table 3. Convergent validity and internal consistency and reliability. Construct Items Factor Variance Cronbach's alpha loading extracted Actual compliance Actcompl 0.65 0.81 0.84 Actcomp2 0.88 ActcompS 0.89 Intention to comply Intcompl 0.71 0.80 0.85 Intcomp2 0.86 IntcompS 0.84 Threat appraisal Thrapprl 0.54 0.62 0.76 Thrappr2 0.65 ThrapprS 0.60 Thrappr4 0.61 Thrappr5 0.70 Thrappr6 Dropped Response efficacy Respeffil 0.73 0.75 0.80 Respeffi2 0.88 Respeffi3 0.66 Self-efficacy Selfeffil Dropped 0.85 0.83
  • 18. Selfeffi2 0.89 Selfeffi3 0.80 Sanctions Sanctiol 0.91 0.83 0.90 Sanctio2 0.96 Sanctio3 0.89 Sanctio4 Dropped Sanctio5 0.59 Sanctio6 Dropped The model was assessed using the maximum likelihood method. The fitness of the model was tested in structural equation modeling using goodness-of-fit criteria, which in practice indicate the degree of compatibility between the proposed model and the observed covariances and correlations. 140 Mikko Siponen, Seppo Pahnila and Adam Mahmood Table 4. Convergent validity and internal consistency and reliability. Model Criteria X ̂ 8.361 df 3 p 0.039 CMIN/DF 2,787 2-3 CFI 0.997 >0.9 NFI 0.995 >0.9 RMSEA 0.044 <0.05 The fit indexes (Table 4) chosen for this study are based on the literature, and
  • 19. represent three different fit characteristics: absolute fit, comparative fit measures and global fit measures. The chi-square test (x2) with degrees of freedom, p-value and sample size is commonly used for absolute model fit criteria [15, 28]. Root mean square error of approximation fit index (RMSEA) is used to assess the error due to the simplifying of the model. The Comparative Fit Index (CFI) and Normed Fit Index (NFI) are recommended for model comparison, for comparison between the hypothesized and independent models [15, 28]. Overall goodness of fit was assessed with relative chi-square; x2/ciegree of freedom (CMIN/DF). The fit indices indicate that the research model provides a good fit with the data. f Inreat Q24*** ^ appraisal y^^^^^^ ^^'^^-v^^^ 0.22 f Response ^ ^ ^ ^ / ^ Intention to comply >v ^ ^ efficacy ^ ^ • ^ f with IS security ) 0 . 3 1 * * * ^ ^ ^ , . . . - - - ' ' - ' ' ' ' ^ ^ ^ policies ^ y f Self-efficacy ^ C ^ 0 98*** ^ y ^ 0.71 CActual compliance ^ with IS security J policies >^ /̂ sanctions ^ ^ ^ ^ ^ ^
  • 20. Fig. 1. The research model. The research model yielded a x2 value of 8.361 with 3 degrees of freedom, with a p value of 0.039 (Fig. 1). The findings indicate that the direct path from threat appraisal (6 = 0.24) to intention to comply with IS security policies is significant. The correlation (Table 2) between threat appraisal and intention to comply with IS Employees' Adherence to Information Security Policies: An Empirical Study 141 security policies was quite high (0.351), explaining alone about 12.3% of the variance in intention to comply with IS security policies. Response efficacy (B = 0.06) and self-efficacy (13 = 0.31) also have a significant effect on intention to comply with IS security policies. Sanctions (13 = 0.09) have a significant effect on actual compliance with IS security policies. Intention to comply with IS security policies (13 = 0.98) has a significant effect on actual compliance with IS security policies. In all, the research model accounts for 71% (R2 = 0.71) of the variance in actual compliance. 5 Conclusive discussion The literature agrees that the major threat to information
  • 21. security is constituted by careless employees who do not comply with organizations' information security policies and procedures. Hence, employees have not only to be aware of, but also to comply with organizations' information security policies and procedures. To address this important concern, different information security awareness, education and enforcement approaches have been proposed. Prior research on information security policy compliance has criticized these extant information security policy compliance approaches as lacking (1) theoretically and (2) empirically grounded principles to ensure that employees comply with information security policies. To address these two problems in the current research, this study first put forward a new model in order to explain employees' information security compliance. This model combined the Protection Motivation Theory, the Theory of Reasoned Action and the General Deterrence Theory. Second, to validate this model empirically, we collected data (N = 917) from four companies. We found that threat appraisal has a significant impact on intention to comply with information security policies. Hence, it is important that employees are made aware of the information security threats and their severity and celerity for the organization. To be more precise, our findings suggest that practitioners should emphasize to the employees that not only are information
  • 22. security breaches becoming more and more serious for the business of organizations, but their severity to the business of the organization is also increasing. Self-efficacy, referring to employees' beliefs in whether they can apply and adhere to information security policies, will lead to compliance with these policies in the context of our study, and has a significant impact on intention to comply with information security policies. This finding stresses the perceived relevance of information security policies. If employees do not perceive information security policies as relevant and sufficiently up-to-date for their work, they will not adhere to the policies. Yet it also suggests that it is important to ensure through information security education or verbal persuasion, for example, that employees really can use information security measures. Our results show that response efficacy has a significant effect on intention to comply with information security policies. In order to minimize IS security breaches, first it is important that the organization's IS security personnel is aware of IS 142 Mikko Siponen, Seppo Pahnila and Adam Mahmood security threats and knows how to react them. Second, IS security policy should be
  • 23. clear and up-to-date, and third, employees should comply with IS security policies. Sanctions have a significant impact on actual compliance with information security policies. This means in practice that practitioners need to state the sanctions for information security policy non-compliance in a visible manner. In particular, it is important to get employees to believe that their non- compliance with information security policies will be detected and severe legal sanctions will take place. The findings also suggest that the detection must occur quickly. Also, on the basis of our findings, information security practitioners should realize that social pressure (sanctions: social disapproval) towards information security policy compliance from top management, the employee's immediate supervisor, peers and information security staff is important for ensuring employees' information security policy compliance. This is consistent with the findings that social environment has an effect on individuals' behavior [2]. To create and ensure such verbal persuasion, top management, immediate supervisors and information security staff should clearly and explicitly explain the importance of complying with information security polices to their employees. This finding has implications for the information security education strategy of organizations. In the light of our finding, organizations should pay special attention to educating top management, supervisors
  • 24. and information security staff in order that they can spread the word on the importance of adherence to information security policies, and hence create social pressure towards information security policy compliance. This is good news for large corporations who may face difficulties educating all their employees. Finally, intention to comply with information security policies has a significant impact on actual compliance with information security policies. Intention is a motivational factor that influences a behavior by indicating how hard people are willing to try and how much of an effort they are planning to exert in order to perform the behavior. The stronger the intention to engage in the behavior, the more likely it is to be performed [2]. 6 References 1. Agarwal, R. and J. Prasad, Conceptual and Operational Definition of Personal Innovativeness in the Domain of Information Technology. Information Systems Research, 1998. 9(2): p. 204-215. 2. Ajzen, I., "The Theory of Planned Behavior", Organizational Behavior and Human Decision Processes 50X 1991, 179-211. 3. Aytes, K. and Connolly, T., "A Research Model for Investigating Human Behavior Related to Computer Security", Proceedings of the 2003 American
  • 25. Conference On Information Systems, Tampa, FL, August 4-6. 2003. 4. Aytes, K. and Connolly, T., "Computer and Risky Computing Practices: A Rational Choice Perspective", Journal of Organizational and End User Computing, 16,2, 2004, 22-40. 5. Bagchi, K. and Udo, G., "An analysis of the growth of computer and Internet security breaches". Communications ofAIS 12, 2003, 684-700. 6. Bandura, A., "Self-Efficacy: Toward a Unifying Theory of Behaviour Change", Psychological Review 84, 2, 1977, 191-215. Employees' Adherence to Information Security Policies: An Empirical Study 143 7. Boudreau, M.-C, Gefen, D. and Straub, D. W., "Validation in information systems research: A state-of-the-art assessment." MIS Quarterly 25, 1, 2001, 1-16. 8. Fishbein, M. and Ajzen, I., Belief, Attitude, Intention and Behavior: An Introduction to Theory and Research. MA, Addison-Wesley. 1975. 9. Furnell, S. M., Gennatou, M. and Dowland P. S., "A prototype tool for information security awareness and training". International Journal of Logistics Information Management, 15, 5, 2002, 352-357.
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