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Legal, ethical & professional issues
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I ELLINOIS T UINS TI T
OF TECHNOLOGY
ITM 478/578 1
Legal, Ethical & Professional Issues
Ray Trygstad
ITM 478 / IT 478 / ITM 578 Spring 2005
Information Technology & Management Programs
CenterforProfessional Development
Slides based on Whitman, M. and Mattord, H., Principles of InformationSecurity; Thomson Course Technology 2003
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Objectives
Upon completion of this lesson
students should be able to:
– Differentiate between laws and ethics
– Identify major national laws that relate
to the practice of information security
– Discuss the role of culture as it applies
to ethics in information security
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Law and Ethics in Information Security
Laws - rules adopted for determining
expected behavior
– Laws drawn from ethics
Ethics define socially acceptable
behaviors
Ethics based on cultural mores:
fixed moral attitudes or customs of
a particular group
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Types of Law
Civil law
Criminal law
Tort law
Private law
Public law
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Relevant U.S. Laws - General
Computer Fraud and Abuse Act of 1986
National Information Infrastructure
Protection Act of 1996
USA Patriot Act of 2001
Telecommunications Deregulation and
Competition Act of 1996
Communications Decency Act (CDA)
Computer Security Act of 1987
Digital Millennium Copyright Act of 1998
Sarbanes-Oxley Act of 2002
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Privacy
Privacy: one of the hottest topics in
information
Ability to collect information, combine facts
from separate sources, and merge with other
information results in collections of
information previously impossible to create
Aggregation of data from multiple sources
permits unethical organizations to build
databases of facts with frightening
capabilities
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Privacy in the U.S.
Not a Constitutional right but has been
construed by the courts
– “Reasonable expectation” of privacy
Working definition:
– right not to be disturbed
– right to be anonymous
– right not to be monitored
– right not to have one’s identifying information
exploited
Construed Constitutional guarantees of
privacy apply only to the Federal
Government
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Privacy of Customer Information
Privacy of Customer Information Section of
Common Carrier Regulations
Federal Privacy Act of 1974
The Electronic Communications Privacy Act
of 1986
The Health Insurance Portability &
Accountability Act Of 1996 (HIPAA) also
known as the Kennedy-Kassebaum Act
The Financial Services Modernization Act or
Gramm-Leach-Bliley Act of 1999
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Freedom of Information Act of 1966 (FOIA)
The Freedom of Information Act
provides any person with the right to
request access to federal agency
records or information, not determined
to be in the interest of national security
– US Government agencies required to
disclose requested information on receipt
of a written request
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Freedom of Information Act of 1966 (FOIA)
Exceptions for information protected
from disclosure
Act does not apply to
– Congress or Federal courts
– state or local government agencies
– private businesses or individuals
Many states have their own version
of the FOIA
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Freedom of Information Act of 2000 (UK)
In 2000, the United Kingdom passed
their Freedom of Information Act
– Very similar in all respects to U.S. law
– More exceptions
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European Union Model
European Union Directive 95/46/EC effective
October 1998 increases protection of
individuals in processing of personal data &
limits free movement of such data
– Strong consumer protection
– Only allows gathering of information necessary for
transaction
– Personal data cannot be transferred to another
company without permission
United Kingdom had implemented a version
of this directive called the Database Right
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EU Law Portal
Figure 3-4
European Union
Law Web site
http://europa.eu.int/eur-lex/en/
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International Laws and Legal Bodies
Council of Europe: European Council
Cyber-Crime Convention
– Creates an international task force to
oversee a range of security functions
associated with Internet activities,
– Standardizes technology laws across
international borders
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International Laws and Legal Bodies
European Council Cyber-Crime
Convention
– Also attempts to improve effectiveness of
international investigations into breaches
of technology law
Well received by advocates of
intellectual property rights with
emphasis on copyright infringement
prosecution
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UN International Law
Figure 3-46
United Nations
International
Law Web site
http://www.un.org/law/
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Export and Espionage Laws
Economic Espionage Act (EEA)
of 1996
Security and Freedom Through
Encryption Act of 1997 (SAFE)
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What is a Copyright?
Set of exclusive legal rights authors
have over their works for a limited
period of time; these rights include
– copying the works (including parts of the
works)
– making derivative works
– distributing the works
– performing the works (showing a movie or
playing an audio recording, as well as
performing a dramatic work)
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What is a Copyright?
Copyright exists upon creation
– Author’s rights begin when an original
work of authorship is fixed in a tangible
medium
A work does not have to bear a
copyright notice or be registered to
be copyrighted
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US Copyright Law
Intellectual property is recognized as a
protected asset in the US
US copyright law extends this right to
the published word, including electronic
formats
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US Copyright Law: Fair Use
Fair use of copyrighted materials
includes
– the use to support news reporting,
teaching, scholarship, and a number of
other related permissions
– the purpose of the use has to be for
educational or library purposes, not for
profit, and should not be excessive
DMCA (more on this in a minute)
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What is Fair Use?
Allow for limited copying or
distribution of published works
without author’s permission
– Examples:
•Quotation of excerpts in a review or critique
•copying of a small part of a work by a teacher
or student to illustrate a lesson
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What is Fair Use?
Determination of fair use based on:
– Purpose and nature of the use
– Nature of the copyrighted work
– Nature and substantiality of the material
used
– Effect of use on the potential market for or
value of the work
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What is Fair Use?
As Kerry Konrad, co-lead litigation
counsel for Lotus Development
Corporation, succinctly said, “if your
use is private, limited, and for the
purpose of reference and illustration
only, it’s likely to be fair.”
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Licensing of Copyrights
If fair use does not apply, using
another’s intellectual property
requires a license
A license is not a given—the owner
does not have to grant a license nor
give any explanation when they don’t
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Licensing of Copyrights
Placing materials on the Web does NOT
place them in the Public Domain unless
such assignment is specifically made
– Some Web sites contain content such as clipart,
buttons, bars, backgrounds, photos, where either
the items have been placed in the public domain
or a license for their use is clearly granted
– Otherwise all works online—graphic arts as well
as text—are protected by copyright, and your
reuse requires a license
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US Copyright Office
Figure 3-3
U.S. Copyright
Office Web site
http://www.loc.gov/copyright/
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Digital Millennium Copyright Act (DMCA)
The Digital Millennium Copyright Act
(DMCA) is the US version of an
international effort to reduce the
impact of copyright, trademark, and
privacy infringement
Many legal experts feel DMCA
illegally infringes on Fair Use and has
other adverse effects
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Impact of DMCA
Critics claim DCMA has had the
following impacts (among others):
– DMCA is being used to silence researchers,
computer scientists and critics
– Corporations are using it against the
public
– Public/College radio stations can no longer
afford to webcast
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Impact of DMCA
Also has had a stifling effect on
computer security research as
prohibits the circumvention of copy
protection and the distribution of
devices that can be used to circumvent
copyrights
– In doing so it treats publishing of security
vulnerabilities as a violation of the law
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Sarbanes-Oxley Act
Created to address accounting
“irregularities” (Enron, etc.)
Requires internal controls & internal
controls reporting
– As part of this, general computer controls
must be implemented and documented
Information security controls are a key
component of general computer controls
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Sarbanes-Oxley Act
Section 404 -- Management Assessment
of Internal Controls
Rules Required. The [Securities and
Exchange] Commission shall prescribe rules
requiring each annual report…to contain an
internal control report, which shall--
– state the responsibility of management for
establishing and maintaining an adequate
internal control structure and procedures for
financial reporting; and
– contain an assessment, as of the end of the most
recent fiscal year of the issuer, of the
effectiveness of the internal control structure and
procedures of the issuer for financial reporting
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Sarbanes-Oxley Act
Access controls, authorization,
auditability, data integrity and
availability (disaster recovery) are
key elements of controls to ensure
compliance with section 404
Because there is external financial
auditor involvement in assuring
rules compliance, this draws audit
firms into IT security auditing or at
least verification of IT security audits
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State & Local Regulations
Each state or locality may have laws
and regulations that impact the use of
computer technology
Information security professionals have
a responsibility to understand state
laws and regulations and insure
organization’s security policies and
procedures comply
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United Nations Charter
To some degree the United Nations
Charter provides provisions for
information security during
Information Warfare
Information Warfare (IW) involves use
of information technology to conduct
offensive operations as part of an
organized and lawful military operation
by a sovereign state
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Information Warfare
IW is a relatively new application of
warfare, although the military has been
conducting electronic warfare and
counter-warfare operations for decades,
jamming, intercepting, and spoofing
enemy communications
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Policy Versus Law
Most organizations develop and formalize
a body of expectations called policy
Policies function in an organization like
laws
For a policy to become enforceable, it
must meet certain standards
Only when all conditions are met, does
the organization have a reasonable
expectation of effective policy
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Standards for Enforceable Policy
Enforceable policy must be:
– Distributed to all individuals who are
expected to comply
– Readily available for employee reference
– Easily understood with multi-language
translations and translations for visually
impaired, or literacy-impaired employees
– Acknowledged by the employee, usually by
means of a signed consent form
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Content of Corporate Use Policies
Rights
Responsibilities
Privileges
Prohibitions
– Activities
– Uses
• “business only” (strict)
or “business and
reasonable personal use”
(loose)
• Similar to telephone use
policies
– Harassment
– Overloading resources
Tracking
– What tracking will be
done
– Who will do it
– What circumstances
– How will the information
will be stored
– Who will have access to it
Communicating
information
Virus detection
Export restrictions
Waiver of Privacy
Disclaimers
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Ethical Concepts in Information Security
10 Commandments of Computer Ethics
from The Computer Ethics Institute
1. Thou shalt not use a computer to harm other
people.
2. Thou shalt not interfere with other people’s
computer work.
3. Thou shalt not snoop around in other
people’s computer files.
4. Thou shalt not use a computer to steal.
5. Thou shalt not use a computer to bear false
witness [lie].
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Ethical Concepts in Information Security
10 Commandments of Computer Ethics
from The Computer Ethics Institute
6. Thou shalt not copy or use proprietary software for
which you have not paid.
7. Thou shalt not use other people’s computer resources
without authorization or proper compensation.
8. Thou shalt not appropriate other people’s
intellectual output.
9. Thou shalt think about the social consequences of
the program you are writing or the system you are
designing.
10. Thou shalt always use a computer in ways that
insure consideration and respect for your fellow
humans.
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Cultural Differences in Ethical Concepts
Differences in cultures cause problems in
determining what is ethical and what is not
ethical
Studies of ethical sensitivity to computer use
reveal different nationalities have different
perspectives
Difficulties arise when one nationality’s
ethical behavior contradicts that of another
national group
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Ethics and Education
Employees must be trained in topics related
to information security, including expected
behaviors of an ethical employee
Especially important in areas of information
security; many employees may not have the
formal technical training to understand what
behavior is unethical or illegal
Proper ethical and legal training is vital to
creating an informed, well prepared, and
low-risk system user
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Deterrence to Unethical and Illegal Behavior
Deterrence - preventing an illegal or
unethical activity
– Examples of deterrents: Laws, policies,
technical controls
Laws and policies only deter if three
conditions are present:
– Fear of penalty
– Probability of being caught
– Probability of penalty being administered
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Codes of Ethics, Certifications, and Professional Organizations
Many organizations have codes of conduct
and/or codes of ethics
– Codes of ethics can have a positive effect
– Unfortunately, having a code of ethics is not
enough
Security professionals must act ethically
and according to the policies and
procedures of their employer, their
professional organization, and the laws of
society
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Association of Computing Machinery
The ACM (www.acm.org) is a respected
professional society
– originally established in 1947 as “the
world’s first educational and scientific
computing society”
Their code of ethics requires members
to perform their duties in a manner
befitting an ethical computing
professional
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Association of Computing Machinery
The code contains specific references to
protecting the confidentiality of
information, causing no harm,
protecting the privacy of others, and
respecting the intellectual property and
copyrights of others
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International Information Systems Security Certification Consortium
The (ISC)2
(www.isc2.org) is a non-profit
organization
– focuses on the development and
implementation of information security
certifications and credentials
The code of ethics put forth by (ISC)2
is
primarily designed for information
security professionals who have earned
a certification from (ISC)2
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(ISC)2
Code
(ISC)2
code focuses on 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
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System Administration, Networking, and Security Institute
The System Administration,
Networking, and Security Institute, or
SANS (www.sans.org), is a professional
organization with a large membership
dedicated to the protection of
information and systems
SANS offers a certifications called the
Global Information Assurance
Certification or GIAC
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Information Systems Audit and Control Association
The Information Systems Audit and
Control Association or ISACA
(www.isaca.org) is a professional
association with a focus on auditing,
control, and security
Although it does not focus exclusively
on information security, the Certified
Information Systems Auditor or CISA
certification does contain many
information security components
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Information Systems Audit and Control Association
The ISACA also has a code of ethics
for professionals
Requires many of the same high
standards for ethical performance as
the other organizations and
certifications
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CSI - Computer Security Institute
The Computer Security Institute
(www.gocsi.com) provides information and
certification to support the computer,
networking, and information security
professional
While CSI does not promote a single
certification certificate like the CISSP or
GISO, it does provide a range of technical
training classes in the areas of Internet
Security, Intrusion Management, Network
Security, Forensics, as well as technical
networking
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Other Security Organizations
Information Systems Security Association
(ISSA)® (www.issa.org)
Internet Society or ISOC (www.isoc.org)
Computer Security Division (CSD) of the
National Institute for Standards and
Technology (NIST)
– contains a resource center known as the Computer
Security Resource Center (csrc.nist.gov) housing
one of the most comprehensive sets of publicly
available information on the entire suite of
information security topics
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Other Security Organizations
CERT® Coordination Center or
CERT/CC (www.cert.org) is a center of
Internet security expertise operated by
Carnegie Mellon University
Computer Professionals for Social
Responsibility (CPSR) promotes the
development of ethical computing
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Key U.S. Federal Agencies
The Department of Homeland
Security’s National Infrastructure
Protection Center (NIPC)
(www.nipc.gov)
– National InfraGard Program
National Security Agency (NSA)
– The NSA is “the Nation’s cryptologic
organization”
– NSA Information Assurance Directorate
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Other Key Federal Agencies
Figure 3-14
U.S. Secret
Service Web site
http://www.secretservice.gov/
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Organizational Liability and the Need for Counsel
Liability is the legal obligation of an entity
– Liability extends beyond legal obligation or
contract to include liability for a wrongful act and
the legal obligation to make restitution
– An organization increases its liability if it refuses
to take strong measures known as due care
Due diligence requires that an organization
make a valid effort to protect others and
continually maintain this level of effort
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Our Private Directory for this Course
Answers to chapter review questions
InfoSec Library as self-extracting .zip
file (distributed on CD to live students)
Can only be accessed from Blackboard
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The End…
Questions?
Editor's Notes
Learning Objectives
Upon completion of this chapter the student should be able to:
Use this chapter as a guide for future reference on laws, regulations, and professional organizations.
Differentiate between laws and ethics.
Identify major national laws that relate to the practice of information security.
Understand the role of culture as it applies to ethics in information security.
Introduction
As a future information security professional, it is vital that you understand the scope of an organization’s legal and ethical responsibilities.
To minimize liabilities and reduce risks from electronic, physical threats and reduce the losses from legal action, the information security practitioner must understand the current legal environment, stay current as new laws and regulations emerge, and watch for issues that need attention.
Law And Ethics In Information Security
As individuals we elect to trade some aspects of personal freedom for social order.
Laws are rules adopted for determining expected behavior in modern society and are drawn from Ethics, which define socially acceptable behaviors.
Ethics in turn are based on cultural mores: fixed moral attitudes or customs of a particular group.
Some ethics are recognized as universal among cultures.
Types Of Law
Civil law represents a wide variety of laws that are recorded in volumes of legal “code” available for review by the average citizen.
Criminal law addresses violations harmful to society and is actively enforced through prosecution by the state.
Tort law allows individuals to seek recourse against others in the event of personal, physical, or financial injury.
Private law regulates the relationship between the individual and the organization, and encompasses family law, commercial law, and labor law.
Public law regulates the structure and administration of government agencies and their relationships with citizens, employees, and other governments, providing careful checks and balances. Examples of public law include criminal, administrative, and constitutional law.
Relevant U.S. Laws - General Computer Crime Laws:
The Computer Fraud and Abuse Act of 1986 is the cornerstone of many computer-related federal laws and enforcement efforts.
It was amended in October 1996 with the National Information Infrastructure Protection Act of 1996, which modified several sections of the CFA, and increased the penalties for selected crimes.
The USA Patriot Act of 2001 modified a wide range of existing laws to provide law enforcement agencies with broader latitude of actions to combat terrorism-related activities.
The Communication Act of 1934 was revised by the Telecommunications Deregulation and Competition Act of 1996, which attempts to modernize the archaic terminology of the older act.
These much-needed updates of terminology were included as part of the Communications Decency Act (CDA).
The CDA was immediately ensnared in a thorny legal debate over the attempt to define indecency, and ultimately rejected by the Supreme Court.
Another key law that is of critical importance for the information security professions is the Computer Security Act of 1987.
It was one of the first attempts to protect federal computer systems by establishing minimum acceptable security practices.
The National Bureau of Standards, in cooperation with the National Security Agency, became responsible for developing these security standards and guidelines.
Privacy
The issue of privacy has become one of the hottest topics in information.
The ability to collect information on an individual, combine facts from separate sources, and merge it with other information has resulted in databases of information that were previously impossible to set up.
The aggregation of data from multiple sources permits unethical organizations to build databases of facts with frightening capabilities.
Privacy in the U.S.
It is NOT a Constitutional right but has been construed by the courts
Courts have determined that people have a “reasonable expectation” of privacy
There are no clearly established definitions but here’s one that works
the right not to be disturbed
the right to be anonymous
the right not to be monitored
the right not to have one’s identifying information exploited
These construed Constitutional guarantees of privacy apply only to the Federal Government
Privacy of Customer Information
The Privacy of Customer Information Section of Common Carrier regulation specifies that any proprietary information shall be used explicitly for providing services, and not for any marketing purposes.
It also stipulates that carriers cannot disclose this information except when necessary to provide its services.
The only other exception is when a customer requests the disclosure of information, and then the disclosure is restricted to that customer’s information only.
The Federal Privacy Act of 1974 regulates the government in the protection of individual privacy and was created to insure that government agencies protect the privacy of individuals’ and businesses’ information and to hold those agencies responsible if any portion of this information is released without permission.
The Electronic Communications Privacy Act of 1986 regulates the interception of wire, electronic and oral communications. The ECPA works in conjunction with the Fourth Amendment of the US Constitution, which provides protections from unlawful search and seizure.
The Health Insurance Portability & Accountability Act Of 1996 (HIPAA) also known as the Kennedy-Kassebaum Act, impacts all healthcare organizations including small doctor practices, health clinics, life insurers and universities, as well as some organizations which have self-insured employee health programs.
The act requires organizations that retain healthcare information to use information security mechanisms to protect this information, as well as policies and procedures to maintain this security.
It also requires a comprehensive assessment of the organization's information security systems, policies, and procedures.
There is no specification of particular security technologies for each of the security requirements; only that security must be implemented to ensure the privacy of the healthcare information.
The Privacy standards of HIPAA severely restrict the dissemination and distribution of private health information without documented consent.
The standards provide patients the right to know who has access to their information and who has accessed it and also restrict the use of health information to the minimum required for the healthcare services required.
The Financial Services Modernization Act or Gramm-Leach-Bliley Act of 1999 requires all financial institutions to disclose their privacy policies on the sharing of non-public personal information.
It also requires due notice to customers, so that they can request that their information not be shared with third parties.
The act ensures that the privacy policies in effect in an organization are fully disclosed when a customer initiates a business relationship, as well as distributed at least annually for the duration of the professional association.
Freedom of Information Act of 1966 (FOIA)
The Freedom of Information Act provides any person with the right to request access to federal agency records or information, not determined to be of national security.
US Government agencies are required to disclose any requested information on receipt of a written request.
There are exceptions for information that is protected from disclosure (normally due to classification).
The Act applies only to federal agencies and does not create a right of access to records held by Congress or Federal courts.
The Act does not apply to state or local government agencies or to private businesses or individuals, although many states have their own version of the FOIA.
Freedom of Information Act of 1966 (FOIA)
There are exceptions for information that is protected from disclosure.
Nine exemptions and three exclusions (most often due to classification for national security reasons).
Includes medical info, agency internal personnel policies, trade secrets, information about wells.
The Act applies only to federal agencies and does not create a right of access to records held by Congress or Federal courts.
The Act does not apply to state or local government agencies or to private businesses or individuals, although many states have their own version of the FOIA.
Freedom of Information Act of 2000 (UK)
In 2000, the United Kingdom passed their Freedom of Information Act
Very similar in all respects to U.S. law
More exceptions
The European Union also put forward Directive 95/46/EC that increases protection of individuals with regard to the processing of personal data and on the free movement of such data.
The United Kingdom has already implemented a version of this directive called the Database Right (The Copyright and Rights in Databases Regulations 1997).
International Laws And Legal Bodies
Recently the Council of Europe drafted the European Council Cyber-Crime Convention, designed to create an international task force to oversee a range of security functions associated with Internet activities, and to standardize technology laws across international borders.
International Laws And Legal Bodies
European Council Cyber-Crime Convention
It also attempts to improve the effectiveness of international investigations into breaches of technology law.
This convention is well received by advocates of intellectual property rights with its emphasis on copyright infringement prosecution.
Export And Espionage Laws
In an attempt to protect American ingenuity, intellectual property, and competitive advantage, Congress passed the Economic Espionage Act (EEA) in 1996. This law attempts to prevent trade secrets from being illegally shared.
The Security And Freedom Through Encryption Act of 1997 (SAFE) was an attempt by Congress to provide guidance on the use of encryption, and provided measures of public protection from government intervention.
A.What is a copyright?
1.the set of exclusive legal rights authors have over their works for a limited period of time. These rights include
i.copying the works (including parts of the works)
ii.making derivative works
iii.distributing the works
iv.performing the works (showing a movie or playing an audio recording, as well as performing a dramatic work)
A.What is a copyright?
2.A copyright exists upon creation
3.The author's rights begin when an original work of authorship is fixed in a tangible medium
4.A work does not have to bear a copyright notice or be registered to be copyrighted
US Copyright Law
Intellectual property is recognized as a protected asset in the US. US copyright law extends this right to the published word, including electronic formats.
US Copyright Law
Fair use of copyrighted materials includes the use to support news reporting, teaching, scholarship, and a number of other related permissions, so long as the purpose of the use is for educational or library purposes, not for profit, and is not excessive.
What is Fair Use?
Fair use provisions of the copyright law allow for limited copying or distribution of published works without the author's permission
Examples of fair use of copyrighted materials include quotation of excerpts in a review or critique, or copying of a small part of a work by a teacher or student to illustrate a lesson
What is Fair Use?
Determination of fair use is based on:
The purpose and nature of the use
The nature of the copyrighted work
The nature and substantiality of the material used
The effect of use on the potential market for or value of the work
What is Fair Use?
As Kerry Konrad, co-lead litigation counsel for Lotus Development Corporation, succinctly said, "if your use is private, limited, and for the purpose of reference and illustration only, it's likely to be fair."
Licensing
A.If fair use does not apply, to make use of another’s intellectual property requires a license
B.A license is not a given—the owner does not have to grant a license nor give any explaination when they don’t
Licensing
C.Placing materials on the Web does NOT place them inthe Public Domain unless such assignment is specifically made
1.Some Web sites contain content such as clipart, buttons, bars, backgrounds, photos, where either the items have been placed in the public domain or a license for their use is clearly granted
2.Otherwise all works online—graphic arts as well as text—are protected by copyright
3.Your reuse requires a license
Digital Millennium Copyright Act (DMCA)
The Digital Millennium Copyright Act (DMCA) is the US version of an international effort to reduce the impact of copyright, trademark, and privacy infringement especially through the removal of technological copyright protection measures. Many legal experts feel DMCA illegally infringes on Fair Use and has other adverse effects
Impact of DMCA
Critics claim DCMA has had the following impacts (among others):
DMCA is being used to silence researchers, computer scientists and critics
Corporations are using it against the public
Public/College radio stations can no longer afford to webcast
Impact of DMCA
Also has had a stifling effect on computer security research as prohibits the circumvention of copy protection and the distribution of devices that can be used to circumvent copyrights
In doing so it treats publishing of security vulnerabilities as a violation of the law
Sarbanes-Oxley Act
The Sarbanes-Oxley Act of 2002 was created to address accounting “irregularities” such as Enron and similar cases
It requires the application of internal controls & internal controls reporting
As part of this, general computer controls must be implemented and documented
Information security controls are a key component of general computer controls
Sarbanes-Oxley Act
Section 404 -- Management Assessment of Internal Controls
Rules Required. The [Securities and Exchange] Commission shall prescribe rules requiring each annual report…to contain an internal control report, which shall--
state the responsibility of management for establishing and maintaining an adequate internal control structure and procedures for financial reporting; and
contain an assessment, as of the end of the most recent fiscal year of the issuer, of the effectiveness of the internal control structure and procedures of the issuer for financial reporting
Sarbanes-Oxley Act
Access controls, authorization, auditability, data integrity and availability (disaster recovery) are key elements of controls to ensure compliance with section 404
Because there is external financial auditor involvement in assuring rules compliance, this draws audit firms into IT security auditing or at least verification of IT security audits
State & Local Regulations
In addition to the national and international restrictions placed on an organization in the use of computer technology, each state or locality may have a number of laws and regulations that impact operations.
It is the responsibility of the information security professional to understand state and local laws and regulations and insure the organization’s security policies and procedures comply with those laws and regulations.
United Nations Charter
To some degree the United Nations Charter provides provisions for information security during Information Warfare.
Information Warfare (IW) involves the use of information technology to conduct offensive operations as part of an organized and lawful military operation by a sovereign state.
United Nations Charter
IW is a relatively new application of warfare, although the military has been conducting electronic warfare and counter-warfare operations for decades, jamming, intercepting, and spoofing enemy communications.
Policy Versus Law
Most organizations develop and formalize a body of expectations that describe acceptable and unacceptable behaviors of the employee within the workplace. This body of expectations is called policy.
Properly executed policies function in an organization like laws, complete with penalties, judicial practices, and sanctions to require compliance.
For a policy to become enforceable, it must meet certain standards.
Only when all of these conditions are met, does the organization have the reasonable expectation that should an employee violate policy, they may be appropriately penalized without fear of legal retribution.
Policy Versus Law
For a policy to become enforceable, it must be:
Distributed to all individuals who are expected to comply with it.
Readily available for employee reference.
Easily understood with multi-language translations and translations for visually impaired, or literacy-impaired employees.
Acknowledged by the employee, usually by means of a signed consent form.
Ethical Concepts In Information Security
“The Ten Commandments of Computer Ethics from The Computer Ethics Institute
1.Thou shalt not use a computer to harm other people.
2.Thou shalt not interfere with other people's computer work.
3.Thou shalt not snoop around in other people's computer files.
4.Thou shalt not use a computer to steal.
5.Thou shalt not use a computer to bear false witness.
Ethical Concepts In Information Security
“The Ten Commandments of Computer Ethics” from The Computer Ethics Institute
6.Thou shalt not copy or use proprietary software for which you have not paid.
7.Thou shalt not use other people's computer resources without authorization or proper compensation.
8.Thou shalt not appropriate other people's intellectual output.
9.Thou shalt think about the social consequences of the program you are writing or the system you are designing.
10.Thou shalt always use a computer in ways that insure consideration and respect for your fellow humans.”
Cultural Differences In Ethical Concepts
With regard to computer use, differences in cultures cause problems in determining what is ethical and what is not ethical.
Studies of ethical sensitivity to computer use reveal that individuals of different nationalities have different perspectives on ethics.
Difficulties arise when one nationality’s ethical behavior contradicts that of another national group.
Ethics And Education
Employees must be trained and kept aware in a number of topics related to information security, not the least of which is the expected behaviors of an ethical employee.
This is especially important in areas of information security, as many employees may not have the formal technical training to understand that their behavior is unethical or even illegal. Proper ethical and legal training is vital to creating an informed, well prepared, and low-risk system user.
Deterrence To Unethical And Illegal Behavior
Deterrence is the best method for preventing an illegal or unethical activity. Laws, policies, and technical controls are all examples of deterrents.
However, it is generally agreed that 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.
Codes Of Ethics, Certifications And Professional Organizations
A number of professional organizations have established codes of conduct and/or codes of ethics that members are expected to follow.
Codes of ethics can have a positive effect on an individual’s judgment regarding computer use.
Unfortunately, having a code of ethics is not enough, because many employers do not encourage their employees to join these professional organizations.
It is the responsibility of security professionals to act ethically and according to the policies and procedures of their employer, their professional organization, and the laws of society.
Association of Computing Machinery.
The ACM (www.acm.org) is a respected professional society, originally established in 1947, as “the world's first educational and scientific computing society”.
The ACM’s code of ethics requires members to perform their duties in a manner befitting an ethical computing professional.
The code contains specific references to protecting the confidentiality of information, causing no harm, protecting the privacy of others, and respecting the intellectual property and copyrights of others.
Association of Computing Machinery.
The code contains specific references to protecting the confidentiality of information, causing no harm, protecting the privacy of others, and respecting the intellectual property and copyrights of others.
International Information Systems Security Certification Consortium
The (ISC)2 (www.isc2.org) is a non-profit organization that focuses on the development and implementation of information security certifications and credentials.
The code of ethics put forth by (ISC)2 is primarily designed for information security professionals who have earned a certification from (ISC)2.
This code focuses on four mandatory canons:
Protect society, the commonwealth, and the infrastructure;
Act honorably, honestly, justly, responsibly, and legally;
Provide diligent and competent service to principals; and
Advance and protect the profession.
System Administration, Networking, and Security Institute
The System Administration, Networking, and Security Institute, or SANS (www.sans.org), is a professional organization with a large membership dedicated to the protection of information and systems.
SANS offers a set of certifications called the Global Information Assurance Certification or GIAC.
Information Systems Audit and Control Association
The Information Systems Audit and Control Association or ISACA (www.isaca.org) is a professional association with a focus on auditing, control, and security.
Although it does not focus exclusively on information security, the Certified Information Systems Auditor or CISA certification does contain many information security components.
Information Systems Audit and Control Association
The ISACA also has a code of ethics for its professionals. It requires many of the same high standards for ethical performance as the other organizations and certifications.
CSI - Computer Security Institute
The Computer Security Institute (www.gocsi.com) provides information and certification to support the computer, networking, and information security professional.
While CSI does not promote a single certification certificate like the CISSP or GISO, it does provide a range of technical training classes in the areas of Internet Security, Intrusion Management, Network Security, Forensics, as well as technical networking.
OTHER SECURITY ORGANIZATIONS
The Information Systems Security Association (ISSA)® (www.issa.org) is a non-profit society of information security professionals.
As a professional association, its primary mission is to bring together qualified practitioners of information security for information exchange and educational development.
The Internet Society or ISOC (www.isoc.org) is a non-profit, non-governmental, international organization for professionals.
It promotes the development and implementation of education, standards, policy, and education and training to promote the Internet.
The Computer Security Division (CSD) of the National Institute for Standards and Technology (NIST), contains a resource center known as the Computer Security Resource Center (CSRC) which is a must know for any current or aspiring information security professional.
This Web site (csrc.nist.gov) houses one of the most comprehensive sets of publicly available information on the entire suite of information security topics.
The CERT® Coordination Center or CERT/CC (www.cert.org) is a center of Internet security expertise operated by Carnegie Mellon University.
The CERT/CC studies security issues and provides publications and alerts to help educate the public to the threats facing information security. The center also provides training and expertise in the handling of computer incidents.
The Computer Professionals for Social Responsibility (CPSR) is a public organization for technologists and anyone with a general concern for the impact of computer technology on society.
CPSR promotes ethical and responsible development and use of computing, and seeks to inform public and private policy and lawmakers on this subject. It acts as an ethical watchdog for the development of ethical computing.
OTHER SECURITY ORGANIZATIONS
The CERT® Coordination Center or CERT/CC (www.cert.org) is a center of Internet security expertise operated by Carnegie Mellon University.
The CERT/CC studies security issues and provides publications and alerts to help educate the public to the threats facing information security. The center also provides training and expertise in the handling of computer incidents.
The Computer Professionals for Social Responsibility (CPSR) is a public organization for technologists and anyone with a general concern for the impact of computer technology on society.
CPSR promotes ethical and responsible development and use of computing, and seeks to inform public and private policy and lawmakers on this subject. It acts as an ethical watchdog for the development of ethical computing.
KEY U.S. FEDERAL AGENCIES
The Department of Homeland Security’s National Infrastructure Protection Center (NIPC) (www.nipc.gov) was established in 1998 and serves as the U.S. government's focal point for threat assessment, warning, investigation, and response for threats or attacks against critical U.S. infrastructures.
A key part of the NIPC’s efforts to educate, train, inform and involve the business and public sector in information security is the National InfraGard Program.
Established in January of 2001, the National InfraGard Program began as a cooperative effort between the FBI’s Cleveland Field Office and local technology professionals.
Another key federal agency is the National Security Agency (NSA). The NSA is “the Nation's cryptologic organization. It coordinates, directs, and performs highly specialized activities to protect U.S. information systems and produce foreign intelligence information”
The NSA is responsible for signal intelligence and information system security.
The U.S. Secret Service is a department within the Department of Homeland Security.
The Secret Service is also charged with the detection and arrest of any person committing a U.S. Federal offense relating to computer fraud and false identification crimes.
This represents an extension of the original mission of protecting U.S. currency-related issues to areas of communications fraud and abuse.
ORGANIZATIONAL LIABILITY AND THE NEED FOR COUNSEL
What if an organization does not support or even encourage strong ethical conduct on the part of its employees? What if an organization does not behave ethically? Even if there is no breach of criminal law, prosecuted under criminal code, there is the issue of liability.
Liability is the legal obligation of an entity. Liability extends beyond a legal obligation or contract to include liability for a wrongful act and the legal obligation to make payment or restitution – compensation for the wrong.
ORGANIZATIONAL LIABILITY AND THE NEED FOR COUNSEL
The bottom line is that if an employee, acting with or without the authorization of the organization, performs an illegal or unethical act, causing some degree of harm, the organization can be held financially liable for that action.
An organization increases its liability if it refuses to take strong measures known as due care, to make sure that every employee knows what is acceptable or not acceptable behavior in the organization, and the consequences of illegal or unethical actions.
Due diligence requires that an organization make a valid effort to protect others and continually maintain this level of effort.
With the global impact of the Internet, those who could be potentially injured or wronged by an organization’s members could be anywhere, in any state, any country around the world.
Under the U.S. legal system, any court can impose its authority over an individual or organization if it can establish jurisdiction – the court’s right to hear a case in its court if the wrong was committed in its territory or involving its citizenry.
This is sometimes referred to as Long Arm Jurisdiction, as the long arm of the law reaches across the country or around the world to pull an accused individual into its court systems.