Security planning disaster recovery 1st Edition Eric Maiwald Security planning disaster recovery 1st Edition Eric Maiwald Security planning disaster recovery 1st Edition Eric Maiwald

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5. Security planning disaster recovery 1st Edition Eric
Maiwald Digital Instant Download
Author(s): Eric Maiwald, WilliamSieglein
ISBN(s): 9780072224634, 0072224630
Edition: 1
File Details: PDF, 1.74 MB
Year: 2002
Language: english

7. Security Planning & Disaster Recovery
Eric Maiwald
William Sieglein
McGraw-Hill/Osborne
2600 Tenth Street
Berkeley, California 94710
U.S.A.
To arrange bulk purchase discounts for sales promotions, premiums, or fund-raisers, please
contact McGraw-Hill/Osborne at the above address. For information on translations or book
distributors outside the U.S.A., please see the International Contact Information page
immediately following the index of this book.
Copyright © 2002 by The McGraw-Hill Companies. All rights reserved. Printed in the United
States of America. Except as permitted under the Copyright Act of 1976, no part of this
publication may be reproduced or distributed in any form or by any means, or stored in a
database or retrieval system, without the prior written permission of publisher, with the
exception that the program listings may be entered, stored, and executed in a computer
system, but they may not be reproduced for publication.
1234567890 FGR FGR 0198765432
ISBN 0-07-222463-0
Publisher
Brandon A. Nordin
Vice President & Associate Publisher
Scott Rogers
Acquisitions Editor
Jane Brownlow
Project Editor
Janet Walden
Acquisitions Coordinator
Emma Acker
Technical Editor
Ben Rothke
Copy Editor
Claire Splan
Proofreader
Pam Vevea

8. Indexer
Claire Splan
Computer Designers
Kelly Stanton-Scott, Mickey Galicia
Illustrators
Lyssa Wald, Michael Mueller
Series Design
Peter Hancik, Lyssa Wald
Cover Series Design
Jeff Weeks
This book was composed with Corel VENTURA™ Publisher.
Information has been obtained by McGraw-Hill/Osborne from sources believed to be reliable.
However, because of the possibility of human or mechanical error by our sources, McGraw-
Hill/Osborne, or others, McGraw-Hill/Osborne does not guarantee the accuracy, adequacy, or
completeness of any information and is not responsible for any errors or omissions or the
results obtained from the use of such information.
This book is dedicated to my wife Kay and my two sons, Steffan and Joel, who put up with a
lot of long days and lost time (again) during the writing of this book. –EM
This book is dedicated to my lovely wife Jane—’Tis naught Othello or King Lear, but that WS
did not receive royalties. And to my children Kyle, Haley, and Maggy—YES, I can play now!
–WS
About the Authors
Eric Maiwald is the Chief Technology Officer for Fortrex Technologies, where he oversees
all security research and training activities for the company. He also manages the Fortrex
Network Security Operations Center where all managed services are performed. Mr. Maiwald
also performs assessments, develops policies, and implements security solutions for large
financial institutions, services firms, and manufacturers. He has extensive experience in the
security field as a consultant, security officer, and developer. Mr. Maiwald holds a Bachelors
of Science degree in Electrical Engineering from Rensselaer Polytechnic Institute, a Masters
of Engineering in Electrical Engineering from Stevens Institute of Technology, and is a
Certified Information Systems Security Professional (CISSP).
Mr. Maiwald is a named inventor on patent numbers 5,577,209, “Apparatus and Method for
Providing Multi-level Security for Communications Among Computers and Terminals on a
Network”; 5.872.847, “Using Trusted Associations to Establish Trust in a Computer
Network”; 5,940,591, “Apparatus and Method for Providing Network Security”; and
6,212.636, “Method for Establishing Trust in a Computer Network via Association.”
Mr. Maiwald is a regular presenter at a number of well-known security conferences. He has
also written Network Security: A Beginner’s Guide, published by McGraw-Hill/Osborne, and

9. is a contributing author for Hacking Linux Exposed and Hacker’s Challenge, also published
by McGraw-Hill/Osborne.
William Sieglein is the Manager of Security Services for Fortrex Technologies, where he
oversees all security consulting and professional services for the company. Mr. Sieglein also
manages information security projects for Fortrex clients, leads risk assessments, develops
policies, and implements security solutions. He has over 20 years experience in the IT
industry, specializing in information security. Mr. Sieglein holds a Bachelors of Science
degree in Computer Science from the University of Maryland and a Masters of Science in
Technical Management from Johns Hopkins University.
Mr. Sieglein has published numerous articles for various publications including Business
Credit Magazine, Security Advisor, and CMP’s iPlanet, where he was also the security expert
for several months. Mr. Sieglein been a guest speaker for various organizations including the
Information Systems Audit and Controls Association (ISACA), Joint Special Operations
Command (JSOC), and the American Society for Industrial Security (ASIS).
About the Technical Reviewer
Ben Rothke (brothke@hotmail.com) is a Principal Consultant with trustEra
(www.trustEra.com). His areas of expertise are in PKI, design and implementation of systems
security, HIPAA, encryption, security architecture and analysis, firewall configuration and
review, cryptography, and security policy development. Mr. Rothke previously worked for
Baltimore Technologies, Ernst & Young, and Citibank and has provided information security
solutions to many Fortune 500 companies.
He is a frequent speaker at industry conferences and has written for many computer
periodicals. Currently, he writes a column for Unix Review as well as a monthly security book
review for Security Management magazine.
Mr. Rothke is a Certified Information Systems Security Professional (CISSP), a Certified
Confidentiality Officer (CCO), and a member of ISSA, ICSA, IEEE, ASIS & CSI, operating
out of a New York-based office.
Acknowledgments
This book could not have been written without the help of a number of people. Most notable
in their help were those people we work with at Fortrex Technologies, Inc., especially Lee
Kelly for his work on the HIPAA regulations and Andrew Waltz for his research on GLBA.
We would also like to acknowledge the great support of our technical editor, Ben Rothke,
who turned the chapters around very quickly. Of course, none of this could have been possible
without the help from the people at McGraw-Hill/Osborne, most notably Jane Brownlow,
Emma Acker, and Janet Walden.
Introduction
In this e-centric day and age organizations have come to rely on IT infrastructures not just as
an aid to business, but for some, as the core of their business. Safe, secure, and reliable
computing and telecommunications are essential to these organizations. As these

10. organizations begin to understand the importance of information security, they are developing
security programs that are often under the direction of the CIO.
An information security program includes more than just people and technology. The
programs involve policies, procedures, audits, monitoring, and an investment of time and
money. This book is meant to provide organizations with a broad overview of the security
program, what it should be, who it should include, what it entails, and how it should fit into
the overall organization.
This book is for the security professional who must answer to management about the security
of the organization. In today’s economy, many organizations do not have the ability to hire a
person and dedicate that person to security. Often the person who is given this job is an IT
professional with no specific security training. This book will provide the road map for such
individuals.
The book is divided into four main parts plus some good information in appendices:
Part I: Guiding Principles in Plan Development Part I is intended to provide guidance on
fundamental issues with security planning. In this part we cover the basic concepts of the role
of information security, laws and regulations, and risk identification.
• Chapter 1: The Role of the Information Security Program Chapter 1 discusses the
overall importance of the information security program. It describes where it fits into
the organization and who should establish its charter, mission, responsibilities, and
authority. It further talks about the relationship of the information security manager
(and the department) to the rest of the organization. It is impossible to build a program
in a vacuum or with bad relationships throughout the organization.
• Chapter 2: Laws and Regulations Many industries have federal or state regulations
that must be followed. Some of these regulations may affect the security program. It is
therefore important for the security department to understand the regulation
requirements. In some cases the existence of the information security program is
clearly dictated by laws and regulations.
• Chapter 3: Assessments This chapter focuses on how organizations go about
identifying the state of their information security efforts. It includes information on
various types of assessments and when they should and should not be used.
Part II: Plan Implementation Part II discusses the basics of risk management and
mitigation. Once risk has been identified, the mitigation steps must be taken. While the exact
plan will vary for each organization, this part of the book provides the basics.
• Chapter 4: Establishing Policies and Procedures This chapter discusses the
importance of policies and procedures and describes policies and procedures that need
to be created for the organization. The primary focus of this chapter is the order that
they should be created and the approach to use in getting the organization to buy into
what is created.
• Chapter 5: Implementing the Security Plan Policies are nice documents but if they
are not implemented, they do no good. This chapter talks about general guidelines for
implementing good policies.
• Chapter 6: Deploying New Projects and Technologies No organization can afford
to develop everything internally. Security is no different in this regard. Since it is

11. likely that products will be purchased for the organization and new projects will be
developed internally, this chapter covers how to manage the risk to the organization
through the development process.
• Chapter 7: Security Training and Awareness This chapter discusses the programs
and classes that must be established to make the organization aware of security issues.
Security awareness is one of the most cost-effective components of the information
security program. In a recent speech, Richard Clark, the President’s cyber-security
advisor, noted that the awareness of employees was critical to an organization’s
security program. He also noted that he and the federal government would be stressing
this topic to industry in the coming months.
• Chapter 8: Monitoring Security The security program is in place. How do you know
that it is working? The only way to know is to monitor it. This chapter discusses the
more useful methods for monitoring.
Part III: Plan Administration Security programs are no different than any other program
within an organization. Once they are set up and working properly, they must be managed and
administered properly. This part talks about these tasks.
• Chapter 9: Budgeting for Security Just about every organization has a budget
process. The security department must go through it with every other department.
Therefore, it is important for the security department to do it well.
• Chapter 10: The Security Staff Not every security program has a staff but many do.
Choosing the correct individuals for the staff and the correct mix of skills can make or
break the program. This chapter talks about the mix of the team and how to find good
people.
• Chapter 11: Reporting Finally, there is reporting. Without some type of reporting
there is no way for the organization to gauge the effectiveness of the security
department. There is rarely an ROI for security (but this is changing) and thus there
must be other metrics to use to measure the performance of the department.
Part IV: How to Respond to Incidents All of the planning, risk identification, risk
mitigation, and administration tasks can help an organization to manage risk. However, no
one can ever completely remove risk. This part of the book discusses how to deal with
incidents and disasters when they occur.
• Chapter 12: Incident Response Bad things happen. The security program works
diligently to try to prevent them but they happen anyway. When they do, the security
department must be ready to take the lead in the response.
• Chapter 13: Developing Contingency Plans Disasters of all shapes and sizes occur
to businesses. Because organizations have become so dependent on their IT
infrastructures it is essential that they develop an IT Disaster Recovery Plan and keep
it up to date. This plan will provide policies, procedures, roles, and responsibilities for
preparing for, responding to, and recovering from a variety of disasters. This chapter
explains the key steps in developing an IT DRP.
• Chapter 14: Responding to Disasters How an organization responds to a disaster is
just as important as how an organization plans for a disaster. Often, the response to a
disaster deviates from the plan due to unforeseen circumstances. This chapter
discusses the proper response during a serious disaster.

12. Part V: Appendixes Part V provides three sections that complement the purpose of the book.
These sections are intended to assist the reader in answering particular questions about
security and implementing a strong program.
• Appendix A: Handling Audits Audits are a fact of life. Every organization goes
through them. They may be internal audits or external. The security team must be a
part of these audits and the organization’s response.
• Appendix B: Outsourcing Security The outsourcing of security has become a lively
topic recently. Many new security firms exist that sell some type of service. This may
impact the security of the organization or it may be a cost-effective way to fulfill the
responsibilities of the security department.
• Appendix C: Managing New Security Projects This appendix is a continuation of
Chapter 6 that talks specifically about building new security projects as opposed to
security in new business projects.
Part I: Guiding Principles in Plan
Development
Chapter List
Chapter 1: The Role of the Information Security Program
Chapter 2: Laws and Regulations
Chapter 3: Assessments
Chapter 1: The Role of the Information
Security Program
Overview
Security professionals today talk about the need for strong security programs. We hear calls
for the latest products, more staff, and more funding. But what is a strong security program? If
an organization has a weak program, how can it be strengthened? How much money does it
take to create and maintain a strong program?
None of these questions have simple answers. However, one thing is very clear: A security
program must have three things in order to be strong and successful:
• A well-defined mission
• Good relationships within the organization
• Intelligent, knowledgeable security professionals
The details of building and maintaining a strong security program will be left to the other
chapters of this book. Identifying, hiring, and keeping security professionals will also be
discussed in some detail later in the book (see Chapter 10). This chapter will focus on the first

13. two items above—the mission and the relationships. In short, these two items identify the role
that the security program will play within the organization.
Getting Off on the Right Foot
Perhaps the most important part of the security manager’s job is the beginning. The person
who leads the organization’s information security department has a job that will touch every
other department in the organization. Every employee will be affected by the decisions and
policies that are developed by information security. Therefore, it is extremely important for
the information security manager to establish good working relationships with other
departments. We will talk more about these relationships later in this chapter.
Security Alert! The security manager who starts off on the wrong foot is destined for
failure. Many security departments and security managers failed to help
organizations manage their risk by ignoring the impact of relationships.
A new security manager must begin these relationships. In most cases, the information
security manager will be the new kid on the block. The other departments will have well-
established missions, roles, procedures, and reporting structures. The worst possible thing
would be for the new information security manager to attempt to assert his authority over this
existing structure. The rest of the organization would ignore the new manager and force the
entire security effort to become ineffective.
Challenge
You are a new security manager for an organization. The first task that you have on your plate
is the development of a new information security policy. You complete the policy without the
help of the rest of the organization since this is your job. Now you must go out and implement
the policy.
As soon as you begin to work with system administrators, you get serious resistance. Then the
administrators just stop working with you altogether. You approach your boss about the
problem, thinking that pulling rank will get the policy implemented. Do you really think that
this is the best course of action in this case? Even if your boss can or will help you put
pressure on the administrators, will the policy implementation succeed?
Likely, the answer is no it will not. The administrators have no interest in the policy since
they view it as being shoved down their throats. The best chance you have of getting any
policy implemented now is to go to the system administration staff and beg for their help in
writing a new policy (don't even try to start with the original one).
What then is the best way to get off on the right foot? First, remember that the information
security department is likely to be new kid to the organization and thus must learn how the
organization works before putting out directives that must be met or else. The security
manager should start by talking to each department manager. He or she must also learn not to
direct how security should be handled but to learn and work with the other departments.

14. Second, the information security department is charged with a mission. How this mission is
accomplished is the primary job of the information security manager. The mission must be
accomplished in conjunction with, not in spite of, the other departments and employees of the
organization. Establishing a good working relationship so that everyone understands the need
for security will go a long way to accomplishing the security department’s mission.
Establishing the Role of Security
The information security department was established for a reason. Depending on the
organization the reason might be any of the following:
• Government regulation required it.
• An audit report recommended it.
• Senior management or the board decided it was necessary.
• The IT department decided it was necessary to have the function.
In any case, a reason exists for the security department and thus a scope of operations exists
as well. The scope of operations is defined by the location of the department within the
organization. For example, if the information security department was established by senior
management, it may have a scope that includes the entire organization. If the information
security department was established by the IT director, then the scope is likely to be more
limited (the IT department for instance).
The reporting structure for security is only one part of establishing the role of security. The
information security department should also have a mission statement and long-term goals.
These should be developed and approved by the organization.
Tip Work with senior management to develop the mission statement. Make sure the mission
statement agrees with what senior management had in mind for the security department.
Reporting Structure
The reporting structure for the information security department is one of the most important
aspects of the department’s creation. If the department reports too low in the organization, the
scope and authority of the department will be too limited to be effective. In some cases the
reporting location may also cause conflicts of interest.
Figure 1-1 shows a very general organization chart with various placements for the
information security department. Two of the locations are shown in medium shading. These
indicate good places for the department. The first would have security reporting directly to the
president or CEO. This location gives the information security department the largest possible
scope and the highest possible visibility in the organization. While this reporting point is good
for information security, it is not always possible. Some organizations do not wish to elevate
the head of information security to the senior management team for example.

15. Figure 1.1: Examples of reporting points for the information security department
The second good alternative would place the information security department under the
organization’s general counsel. This moves the department from directly reporting to the
President or CEO and yet still allows the department to have a large scope (the general
counsel usually can act throughout the organization). Given that many security issues are also
becoming legal issues, placement here is certainly appropriate.
Some organizations place the information security department under the CFO, as indicated in
light shading in Figure 1-1. While this placement is not bad, it does pose some potential
conflicts of interest. Since the CFO usually looks across the organization, the scope of the
information security department would not be limited. However, the CFO usually also
manages the internal audit department. Information security and internal audit have similar
yet different roles within an organization (see the “Relationship” section for a more complete
explanation of this relationship) and therefore should be kept as separate as possible. If the
CFO manages this potential conflict properly, there is no reason why placing the information
security department here would not work.
Information security departments are often placed below the IT department, as indicated in
dark shading in Figure 1-1. This is because information security usually develops out of the
IT department’s need for security policy and incident response. Unfortunately, the placement
of the organization’s information security department here tends to limit the scope of the
department unnecessarily. It often becomes difficult for the information security department
to work effectively across the organization.
Security Alert! If the security department reports to the IT department, make sure that the
mission statement for the department is focused primarily on IT issues. If
the mission statement is too broad, conflicts with other departments may
arise.
Placement of the information security department below the internal audit function (also
indicated in dark shading in Figure 1-1) causes a serious conflict of interest. Information
security is supposed to create and manage policy. The audit department is supposed to
determine compliance. It is not appropriate for the audit department to both create policy and
then determine compliance.
Mission Statement
In most cases, we don’t see the point of a mission statement for a department within an
organization. The simple reason for this is that most mission statements are self-evident. For
example, the mission of the software development department is to develop good software
according to the design requirements. This seems pretty obvious.

16. Unfortunately, the mission of the information security department is often misunderstood. The
information security department cannot guarantee the security of the organization’s
information or systems. The information security department can assist in managing the
information security risk to the organization but that is as far as we can go. Security in general
(and information security in particular) are exercises in risk management. There are no
guarantees. In fact, risk is an inevitable part of life. It is the job of the information security
department to help manage the risk to the organization.
Given that, what are some appropriate mission statements for the information security
department? The following statements are provided as examples of good mission statements
for an information security department:
• To appropriately manage the information security risk to the organization by working
with the various internal departments
• To appropriately manage the information security risk to the organization by operating
various network and system security mechanisms
• To appropriately manage the information security risk to the organization by
developing and managing organizational security policy
• To appropriately manage the information security risk to the IT department of the
organization by managing the implementation of organization security policy
Please notice that each of these mission statements includes the scope of the work (the entire
organization or the IT department) and the mechanism for the work. In some organizations the
information security department only sets policy while in others the department will manage
network devices such as firewalls and intrusion detection systems. The type of tasks that the
department is expected to carry out will impact how the mission statement is worded.
So why is it so important that we get the mission statement of the information security
department correct? Because from the mission statement all of the work of the department is
derived (see Figure 1-2). Since the mission statement will also define how the work is to be
done (at a very high level) and for whom the work is to be done (the scope of the
department’s authority), it is a very important statement.
Figure 1.2: How the mission statement affects the work of the information security
department
Once the mission statement has been developed, it should be agreed to by the senior
management of the organization.

17. Long-Term Goals
As can be seen in Figure 1-2, long-term goals for the information security department flow
from the department’s mission statement. Long-term goals are goals that may take several
months to several years to accomplish. These are goals for the department that directly affect
the ability of the department to meet the mission statement.
A long-term goal for the department might be to be able to quantify the risk to the
organization on a regular basis. Obviously, this goal will require significant work in various
areas such as assessments, vulnerability tracking, threat identification, and policy compliance
monitoring. Each of these systems may themselves take time and resources to implement.
Long-term goals should be part of strategies used by the department to manage the risk to the
organization. Figure 1-3 shows another way to plan the direction for the department.
Following a risk assessment (see Chapter 3), the major risks to the security of information
within the organization should be identified. For each major risk, a strategy should be created
to manage the risk. The management of these risks becomes the long-term goal for the
department.
Figure 1.3: Strategies are used to manage risk.
Tip At least once a year, the long-term goals of the department should be reviewed to check
on progress. The review of long-term goals may also identify completed goals and new
goals that must be added to respond to changes in the organization.
Short-Term Objectives
At least once a year short-term objectives should be identified to move the department toward
meeting the long-term goals of security for the organization. These objectives can be turned
into project plans for the coming year. Each project plan can be used for budgeting purposes
(see Chapter 9).
Short-term objectives may be the installation of a new product or the creation of a process to
monitor some aspect of security. No matter how the objectives are defined, the completion of
any of the objectives should lead the department closer to the long-term goal.
Relationships
As mentioned before, relationships will make or break the effectiveness of the information
security department. Regardless of the support from senior management or the authority given
to the department, the relationships that are developed between security staff and management
and the rest of the organization are critical to the overall success of the department.
There are two types of relationships that the security department must create:
• Technical
• Business

18. Technical relationships are those that build on the ability of the security staff to explain and
understand technical issues. Business relationships are those that build on the ability of the
security staff to understand the needs of the organization in order to accomplish the business
of the organization.
Technical Relationships
As was already mentioned, technical relationships are those that build on the ability of
security staff to explain and understand technical issues. In other words, technical
relationships are built on mutual respect for the technical knowledge and capabilities of the
security staff and the other employees or departments.
Security Alert! If the security staff shows that it has no understanding of networks,
systems, software development, and so on, these groups will not believe
that the security department will be able to help them or understand their
problems.
It is also important to understand that the technical relationships between security and other
departments are not always two-way relationships (see Figure 1-4). In many cases, the
relationship may be one where security provides information, guidance, and assistance to the
other department but does not really receive assistance in return.
Figure 1.4: The directional nature of technical relationships
Administrators
Both system and network administrators are very technical professionals who tend to have
more work then they do hours in the day. Therefore, when the issue of security comes up, the
administrator is unlikely to be favorably disposed to taking on more work. How then can the
security department form a relationship with system and network administrators?
It is painfully obvious to anyone who has tried that attempting to threaten or force
administrators to secure their systems does not work. The primary job of system and network
administrators is to keep the systems up and running. They do this very well. Anything that is
perceived as reducing their ability to keep the systems up is unlikely to be done. (This is not
to say the administrators do not wish their systems to be secure. On the contrary, they do.)

19. Therefore, the security department must provide information to the administrators that shows
how security can assist them in keeping the systems up. In this way, the security department
shows a value to the administrators. Once a value is shown, the job of security becomes
easier.
Another issue that hurts the relationship between security and administrators is the perception
that the security department does not understand the technical system or network issues. Often
this is in fact the case and leads to security staff making recommendations or even demands
that do not make sense in the technical environment of the organization.
In order to build a good working relationship with administrators, the security staff needs to
have technical knowledge in the following areas:
• Network architecture
• Network protocols (specifically TCP/IP or whatever protocols are used on site)
• Basic Unix administration (basic commands and where to find files)
• Basic Windows NT/2000 administration
With this basic knowledge, the security staff will understand why a sniffer may not work in a
switched environment or why the Unix passwd file has to be readable by all processes but the
shadow file does not.
Development
Development staff are also very technical individuals who have project deadlines that must be
met. In many cases, these deadlines are imposed by senior management for new product
offerings. As with administrators, if security attempts to dictate to the developers, the
relationship will fail.
Security must work within the framework of the developers’ world. In most organizations, the
development staff uses a development methodology. This methodology is the perfect way for
security to work with the development staff. Throughout project development there are tasks
that would benefit from security involvement. For example, the requirements phase of a
project should consider security requirements. If the project does not take into account
security during the requirements phase, the project may find that the new system has security
holes when it is time for the project to go into production. By showing the development staff
how security can alleviate some of the back-end headaches, the development staff can be
shown a benefit to security’s involvement.
As with the administration staff, development will not look kindly upon security staff who
lack an understanding of the development methodology and the technical issues involved in
the development process. This is not to say that the security staff must understand how to
code C++, but the members of the staff that work with the developers should have some
understanding of how systems are developed and coded. Building Secure Software: How to
Avoid Security Problems the Right Way by John Viega and Gary McGraw (Addison Wesley
Professional, 2001) is an excellent reference on how to write secure code.
In addition, knowledge in the following areas will assist the security staff when working with
development:

20. • System architecture
• Performance testing
• Software development
• System integration issues (making products work together)
• The organization’s development methodology
Physical Security
In most organizations, the department that handles the door locks, guards, cameras, and other
physical security mechanisms is separate from the information security department. Yet
physical security is a very important component of the overall information security of the
organization. This makes it doubly important that the information security department have a
good relationship with the people that handle physical security.
The relationship with physical security should be a peer-to-peer relationship. The two
departments should be able to reinforce and assist each other in the overall goal of improved
security and reduced risk to the organization. This means that the physical security
department should be involved in risk assessments and in risk management. Often, it may be
found that changing physical security procedures may be cheaper and easier than enhancing
computer or network security.
Audit
Unfortunately, the audit department is often looked at as an adversary or an antagonist by
information security. Clearly, this is the wrong way to look at this relationship. The audit
department serves a very important role in organizations. They are the watchdogs and the
checkers who make sure that policies and procedures are followed. Auditors make sure that
trust relationships between the organization and its employees are upheld.
Information security and audit serve very similar roles. Both have the job of reducing the
overall risk to the organization. And yet, the two departments are not direct competitors for
funds and prestige. Therefore, there should be a good working relationship between the two
departments.
When we worked in organizations that had internal audit departments, we made it our
business to meet the internal auditors and to find out how they did their jobs. In doing this, we
have found individuals who wish to learn about the technology that is used in information
security so that they could do their jobs better.
Tip The information security department can and should provide information to the audit
department about the technology and procedures that are being used to manage risk.
When the auditors request to perform an audit, the information security department
should be completely open with them and provide all the necessary information.
Business Relationships
If the security staff understands nothing else, they must understand that their job is to assist
the organization in performing its primary business function. With that said, the security
department must form business relationships within the organization. These are relationships
where security supports the primary business function (see Figure 1-5). No business functions

21. will support the security department. Why? Because the security department is a support
organization. Its job is to assist the business to function. It is not the function of the business
departments to assist the security department.
Figure 1.5: The security department supports the business of the organization.
Security Alert! It is essential to reiterate that the information security staff must
understand the business role of the organization they are working to
protect. An ideal manager of the security department will be able to
merge the business and the technical.
Senior Management
Security supports the senior management of the organization in its job of managing the
organization. This means that security provides information to the top managers of the
organization to assist them in making decisions. We will talk more about this when we
discuss reporting in Chapter 11. At this point we need to talk about the relationship between
the security department and the senior management of the organization.
It sometimes appears that security will use the support of senior management to accomplish
its tasks. For example, a letter from the CEO about compliance with security policies is often
key in gaining organization buy-in. But in reality, during this whole process security is
supporting the organization. The reason for this is that the development of the security policy
and the organization’s compliance with it actually support the management of risk for the
entire organization. The leaders of the organization are supposed to make money for the
owners (or stockholders) and make the organization successful. They do this by making
decisions about risk and reward. Security supports this by providing information on risk and
helping to manage the security risk to the organization. Therefore, the activities of the security
department should all be targeted to manage security risk. The development and deployment
of a security policy is a means of doing just that. Therefore the support of the organization’s
senior management is actually senior management agreeing that security is helping them
manage risk to the organization.
Enough of a philosophic view of the relationship. Let’s talk more down to earth. First off, the
senior management of the organization must be able to trust the information that comes from
the security department. This means that the security department must provide appropriate
information. There should be no grand-standing and no inflation of the risks (that is, security
should not go around yelling that the sky is falling). Note that an effective security department

22. manager will know what to worry about and, to a degree more importantly, what not to worry
about.
It also means that security should be staffed by professionals who have a good understanding
of security and the technologies that security must affect (networks, systems, and so on). In
the performance of its duty, security may be asked to comment on technical solutions. If
security does not understand the technical aspects of the problem and proposed solution, how
can a valid comment be made?
The second key aspect of the relationship between security and senior management is that
security must understand the business of the organization. This understanding is important
because recommended solutions to manage risk must take into account that business must
continue. Recommendations that clearly prevent business or that adversely affect the business
of the organization without providing a clear benefit will not be taken seriously. If this occurs,
senior management will no longer trust the opinions of the security department and thus
security will not be able to provide assistance in managing business risk.
The relationship with senior management is thus one of assistance and advice. Security must
be trusted to know security and the business of the organization in order to supply both of
these.
Peers
For the purpose of this discussion, we will consider all other managers, department heads, and
directors who do not fit in the senior management category as peers to the security manager.
For the same reason that it is important for security to support senior management, it is also
important for security to support peers and peer departments. Some of these peer departments
will be departments that do the business of the organization. Other peer departments will be
supporting departments who assist the organization in doing business (just like security does).
Security will help these other departments manage their risk and perform the functions of the
business in a manner that manages the security risk to the organization. This means that the
heads of these departments must understand that some things they do may cause risk.
Therefore, security will be constantly educating other departments on the ramifications to the
organization if a risk were to actually occur.
Security must build a trust relationship with these other departments so that the other
departments will follow security recommendations and come to the security department with
questions. Nowhere will this relationship be more important than with the IT and
development groups. We have already talked about the technical relationship with these
departments. In addition to this technical relationship, there must also be a business
relationship. Technically, both departments must see that security has knowledge about
systems, networks, and development. From the business perspective, both departments need
to see that security understands how the business functions and how IT and development
assist in the business functions.
The User Community
The relationship between the security department and the user community of the organization
may be the most important. The reason for this is very simple. The organization can spend

23. hundreds of thousands or even millions of dollars on security systems and technologies but a
single employee who is unaware of the security policies of the organization can allow an
intruder to bypass it all. This means that every employee in the organization must understand
the need for security (see Chapter 7 on security awareness training). Remember that behind
most security breaches are authorized users who did not follow the rules.
This does not mean that the security department or the security manager will have a personal
relationship with every single employee. However, employees should understand what the
security department is and what its function is with regard to the organization. Employees are
human and thus they will seek the path of least resistance when performing their jobs. This is
not to say that employees are by nature lazy, only that human nature will seek to perform a
task while expending the least amount of effort. Understanding this fact will enable the
security department to develop programs and its relationship with the user community in such
a way that the security risk to the organization can be managed.
Since the relationship with the user community is generally not a personal one (as most other
relationships will likely be), the security department will interact and relate to users in a
different way. Successful security departments will provide information to the user
community in such a way that the users find the information interesting. For example, the
security department may run a lunch-time seminar on how to protect your kids from the
dangers of the Internet. While conducting the seminar, security can provide the employees
with good practices that are also in line with organization policy. Likewise, the security
department could provide hints and suggestions on keeping home computers free of viruses.
The information provided to the users can be the same as that required of them when
performing their jobs. In both cases, the users are provided with something that can be useful
and perhaps take some risk out of their lives as well as their work. These actions show the
users that security can be of help to them and not just a hindrance to their work.
In the best of all possible worlds, the organization will take violations of security policy as
seriously as it does violations of sexual harassment policies. Most companies have a zero
tolerance policy for sexual harassment. But if that same employee violates an information
security policy, there is much greater tolerance.
Security Alert! The security awareness of employees is perhaps the most important single
factor in the overall risk to the organization. A security manager who
ignores the employees will almost always fail.
Legal
The general counsel’s office is the department that is perhaps the closest to the security
department in function. Both are in place to assist in the performance of the organization’s
primary function and both are used to reduce the likelihood that something bad will happen to
the organization. As more and more government regulations, such as the Health Information
Portability and Accountability Act (HIPAA), are created that call for information security and
information privacy, the general counsel and the security department will work more and
more closely to develop appropriate policies and implement appropriate mechanisms to
reduce the organization’s exposure to fines and lawsuits.
Given this, the relationship between the legal office and security should be very obvious and
easy to build. The security department will need the advice and guidance of the general

24. counsel’s office when defining policy. The legal office will need to work with the security
department to determine if government regulations are being complied with and what
potential legal exposures the organization may have.
During a security incident (see Chapter 12), the general counsel and the security department
must work very closely, with mutual trust and respect in order to limit the damage to the
organization.
Human Resources
HR is another support department that is very important to the success of the information
security department. The reason for this is simple: HR is the source of many policies that
affect the overall information security risk of the organization. For example, HR may be the
source of a policy that allows telecommuting. This policy has security ramifications since the
employees who are working from home may have sensitive information with them or on their
computers. At the same time, these computers may need connectivity back into the
organization’s internal network. Both of these issues are key information security risks that
must be managed by the information security department.
Another important reason for a relationship with HR is that HR handles the hiring and
termination of employees. This is another key risk area that the information security
department must deal with. A good working relationship with HR will make the work of
training new employees on the need for security much easier. At the same time, this
relationship will assist in the identification of people who are no longer employees and whose
access should be rescinded.
If those two reasons are not enough, HR is also usually the location of the organization’s
training department. Any type of security awareness program will not succeed without the
assistance of HR.
None of this is meant to imply that the relationship with HR is one-way. The relationship
should be one of mutual trust and assistance. The security department will rely on HR to
educate employees and identify the status of employees. HR will rely on the security
department for the implementation of policies such as computer use, telecommuting, and so
on and for the material that must be provided to the employees of the organization.
Checklist: Key Roles of the Program
The following is a checklist of key steps in the establishment of an information security
program:
• Identify the reporting structure for the information security department— try to locate
the department at an appropriate place within the organization.
• Learn how the organization works and what it does.
• Develop a sound mission statement.
• Get approval and support from management for the mission.
• Identify long -term goals and a risk management strategy.
• Develop short-term objectives.
• Develop good technical relationships with administrators, development, physical
security, and audit.

25. • Develop good business relationships with peers, the user community, and human
resources.
• Develop a good reporting mechanism for senior management.
• Work with the legal department to understand the legal issues surrounding information
security within the organization.
Chapter 2: Laws and Regulations
Overview
Many companies are regulated by federal, state, and local statutes. As more companies utilize
information technology as a core part of their business operations, there are more regulations
specifically aimed at ensuring that information is appropriately protected. Without doubt the
most regulated are the financial services and medical industries. These industries have long
had requirements for protecting the privacy of customer and patient data. With the increased
usage and dependence on information systems and networks, the government has begun to
pass legislation specifically aimed at controlling access to and protecting the confidentiality of
such information.
You must ensure that your information security program helps the company stay compliant
with all relevant regulations. Most recently, the Gramm-Leach-Bliley Act (GLBA) and the
Health Insurance Portability and Accountability Act (HIPAA) have put very specific
requirements on the way financial services firms and healthcare organizations protect
information. HIPAA even has criminal penalties for failure to comply. Specifically, violations
of the provisions in HIPAA can result in $100 for each violation, subject to a $25,000 limit
for all violations of the same “requirement or prohibition” during the same calendar year.
Given the numerous “requirements or prohibitions” under HIPAA, a $25,000 limit per
requirement or prohibition can add up quickly. The law is even harsher on those who
intentionally violate HIPAA. The lowest penalty is a fine of up to $50,000 and imprisonment
for up to a year, which increases to $100,000 and up to five years in prison if the offense is
committed under false pretenses, and which tops out at $250,000 and up to ten years in prison
if the violation is committed “with intent to sell, transfer, or use individually identifiable
health information for commercial advantage, personal gain, or malicious harm.” This is
pretty serious business.
GLBA and HIPAA will have a significant impact on financial services and healthcare
organizations. They require formal information security programs to be established and
recognized by senior management. The GLBA states that the board of directors must approve
the information security plan. Similarly, HIPAA mandates a formal information security and
privacy infrastructure. HIPAA is a huge endeavor that will cost healthcare organizations a
huge amount of money.
For the first time information security risk is being laid in the hands of the most senior
management. These new regulations are forcing organizations to create formal information
security programs and spend money to ensure they are adequately protecting information
systems. For some these laws might seem like a burden. For others it might be a blessing
because now there is less guessing about what the program should include and it will likely
bring more funding for the information security budget.

26. Another Random Scribd Document
with Unrelated Content

27. efficace des o eaux visibles du baptême est étendu par Origène au
chrême visible In epist. ad Rom., 1. V. n. X. P. (,..t. xiv, col. 1C38CD.
L'application du symbolisme à l'eucharistie est plus délicate.
L'eucharistie est un sacrement à part, puisque le symbolisme affirmé
par saint Paul n'empêche pas la realité même du corps et du sang
signifiée par les symboles extérieurs. 11 y a pour ainsi dire une
double efficacité dans le symbolisme eucharistique, l'une relative à la
présence du corps et du sang sous le symbole du pain et du vin.
l'autre relative à la nourriture spirituelle de l'âme par la grâce
produite I communiant bien disposé. Là où Origène se laisse
entraîner par le symbolisme extérieur des espèces sacramentelles, il
semble oublier la présence réelle, lai réalité, il professe sur ce point
la foi de e et la croyance commune. Voir ici une mise au point
exacte, t. xi, col. 1558-1560. On devra corriger l'appréciation un peu
trop absolue de Pourrat, op. cit.. p. 7. Si les allégories qu'Origène
superpose au dogme de la présence réelle n'ont plus trait à
l'eucharistie. il n'en reste pas moins vrai que le double symbolisme et
l'efficacité du symbole eucharistique n'est pas ignoré de cet auteur,
témoin ce texte du Contra Celsum. I. VIII, n. 33 : « Rendant grâces
au démiurge de l'univers, nous mangeons les pains que nous
(lui)offrons avec action de grâces et prières pour (tous ses) dons:
(nous mangeons ces pains) devenus corps par la prière, quelque
chose de saint et qui sanctifie ceux qui en usent avec un sain
propos. » P. G., t. xi, col. 15G5 C. Cf. P. Batiffol, L'eucharistie, la
présence réelle et la transsubstantiation. Paris. 1913, p. 'JC,4-20.r>.
L'efficacité du sacrement de pénitence est d'autant plus marquée
chez Origène qu'on trouve indiqués par lui d'autres modes de
rémission des péchés, le martyre. l'aumône, le pardon des injures, le
zèle pour la conversion des pécheurs, l'amour de Dieu. In Levit..
hom. n, n. I. /'. G., t. xn. col. 117-119. Mais la pénitence tient une
place à part : c'est qu'elle est un pouvoir de lier et de délier, de
remettre et de retenir les péchés,. donné par Dieu aux chefs de
l'Église. In Jud., hom. n. n â. /'. G., t. xn. col. 961 A; In Matth., t. xn,
n. 1 1 : t. xiii, col. 1012-1013. Toutefois l'efficacité du sacrement
n'est pas telle que les prêtres puissent, par li- seul effet de leurs
prières, remettre les péchés les plus graves. Voir sur ce texte du De

28. oratione, l'art. Origène. t. xi, col. 1557. â. La théologie grecqne.au
m* siècle, après Origène. — La théologie postérieure à Origène
maintient, au sujet des sacrements, la notion du symbole et de
l'efficacité sacramentels. Le rite du baptême, tel que le décrit la
Didascalie, est conforme au symbolisme exprimé par saint Paul.
Édition de Punk. 111. xn (parallèle aux Constitutions apostoliques,
xvi), n. 2. p. 210. L'efficacité du baptême est rappelée en quelques
mots expressifs : c'est un sceau, un sceau infrangible, imprimé par
Dieu sur le chrétien, II. xxxix. 6. p. 126; cf. III. xn (xvi), 2, p. 210;
l'achèvement de l'homme, ibid., p. 126; cf. Théognoste, Fragm., P.
G., t. x, col. 240, 241. Un autre effet du baptême est de remettre les
péchés, d'engendrer le néophyte à une vie nouvelle, de lui donner le
Saint-Esprit, d'en faire un autre Christ. Didasc, II, xxxix. I. p. 121.; V.
ix. 1.5. p. 262; VI, xn, 2, p. 326r xvii (xxn), 1. p. 354; xvm (xxm). 4-
5, p. 358; xxi (xxvii). 5. p. 371-372. Cf. Méthode d'Olympe,
Convivium. VIII. vin, ix. /'. G., t. xvm. col. 149, 152. Le symbolisme
eucharistique est également marqué, mais d'une façon conforme aux
exigences du dogme de la présence réelle. L'eucharistie est le pain
sanctifié par ks invocations. Didasc. VI. xxn ixxvni), 2, p. 376: elle
est une nourriture sainte, âyiot rpoip"/) ou simplement les choses
saintes, -rà ôcyia. Denys d'Alexandrie, Fragm.. édit. E. Feltoe.
Cambridge, 1904, p. 58, 59, 103; ou encore les choses saintes parmi
les saintes, -y. ■/•-.-/. tcôv àyicov. Id.. ibid.. p. 103. Le Dialogue
d'Adamantins qui emploie parfois des termes d'un réalisme accentué
(par exemple : toucher le corps et le sang du Christ) revient ensuite
au symbolisme : le Christ a fait du pain et du breuvage les images.
eÏxoveç, de son corps et de son sang. IV. M. P. G., t. xi. col. 1840
BC. De même la Didascalie, du moins d'après le texte grec
concordant des Constitutions apostoliques. 1. VI, c. xxx, n. 2, édit.
Funk. p. 381. invite les fidèles a offrir < l'eucharistie agréable ,.
image du corps royal du Christ . xvrtruirov toû fitxaiXeîou op.aâTOÇ
Xpicroû. Voir aussi xxn. 2. p. 376. ( les manières de parler... ne
supposent nullement que ceux qui les emploient sont des
symbolistes. Elles marquent seulement le caractère de signe et de
symbole

29. The text on this page is estimated to be only 22.48%
accurate
505 SACREMENTS. NOTION. LES PÈRES GRECS ,06 qui
convient dans l'eucharistie aux éléments sensibles. Le pain et le vin
sont les figures, les antitypes du corps et du sang en quoi ils sont
intérieurement transformés, et qui sont devenus nourriture et
breuvage pour nous.» Tixeront. Histoire des dogmes, t. i, Paris,
1915, p 198 499. Et c'est le Saint-Esprit qui est le principe de eette
sanctification. Le pouvoir de lier et de délier implique pour l'évêque
le pouvoir de pardonner les tant es il de purifier le pécheur.
Didascalie, II, xi, 2; xn, 1-3, p. 16-48; xvi. s, p. 60; xviii. i-:;. p. 64;
x. 2. 5, 8, p. 72. 74. Cf. Méthode d'Olympe, De lu lèpre, vu, 1-7. éd.
Bonwe1 sch.p. 459-460. L'imposition île la main est le geste
symbolique qui marque la réconciliation : La Didascalie remarque
expressément que, par cette imposil ion de la main, qui est comme
un second baptême, le pénitent recevait le Saint-Esprit, témoignage
non équivoque de la purification intérieuie qu'opérait l'absolution, et
de son caractère sacramentel. ront, op. cit., p. 504. Cf. Didascalie, II,
xi.i, 2. p. 130; et xviii, 7. p. 66. C'est encore le geste de l'imposition
des mains, XE!.po0£(TÎa, qui confère le presbytérat et le diaconat.
Concile de Néocésarée, can. 9; cf. Hefele-Leclercq, Hisl. des conciles,
t. i, p. 331 (l'imposition de la main qui confère l'ordination remet les
péchés autres que l'impureté). Sur ce rite et son symbolisme
efficace, voir Ordre, t. xi. col. 1215 sq. Quelques indications relatives
au caractère sanctifiant du mariage peuvent être trouvées dans la
Didascalie, IV, xi, 6, p. 231: VI. xxn (xxix). 6-8, 10, p. 378, 380. 6.
La théologie grecque au IV siècle. — Au [Ve siècle, le symbolisme
baptismal, tel que l'avait formulé Origène d'après saint Paul, est
entré nettement dans l'explication du sacrement. Toutefois, tandis
qu'Origène faisait dériver l'efficacité du baptême de l'invocation de la
Trinité, les Pères grecs, à la suite des controverses sur la divinité du
Saint-Esprit, expliqueront l'efficacité du rite baptismal par la
présence et l'action de l'Esprit-Saint dans l'eau. Ils s'appuient sur
Joa., ni, 5. D'ailleurs ils marquent nettement, et notamment saint
Jean Cbrysostome, que, dans l'administration des saints mystères,

30. l'acteur principal est Dieu, le prêtre n'est que l'instrument de Dieu :
«Le prêtre ne fait qu'ouvrir la bouche: Dieu fait tout. Le prêtre
accomplit seulement un signe symbolique... L'oblation est la même,
que ce suit celle de Paul ou de Pierre... » In epist. //lm ad Tim.,
boni, n, n. 4, P. G., t. i.xii. col. 612. Et encore : Quand le prêtre
baptise, ce n'est pas lui qui baptise, mais Dieu dont l'invisible
présence tient la tète du baptisé. » In Malth., hom. i., n. .". ; cf. In
Act. aposl., hom. i. n. 3, P. G., t. lvii, col. 507; t. i.x, col. 110. Bien
plus, Jean enseigne l'efficacité des sacrements, même administrés
par des indignes : 1 heu n'impose pas les mains à tous, mais il agit
par tous (les prêtres), mi indignes, pour sauver le peuple , In epist.
II"" ad Tim., hom. n, n. 3, P. G., t. i.xii, col. 609. Nous sommes bien
près du concept de symbole efficace ex opere operalo, que précisera
la théologie médiévale et que consacrera le concile de Trente. Saint
Grégoire de Nazianze, distinguant d'ailleurs six espèces de baptême,
déclare que celui île Jésus est non seulement dans l'eau in
psenitentiam, an l'Esprit, et c'est ce qui fait sou t-f 1 1. . m i t <
Oral., xxxix. n. 17. 19, /'. G., t. xxxvi, col, 356 sq. C'est aussi la
doctrine de saint I lasile : si l'eau bapl ismale a en elle quelque
grâce, elle ne la tienl pas Or • .a propre nature, mais de la présence
de l'Esprit-Saint, zv. rr,ç toû Y)z'i'}.-/-'jc 7tapou

31. The text on this page is estimated to be only 24.61%
accurate
507 SACREMENTS. NOTION, LES PÈRES LATINS 508
confirmation était comme un complément du baptême et, pour ce
motif, n'en était pas toujours nettement distingué. Voir ici
Confirmation, t. ni. col. 10321033. Néanmoins Didyme l'Aveugli le
distingue expressément. De Trinitate, 1. II. c. xu, P. G., l xxxix, col.
660 A. Cf. Hardy, Didyme l'Aveugle, Paris, 1910, p. 150. Saint Cyrille
de Jérusalem lui consacre la catéchèse xxi.P. G., t. XXXIII, col. 1089
sq. Ce l'ère a bien mis en relief le symbolisme efficace de la
continuai ion : L'huile parfumée 'w'jzvj. -/cln-iy. qui devait servir à
l'onction était préalablement bénite par l'évêque. Dès lors, ce n'était
plus, d'après la théorie de saint Cyrille, du chrême simple (u.ùpov
y'./.ov i : mais, de même que le pain euchai istitjtic de îeut. par l'épi
le corps du Christ, ainsi le chrême, par l'invocation, est devenu » le
charisme du Christ productif du Saintk Esprit, par la présence de sa
divinité . Xpioroû /ipiapta xal IIveopJXTOÇ â-flou, Trapouaîa rr.c
7.Jtvj (iz'jT rrroç èvepYerntôv yivôiisvov. Cat., xxi. .''>. ibid., col.
lO'.t'J V Le Saint-Espiil est dans le chrême. comme il est dans l'eau
baptismale, et il agit en lui et par lui. Ainsi l'huile parfumée est
l'antitype, iv-i-rj-ov, du Saint-Esprit, ibid., I, col. 1089 A. Expression
qui ne signifie pas — comme on peut le voir — qu'elle en est un
simple symbole ou une simple image, mais qu'elle le contient et
constitue l'élément sous lequel il exerce et cache son action. »
'fixeront. Hist. des dogmes, t. n, p. 170-171. L'effet de la
confirmation est souvent indiqué par le mot açpxviç. La formule du
rite (forme) était, d'après saint Cyrille : — çpa■fiç Sojpsàç xoO
IIvE'J(xaToc iyî'j'j. Cat., xvm, 33, col. 1056 B. Cf. Ct t., m. i:>. xvm,
33, xxi. 1 ; xxn, 7. col. 448 A, 1056 B, 1092 H. tint B; S. Athanase,
Epist. ad Serapionem, in, n. 3, P. G., t. xxvi. col. 628 B; Didyme, De
Trinitate, 1. II. c. xiv. I>. G.. t. xxxix, col. 712; le Satramentaire de
Sérapiun. xx, n. 2. dans Funk, Didasealia et < jinstitutiones aposl.,
t. n, p. 18f>: Constituliones apost., III, xvn, 1; VII, xxn. 2 ibid., t. i,
p. 211, 406. Écho de la doctrine déjà implicitement acquise de l'ex
opère operato. En ce qui concerne l'eucharistie, le symbolisme

32. d'Origène est tenu en méfiance par les Cappadociens et trouve des
adversaires irréductibles chez les Antiochiens, notamment Théodoie
de Mopsueste et Jean Chrysostome. La réaction de Chrysostome est
même excessive. S. Jean Chrysostome, In Joannem. hoin. xi.vi. n. 3;
cf. In Matth., nom. i.xxxii, n. -1. P. G.. t. lix, col. 260-261, t. lviii, col.
743. Voir Tixeront, op. cit., p. 178-180. Athanase et Didyme sont
dans une note réaliste qui se contente d'affirmer la présence réelle.
Id.. p. 173-174. Mais, pour autant, le symbolisme ne perd pas ses
droits. Dans la formule d'anamnèse qu'il présente, l'euchologe de
Sérapion appelle le pain et le vin la icssemblance, ôp.oîcou.a, du
corps et du sang du Monogène, xin, 12, 14, dans Funk, op. cit., t. il,
p. 175. Dans son homélie xxvn, n. 17, Macaire écrit que les
prophètes et les rois ont ignoré « que dans l'Église est offert le pain
et le vin, figure (àvri-ruTCOv) de la chair et du sang du Christ : ceux
qui participent à ce pain visible mangent spirituellement
iuvsuu/xtixôç) la chair du Seigneur ». P. G., t. xxxiv. col. 705 B. Ce
mot àv-rf-ruitov se lit également chez Cyrille de Jérusalem, Cat.,
xxm, 20; cf. xxn, 3, P. G., t. xxxiii, col. 1124 C. 1100 A: chez Grégoire
de Nazianze, Oral., vin, n. 18, P. G., t. xxxv, col. 809 D; chez
Épiphane Adv. hser.. lv, n. 6, P. G., t. xl, col. 981 AB. La doctrine de
la conversion du pain aux corpi . du vin au sang, qui est à la base de
toute la pensée des Pères grecs du iv siècle, explique l'emploi des
mots 6u.oluu.oc et 4vtêtu7TOM et réduit le symbolisme
eucharistique à ses justes propositons. Pour le comprendre, on devra
observer que. « pour ces auteurs, le pain ct le vin, dans leui être
naturel, ou par une institution de Dieu ou de Jésus-Christ, sont déjà
une figure, un symbole du corps et du sang du Sauveur; (pie ces
éléments deviennent, en effet, par la cori . cration - et dans leurs
espèces — les signes sensibles du Christ corporellement présent,
l'enveloppe réelle qui le contient ct sou, laquelle les fidèles le
reçoivent. Rappelions-nous la théorie de saint Cyrille sur le chrême
de la confirmation, antitype du Saint-Esprit . Tixeront, op. cit., p.
177. 178. Mais, par rapport au chrétien, ce corps et ce sang du
Christ sont nourriture et breuvage spirituels. I e second sj mbolisme
efficace, c'est-à-dire producteur de vie surnaturelle, est souligné par
nos auteurs. Le corps est un pain spirituel, le sang un vin spirituel.

33. Cyrille, Cat., iv, 8, P. G., t. xxxiii. col. 165 A. Ils ^ont nourriture
supersubstantielle (è7rioùaioç) destinée à sustenter à la fois l'âme et
le corps. Caf.,xxm, 15, col. 1 120B. Grégoire de Nysse esquisse
même une sorte d'explication scientifique de la transsubstantiation :
la lle-t». 7cotïjtriç. Sur cette explication voir Tixeront, op. cit.. [).
182-183. Mais, par rapport à nous, le résultat de cette assimilation
spontanée ■ est notre divinisation par l'union au corps de Dieu,
notre incorruptibilité par notre communion à l'incorruptible. Dans les
autres sacrements, la notion de symbole efficace apparaît beaucoup
moins. L'efficacité de la pénitence est affirmée contre les novatiens.
Grégoire de Nazianze. <>rat., xxxix. 19, P. C, t. xxxvi. col. 357 B.
Quant à l'ordre, le geste symbolique et efficace de l'imposition des
mains est indiqué par tous comme le moyen de conférer le
sacrement. Consl. apost., 1. VIII, xvi. 2; xix. 2, édit. Funk. p. 523,
525. Seul, l'évêque peut, par l'imposition des mains, conférer l'ordre.
Id., ibid., cf. xi.vi. II, p. 561. Mais cette imposition des mains était
accompagnée de prières dont l'euchologe de Sérapion. xxvi-xxviii,
édit. Funk, p. 189, 191 et les Constitutions apostoliques donnent les
formules : VIII, v, p. 4 75 sq. ; cf. xvi, 2, p. 523 (prêtre); xvm, p.
523 (diacre); xx, p. 525 (diaconesse): xxi, 3, p. 527 (sous-diacre);
xxn, 3, p. 527 (lecteurs). L'effet du sacrement est également affirmé.
Saint Grégoire de Nysse observe que cet eflet est de séparer le
prêtie du reste des chrétiens : bien qu'extérieurement il paraisse
rester le même, une transformation intérieure s'opère en lui par une
grâce et une vertu invisibles. Saint Grégoire compare cette
transformation a la consécration des autels eu à la conversion
eucharistique : ce qui implique un caractère permanent et stable. In
baplismum Christi, P. G., t. xlvi, col. 583. Saint Jean Chrysostome, en
faisant l'éloge du mariage, reprend le symbolisme indiqué par saint
Paul. Eph., v, 22-23. In Eph., hom. xx, n. 4, P. G., t. i.xn. col. 139-
140. 2° Les Pères latins. — Si la notion du symbolisme efficace
trouve déjà, chez les Grecs, une réelle consistance dès le ive siècle,
elle nous apparaît, bien plus nette encore, principalement en ce qui
concerne le baptême et l'eucharistie, dans l'Église latine. C'est
d'ailleurs, comme le fait observer P. Pourrat, dans l'Église latine que
s'est véritablement développée la théologie sacramentaire. Op. cit.,

34. p. 12. 1. Autour de Tertullien. — En même temps qu'il fait
l'application du mot sacramentum aux rites sanctificateurs, Tertullien
commence à analyser le symbolisme efficace que recouvre la notion
de sacrement. II faut avouer toutefois que sa doctrine de la
corporéité relative de l'âme l'a ici desservi. Cf. É. de Backer,
Sacramer.tum. Le mot et l'idée représentée par lai aans les oeuvres
de Tertullien, Paris, 1905, p. 113 sq. Toutefois, il serait inexact de
prétendre que Tertullien a ignoré le symbolisme sacramentel. Le
symbolisme qu'il discerne est celui qui résulte de l'appropriation du
rite à son effet. Un texte est vraiment remarquable

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,ll!t SACREMENTS. NOTION, LES PÈRES LATINS à ce sujet :
il marque à la fois l'action extérieure parfaitement physique et réelle
et, à côté de cette opération corporelle, l'effet spirituel qu'elle Hgure
e1 (ju'elle produit : Caro ubluilur ut anima emaculelw; raro ungitur,
ut anima consecretur; caro signatur, ut et anima muniatur; caro
manus impositioneadumbralur, ut et anima spiritu illuminelur; caro
corpore et sinnunnr Chrisli vescilur, ut et anima de Deo saginetur. De
resurreetione carnis, c, vin. P. I... t. 11, col. 806 B. On i rouve
d'ailleurs l'expression du menu- symbolisme appliqué au baptême eu
d'autres écrits. Voir surtout De preescript.. c. xl. t. ri, col. 54: De
baptismo, c. i. iv. ix. t. i. col. 1197, 1203, 1209. L'explication de
l'efficacité du symbole sacramentel se ressent quelque peu de la
philosophie matérialiste de l'auteur. Si le prêtre invoque le Saint-
Esprit pour bénir les fonts, e'est que le Saint-Esprit descend dans
l'eau pour lui donnei une vertu sanctificatrice. De baptismo, c. îv, t.i.
col. 1204 A; cf. e. vm, col. 1207. L'imposition des mains qui suit
l'ablution — vraisemblablement la confirmation — fait circuler le
Saint-Espri* en nous, comme le jeu des doigts fait circuler l'air dans
l'orgue. Id., ibid. Sur cette image, voir De an ima. c. m, iv, t. n, col.
(151. (152. Une telle explication de l'efficacité sacramentelle — si
exacte soit-elle sous un certain aspect (les textes du missel, au
samedi saint, en font foi) — paraît néanmoins diminuer l'importance
des paroles qui constituent ce que nous appelons la forme du
sacrement. Et peut-être bien les formules de Tertullien, qu'on
retrouve équivalemment chez d'autres Pères, représentent-elles une
tradition dont on n'a pas assez tenu compte dans l'idée qu'on doit se
faire de la réalité du sacrement. Voir plus loin, col. 533-534; 575. On
sait que le symbolisme sacramentel, appliqué par Tertullien à
l'eucharistie, l'a fait accuser d'enseigner un symbolisme excluant la
présence réelle. Voir l'interprétation de la pensée de Tertullien, t. v,
eol. 1130 sq. 11 semble bien que l'allégorisme scripturaire se
complète du symbolisme sacramentel, tout en respectant la réalité
de la présence eucharistique qu'exprime nettement Tertullien en

36. maints endroits. Voir les références, t. v. col. 1130: A. d'Alès, Lu théo
la/lie de Tertullien, p. 355 sq.; P. BatifTol. L'eucharistie, la présence
réelle et la transsubstantiation, Paris, 1913, p. 204-226. Cf. Tixeronl,
op. cit., p. 135. Si Tertullien donne le nom de sacrement au
baptême, a la confirmation, à l'eucharistie et au mariage, voir ci-
dessus, col. 489, il sait que la pénitence est elle aussi un signe sacré
qui sanctifie celui qui la revoit. Le symbolisme du signe est peu
marqué, mais son efficacité apparaît surtout dans le parallélisme
établi entre le baptême et la pénitence. Analogie des effets : le
baptême suppose une. pénitence qui a pour but de purifier et
d'affermir le catéchumène de façon a rendre durable l'effet du
sacrement. De pœnitenlia, c. vi, t. r, col. 1237 sq. Mais les
défaillances se produisent, auxquelles Dieu remédie en offrant aux
pécheurs une « planche de salul : » Une fois fermée la porte du
pardon, une fois tiré le verrou du bapl ême, Dieu a permis qu'il
demeurât encore une ouverture : il a placé dans le vestibule (de
l'Église) une seconde pénitence, qu'il ouvre à ceux qui frappent. C.
vu, col. 1241 B. Cette pénitence implique des rites extérieurs :
confession, expiation plus ou moins longue, réconciliation par le
ministère de l'évêque. C. vin, ix, 1. 1, col. 1243-1244: cf. De
pudicitia, c. x, xvm, t. n. col. 1000 li: 1016 1017. Sur la forme de
celte réconciliation, Tertullien ne nous donne pas de détails, mais
l'effet de la uriiiu accordée par l'évêque est de taire disparaître le
péché. Cette vérité, à peine esquissée uans le De psenitentia, est
mise in meilleure évidence, quoique avec îles restrictions par où
s'affirme l'hérésie montaniste, dan-, le De pudicitia. c. ri, lanne
deliclum mit venin dispungit aut pâma... P. I... t. n, col. 985 A. Cf.
Galt ici, L'Église et la rémission des péchés dans 1rs premiers siècles,
p. 32; A. d'Ales. La théologie de Tertullien. p. :;i7. Le rite par lequel
et aient confères les différents ordi es es1 déjà appelé par Tertullien
ordinalio. De prœscript.. c. xii. t. n. eol. 56. On sait que cette
ordinalio se faisait par l'imposition des mains, voir Ordre, t. xi. col.
1245-1246. Tertullien ne nous cl ï t rien de la prière qui
accompagnait cette imposition des mains. Mais on peut supposer,
d'après les documents quasicontemporains. i[ue cette prière appelait
le SaintEsprit da.is l'âme des ordinands. Voir la Tradition apostolique

37. d'Hippolyte, dans Duchesne, Les origines du culte chrétien, 5° éd..
appendice, et le De aleatonbus. ::. dans Texte und L'ntersuchungen.
t. v, fasc. 1. Leipzig, 18Ï8. p. ltî. Quant au mariage, Teitullien lui
attribue le nom de saerainenlum et lui reconnaît, après saint Paul, le
symbolisme de l'union de Jésus-Christ et de l'Église. Ce symbolisme
sacramentaire existait déjà dès le début de l'humanité, proclamé par
Adam lui-même. Dr anima, c. xi. I'. L.. t. n, col. 665 B. Que le
mariage entre chrétiens soit chose sainte. Tertullien l'affirme
hautement dans le Ad uxorem. 1. 11, c. ix; la grâce du baptême
sanctifie le mariage contracté dans la gentilité et Dieu le ratifie.
Ibid.. c. vu, t. ï, col. 1302 B. 1299 A. Bien plus, le rite et l'efficacité
du sacrement semblent déjà suffisamment exprimés dans cette
phrase du c. ix : Sufficiamus ad enarrandam felicitatem ejus
matrimonii, quod Ecclesia conciliai, et confirmai oblalio,

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51 I SACREMENTS. NOTION, LES PÈRES LATINS .12 la
controverse, mais simplement à en dégager les conséquences
dogmatiques au point de vue de la théologie générale des
sacrements. D'une part. Cyprien et ies rebaptisants, tout comme
leurs adversaires, confessent que l'efficacité des sacrements leur
vient du Saint-Esprit. D'autre part, ils attachent l'action du Saint-
Esprit au fait d'appartenir à l'Église. Comment le ministre qui, n'étant
pas dans I I n'a ni la vraie foi, ni la grâce, ni le Saint-Esprit, pourrait-
il en faire part à un autre? Episl., lxx, n. 1 : lxix. n. .S; lxxi. n. 1. p.
767, 757, 771. Les hérétiques sont donc incapables de conférer
validement baptême, confirmation et ordre : hœrelicum hominem
sieut ordinare non licet, ncc mamim imponere, ita nec baptizare, née
quicquam tancte et spiritualiler gerere, quando aliénas sit a spiritali
et deijica sanctitate. Epist.. lxxv, n. 7, p. 81"). L'attitude du pape
Etienne et le triomphe partiel de sa pratique montrèrent qu'une
tradition dogmatique (nihil innovelur nisi quod traditch est ) existait
dans l'Église, disjoignant la question de la validité de celle de la
licéité ou même de la fructuosité du sacrement, ou encore la
question du pouvoir et celle de la valeur morale ou de la foi du mini.
Ire. Le parti romain n'avait pas manqué d'ailleurs de mettre en relief,
d'une manière explicite, cette dernière distinction : il insistait sur la
puissance des noms divins invoqués dans la formule baptismale,
puissance qui s'exerce indépendamment de la foi ou de la dignité du
ministre. Cf. S. Cyprien, Epist., i.xxm, n. 4; i.xxv. n. 9, p. 781. 81.").
C'est surtout dans le Liber de rebaptismate qu'est exposée cette
considération dogmatique. Pour recevoir toute l'efficacité du
baptême, remarque l'auteur de cet écrit, il faut renaître de l'eau et
de l'Esprit. C. Il, éd. Hartel, p. 71. Sans doute, renaître de l'Esprit est
la chose principale, puisque la cérémonie de l'immersion est
susceptible d'être suppléée, comme on le voit dans le martyre. C. xi,
xiv, xv, p. 83, 86-87, 88-89. Toutefois, on peut renaître de l'eau sans
renaître de l'Esprit : l'un peut aller sans l'autre. C. in, iv, p. 73-74.
Ainsi en est-il dans le baptême des hérétiques. L'immersion faite par

39. un hérétique > au nom de Jésus » (sur cette formule employée par
les Romains, voir A. d'Alès, La théologie de saint Cyprien, p. 228-
229) garde la vertu de cette invocation, et cette vertu est telle
qu'elle commence l'œuvre de la régénération. Le rite n'a pas besoin
d'être renouvelé. C. vi, vu, x. xn, xvi. p. 76-7X. 81. 83, 87. Si le
baptisé meurt avant de revenir à la vraie foi, son baptême non
seulement ne lui sert de rien, c. vi, vu, x, mais il aggrave sa
condamnation. Par contre, s'il se convertit, c'est assez de compléter,
par la collation du Saint-Esprit (l'imposition des mains), la première
cérémonie, pour qu'elle obtienne son plein et entier effet. C. x. cf. c.
xn; xv. On le voit, la querelle des rebaptisants servit, à sa manière, à
faire progresser le dogme de l'efficacité du rite baptismal. Par
contre, le symbolisme sacramentel n'est envisagé par Cyprien que
d'une manière rapide et superficielle. L'eau signifie l'ablution
intérieure de l'âme; elle garde sa signification, quel que soit le mode
du baptême, immersion ou simple aspersion (infusion). Epist., i.xix,
n. 12. p. 761. De même, l'huile est l'image de l'onction spirituelle de
l'âme. Epist., lxx, n. 2, n. 768. I e i il- m rement est également
appliqué par Cyprien a la confirmation (saeramenlo utroque mis
euntur). Epist.. lxxii, n. 1; cf. lxxiii. n. 21. p. 775, 79.">. L'évêque de
Carthage en indique le fruit propre : signaculum divinum, Epist..
i.xxm, n. y. p. 785; cf. n. 6, p. 783; ou signum Christi. Ad
Demetrianiun c. xxii, p. 367. Pour la validité de la confirmation,
connue pour celle 'lu baptême, Cyprien (comme Firl .l'un faux
supposé, a savoir que pour donner le Saint-Esprit au nom du Christ,
le ministre doit déjà le posséder connue mandataire de l l glise.
Epist.. lxxv, n. 12. p. 81S et n. 18. p. 822. Mais, en affirmant que
l'imposition des mains (manuum imponere ad accipiendum Spirilum
Sanction ) confère le Saint-Esprit. Cyprien n'ignore pas que le
baptême est inséparable du Saint-Esprit. La confirmation ne fait
donc qu'apporter une plénitude d'un don déjà possédé. Epist.. i.xxiv.
p. 802; cf. iT irmilieii ) Epist., lxxv, n. 9, p. 816. En ce qui concerne le
sacrement de l'eucharistie, le symbolisme sacramentel est fortement
développé et utilisé. Rappelons tout d'abord que la foi de saint
Cyprien en la présence réelle est aussi ferme que possible. Voir ici
Eucharistie, t. v, col. 1132 sq.; cf. .1. 'fixeront, op. cit.. t. i. p. 136

40. sq.; P. Batiffol, op. cit., p. 227 sq. Sous ce rapport, l'efficacité du
sacrement est donc indiscutable. Son symbolisme est multiple et
Cyprien en présente les différents aspects selon les exigences de la
controverse. Défenseur de l'unité de l'Église contre les novatiens, il
trouve dans l'eucharistie le symbole de cette unité. Le pain est
composé dune multitude de grains de froment moulus ensemble: il
représente les fidèles unis au Christ et ne formant qu'un corps
mystique avec lui. Epist., i.xix. n. 5, p. 72n. C.- symbolisme avait
déjà été souligné. par la Didachè, voir col. 199. Quelques évêques
d'Afrique avaient une pratique singulière, celle de ne mettre dans le
calice que de l'eau, sans vin. A ces ■ aquariens », Cyprien rappelle
dans la lettre lxhi la discipline de l'Église sur ce point et le
symbolisme qu'il comporte : il faut les deux, vin et eau; l'eau
mélangée au vin est la figure du peuple chrétien uni au Christ, n. 13,
p. 711. Le symbolisme du sacrement se retrouve également dans le
sacrifice : l'eucharistie est le symbole lu sacrifice du Christ; mais elle
n'est pas un pur symbole, elle est aussi un vrai et complet sacrifice,
n. 17, p. 715. Le sacrifice de l'eucharistie est une représentation du
sacrifice du Christ, mais une représentation qui en contient vraiment
la réalité. Voir le développement de ces idées dans A. d'Alès, op. cit.,
p. 249-262. L'efficacité du sacrement existe également par rapport
aux effets produits par l'eucharistie dans l'âme du chrétien. Avant
tout, l'eucharistie produit notre incorporation au Christ : « Nous
demandons chaque jour que notre pain, c'est-à-dire le Christ, nous
soit donné; afin que. demeurant et vivant dans le Christ, nous ne
nous séparions pas de ce corps qui nous apporte la sanctification.
«De oiat. dom., c. xvm. édit. Hartel, p. 280. L'eucharistie est encore
le sacrement de la force et de la vaillance spirituelles, le sacrement
qui fait les martyrs. Aussi, à l'approche de la persécution, saint
Cyprien décide-t-il de relâcher quelque chose de la rigueur ordinaire
et d'admettre à la communion même les apostats, s'ils donnent des
gages de repentir. Ne faut-il pas les munir pour la vie et les armei
pour de nouveaux combats? Epist., lvii, n. 2. p. 651 i Ce qui est à
remarquer chez Cyprien, c'est la manière dont il veut, à l'exemple de
Tcrtullicn dont il s'inspire volontiers, rendre sensible la réalité de
l'action divine dans le sacrement. Tout le passage du lie oratione

41. dominica, dont nous venons de donner la conclusion, marque cette
action dans l'eucharistie. Voir A. d'Alès, La théologie de saint
Cyprien, p. 268-269. La pénitence est présentée par Cyprien comme
la rémission des péchés par le ministère des prêtres. De lapsis. n.
29. p. 2.">S. Cefte seule indication suffirait a montrer que la
pénitence est un sacrement. Confession (exomologèse), satisfaction,
réconciliation, tels sont les trois actes de la pénitence, tels que
Cyprien. âpre, Tertullien, les énumère et décrit. Les mots dont
Cyprien se sert pour parler de la réconciliation :

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513 SACREMENTS. NOTION, LES PÈRES LATINS remissio,
pax, communicatio (participation à la communion), indiquent bien
l'effet même du sacrement. Comme Tertullien, Cyprien nous montre
le rite de la réconciliation dans l'imposition des mains accomplie par
l'évêque et par le clergé. Epist., xv, n. 1, p. 514; xvi. n. 2, p. 518;
xvn, n. 2, p. 522; xvin. n. 1, p. 524; xix. n. 2. p. 525; i.xxi. n. 2, p.
772; lxxiv. n. 1. p. 799 (citation «lu pape Etienne), n. 12. p. 809. On
trouve la même imposition de.s mains pour la réconciliation des
pénitents dans deux suffrages émis au concile de septembre 256,
Senientise episcoporum, n. 8 et 22, p. 441. 1 15. Nous avons ainsi,
chez Cyprien, tout l'essentiel du rite sacramentel de la pénitence.
Cyprien s'étend longuement sur les qualités que doivent posséder les
évèques et les ministres inférieurs à l'épiscopat. 11 détaille
minutieusement toutes les conditions d'une ordinatio justa et
légitima. Mais il est. au contraire, très discret sur le rite sacramentel
de l'ordination. Chez Cyprien. les mois ordinare, ordinatio, Epist..
lxxii, n. 2. p. 776; lxvii, n. 4, p. 738; xxxviii. p. 579-581, et d'autres
mots dans le cas du prêtre et des sous-diacres et lecteurs, Epist., xr,
p. 585-580, désignent immédiatement l'élection même à l'ordre;
mais, dans leur sens plénier, ils expriment aussi le rite sacramentel,
qu'à coup sur Cyprien ne méconnaît pas. Il y fait même une allusion
directe, à propos de la consécration épiscopale de Sabinus Epist.,
lxvii, n. 5, p. 739. Une autre allusion se rencontre sous la plume du
pape Corneille, écrivant à Cyprien, Epist., xlix, n. 1. p. 610, à propos
de Xovatien, qui, on le sait, se procura l'imposition des mains de
trois évèques d'Italie. Voir Ordre, t. xi, col. 1246. L'ordination a pour
effet de conférer le Saint-Espiit : or, le Saint-Esprit ne se trouve que
dans l'Église catholique. Les ordinations faites par des hérétiques ou
des schismatiques sont donc nulles : validité et licéité ne font qu'un
pour Cyprien. Epist., lxix. n. 11, p. 759; cf. n. 8, p. 757. Confusion
qui sera une source de cou Hits pendant mille ans dans l'Église
catholique, voir Réordinations, t. xiii, col. 2396 sq., mais qui aura du
moins pour résultat, comme la querelle des rebaptisants, de mettre

43. en évidence la distinction entre validité et licéité. En somme, du
moins pour les cinq sacrements dont on vient de parler, saint
Cyprien possède déjà une notion suffisamment nette du silène sacré,
producteur de la grâce dans l'âme de qui le reçoit. Peu de choses
manquent encore pour arriver à la notion complète et définitive. 3.
Les prédécesseurs immédiats il:' suint Augustin au IVe siècle. — ■
L'Église latine, au iv siècle, connaît, sans discussion possible, les rites
producteurs de la grâce que nous désignons aujourd'hui sous le nom
de sacrements. Toutefois, ce nom est encore plus spécialement
réservé aux trois sacrements île l'initiation chrétienne, baptême,
confirmation, eucharistie. C'est uniquement de ces sacrements
qu'ont parlé saint Ainbroise dans son De mysteriis et l'auteur du De
satramentis. Toutefois, ces auteurs ont émis des idées générales qui
peuvent s'appliquer à tous 1rs sacrements. Ces deux auteurs
distinguent nettement le rite luimême et la grâce produite en celui a
qui l'on applique le rite. Ambroise, De mysteriis, n. .s. 11. 20, P. !
■■■ t. xvi (édit. de 1866), col. 108 H. 109 C, 411 H; De sacramentis,
1. I, n. 10, col. 138 C. Mais le rite luimême comporte un
symbolisme, répondant à la double nature de l'homme, et qui csl a
la hase de son efficacité. L'eau ou l'ablution est la figui i cation
intérieure qui résulte du baptême Cum ex duabus naturis homo, id

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SACREMENTS. NOTION, LES PÈRES LATINS 5 I 5 une nette
et explicite distinction de la validité et de l'efficacité nu fructuosité du
sacrement, Optât s'engage cependant résolument sur la voie qui y
conduit. Pour lui. trois facteurs (specics) sont à distinguer dans le
baptême : la formule trinitaire avec laquelle on le confère, le croyant
qui le reçoit, celui qui l'administre. Ces troi., facteurs n'ont pas la
même importance : deux sont nécessaires, le troisième est d'une
nécessité moindre. Tout d'abord, l'invocation trinitaire : rien ne peut
se taire sans elle. Ensuite la foi du sujet baptisé. Enfin, ricina, quse
simili aucioritatt esse non potest, la personne du ministre. !.. V, n.
-1. col. 1051 B. Le baptême est comme un corps qui a des membres,
des éléments déterminés, invariables, qui ne sauraient changer. Or,
la personne du ministre ne fait pas partie de ces éléments
immuables. Les sacrements sont donc indépendants de lui. Ils sont
saints par eux-mêmes, non par les hommes qui les donnent :
sacramenla per se esse sancta, non per homines. Col. 1053 A. Les
hommes ne sont que les ouvriers, les ministres de Dieu, les
instruments de Jésus-Christ, ministre principal du baptême. Ils ne
sont pas les maîtres du sacrement qui est chose divine, ils ne font
qu'en appliquer le rite. C'est Dieu qui purifie l'âme et la sanctifie et
non pas l'homme. Col. 1053 A. Optât parle d'une manière générale
et étend lui-même ses conclusions à la confirmation. L. VII, n. 4, col.
1089 AB. L'importance accordée par Optât à la formule trinitaire
montre que cet auteur rejetait comme invalide le sacrement
administré par des hérétiques, faute de vraie foi dans le sujet ou le
ministre. On cite surtout 1. I. n. 12; 1. V, n. 1, col. 007-908, 1045 A.
Voir aussi saint Pacien, Epist., m, n. 3, 22. P. L., t. xiii. col. 1065,
1078. Quoi qu'il en soit, Optât n'hésite pas en ce qui concerne le
baptême des simples schismatiques et des pécheurs manifestes :
leur baptême est valide et ne doit pas être renouvelé. Cf. 1. V, n. 3,
col. 10-18 B. Les Pères du ive siècle admettent que le baptême est
efficace même à l'égard des enfants sans raison. Zenon, Tractalus, 1.
II, xm, n. 11; cf. 1. II, xi.in, n. 1, P. L., t. xi, col. 353 B, 493; Sirice,

45. Epist., i, n. 3. P. L., t. xm, col. 1135 A. Il leur est nécessaire pour
entrer dans le royaume des cieux. Ambroise, De Abraham. 1. II, c.
xi, n. 84, P. L., t. xiv (édit. de 1800). col. 521 C. Ce baptême est
unique et ne saurait être renouvelé, s'il est administré validement.
Zenon, Tract., 1. II. xxxvi, P. L., t. xi, col. 482: Ambroise. In Luc. 1.
VIII, n. 78, P. L., t. xv. col. 1880 D. Du côté du sujet, certaines
dispositions sont la condition de l'intervention divine. C'était déjà la
thèse de saint Optât; mais on note encore quelques hésitations
touchant la portée de cette condition. S'agit-il d'une condition à la
validité ou simplement à la fructuosité du sacrement? La chose n'est
pas claire. Voir la lettre de Sirice à Himérius de Tarragone, n. 2. P. L.,
t. xm, col. 1133 A, et S. Ambroise, De Spirilu Sancto, 1. I. c. m, n.
42, P. L., t. xvi. ecl. 743 A. Nous trouvons également chez nos
auteurs les indications relatives aux ministres du baptême. Cf. S.
Jérôme, Dialng. contra lucijerianos, n. 9, P. L., t. xxm (édit. d. 1865),
cil. 172 BC. Mais ils s'étendent surtout sur lis effets produits par ce
sacrement. Le baptême efface les péchés, nous dépouille du vieil
homme, nous revêl de Jésus-Christ et nous régénère; il nous rend
les temples de Dieu, les enfants adoptifs de Dieu, nous communique
le Saint-Espri*, donne à nos corps l'immortalité et nous met en
possession de l'héritage céleste. Cf. s. Hilaire, In ps. lziii, n. 11;
1X711, n. 30; ;,.|-, n. II. /'. L., t. ix. col. 344 A. 165 A, 128 C; In
Mallh., c. n, n. 6; c x. n. 21. ibid., 516 col. 927 B, 970 C: Yictorin de
Pettau, In epist. ad . in. v. 27; iv, y 10. P. L.. t. vin, col. 1173 B, 1181
B: Zenon. Tract., 1. I, xn, n. 4; xm, n. 11; 1. II, xiv, n. 1; xxvii, n. 3:
xl: l; lxiii, P. L., t. xi. col. 311 D. 353 A. 436 sq., 469 B, 488 sq., 506,
519 A; S. Pacien, Serm. de baptismo, n. 3, 0, P. L., t. xm, col. 1091.
1C92; S. Ambroise, In ps. cxviii, serm. i. n. 17. P. L., t. xv. col. 1271
D; De Caîn et A bit. 1. II. n. in. t. xiv. col. 364 Ali: De inlerpellatione
.lui, et David, 1. IL n. 36. ibid., col. 800 CD; cf. De sacramentis, 1.
III, c. i, n. 2. P. L., t. xvi, col. I5il C: S. Jérôme, Dialng. contra
luciferianns. n. 6, P. L., t. xxm. col. 108-100: Nicétas. De sijmbolo, n
lu. P. L., t. lu, col. 871 C. Le rite de la confirmation présente, lui
aussi, le symbolisme et l'efficacité propre aux rites sacramentels.
C'était l'imposition de la main et l'onction d'huile parfumée qui la
suivait. L'existence de ce rite est affirmée par tous nos auteurs. En

46. sortant de la piscine baptismale, le baptisé recevait une onction
verticale sur la tête, et l'évêque lui imposait ensuite la main en
invoquant l'Esprit septiforme. Sur cette onction, faite avec le saint
chrême par le prêtre ou par l'évêque, voir ici t. n, col. 210. Bien
n'indique qu'elle appartint à la confirmation. C'est au IVe siècle que
l'usage s'introduisit à Rome, et plus tard dans les Églises de rite
gallican, d'ajouter à l'imposition de la main un signe de croix fait au
front avec le pouce trempé dans le saint chrême. Voir ici, t. m, col.
1939. Cf. P. Galtier, La consignation à Carthage et à Rome, dans
Recherches de science religieuse, juillet 1911; La consignation dans
les Églises d'Occident, dans Revue d'histoire ecclésiastique, janvier
1912. Le résultat de cette cérémonie est de parfaire le chrétien, quia
post fonlem superest ut perfectio fiât, de faire descendre en lui
l'Esprit-Saint, de lui imprimer une marque, un caractère, spirilale
signaculum, signaculum quo fides pleno fulgeat sacramento. De
sacramentis, 1. III, n. 8, P. L., t. xv, col. 434; S. Ambroise, De
mysteriis, n. 41-42, t. xvi, col. 401-402. Saint Ambroise expose les
multiples symbolismes de la confirmation. L'onction rappelle l'onction
faite autrefois sur la tête et sur la barbe d'Aaron; elle est la figure de
l'onction spirituelle, par laquelle nous sommes oints membres du
royaume de Dieu et prêtres. Ibid., n. 30, col. 415. Sur la distinction
de la confirmation et du baptême, voir plus loin. Institution des
sacrements, et ici, t. ni, col. 1041-1H12. Les Pères du ive siècle n'ont
aucune hésitation sur la puissance de.- paroles consécratoires du
pain et du vin dans l'eucharistie. La présence réelle est un dogme
affirmé par eux avec une netteté absolue. Voir ici Eucharistie, t. v,
col. 1151-1158. Si quelques expressions leui échappent encore,
empruntées au symbolisme des espèces sacramentelles, elles ne
détruisent pas la force de leur témoignage en faveur du réalisme et
s'expliquent facilement en raison du symbolisme lui-même dont elles
procèdent. Ce symbolisme sacramentel de l'eucharistie est exprimé
avec une rare précision par saint Ambroise, grâce à sa doctrine déjà
très explicite de la conversion eucharistique. La • ration divine » de
l'eucharistie, « opérée par les paroles mêmes du Christ », « change
la nature > du pain et du vin et en fait « le sacrement du corps et
du U Sauveur ». Quand on considère ce mystère, bien mieux encore

47. que lorsqu'il s'agit du baptême, il ne faut pas s'arrêter à ce qui se
voit. Ce qui se voit, c'est le sacrement du corps et du sang du Christ,
c'est-à-dire le signe, le symbole sous lequel le corps et le sang du
Christ sont réellement piésents : Forte dicas : aliud video, quomodo
tu mihi asseris quod Christi corpus accipiam ?... Probemus non hoc
esse quod natura formaoit, sed quod benediclio consecravit...

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.M 7 SACREMENTS. NOTION, LES PÈRES LATINS 518 Quod
si tuntum valu.it hvir.ana benedictio, ut naluram converteret (cf. III
Reg . wiii. 38). quid dicimus de ipsa consecraticne divina, ubi m bu
ipsa ! salvatoris cpcrantur? Nom sacramentum istud qui il accipis,
Christi sermone conficitur... Ante benedictionem verborum
cselestium alla species ncminatur, post consecralionem corpus
signiftcatur. De mijsteriis, n. 50, 52, 54, P. t., t. xvi, col. 422 C, 123 C
Cf. De saeramentis, 1. IV. n. 1-1. 23. col. I l [63 B Ce texte
ambroskn est capital; il marque non seulement le symbolisme des
espèces après la consécration, mais encore l'efficacité des paroles
empruntées au Christ lui-même. La même valeur d'expression se
retrouve dans le texte du De saeramentis, dont l'auteur semble avoir
copié saint Ambroise : Tu forte diels : Meus punis est usiialus. Sut
punis iste punis est unie verbu sacramentorum : ubi accesserit
consecratio, de pane fit caro Christi. Et, pour expliquer l'efficacité
des paroles sacramentelles, il prend l'ex< mple de la création : Si
innlu vis est in sermone lit mini Jesu ut inciperent esse qiw m n n
mit, quanto magis operalorius est ut sint quse étant et m atiud et
wn:uteniur. Et la même efficacité se révèle par rapport au vin : Ante
verba Christi calix est vini et uquie plenus : ubi verbu Christi operata
juerinl, ibi snnyuis Christi rflicitur. qui plebem redemit. L. IV, n. 14-
16, 19, 23; Cf. 25; 1. VI, n. 2-4. P. /... t. xvi, col. 459 sq., 462 A, 463
B, 40-1 A, 473 sq. Outre l'efficacité dans la conversion au corps et
au sang du Christ, il y a encore l'efficacité sanctifiante de
l'eucharistie. C'est ce fine l'évêque de Milan veut exprimer en
affirmant que le corps de Jésus-Christ dans l'eucharistie est un eorps
spirituel, c'est-à-dire une nourriture spirituelle, la nourriture que peat
donner le Verbe qui est esprit. De mysteriis, n. 58, P. L., t. xvi, col.
42G B. Aussi l'auteur du De saeramentis, îecommande-t-il la
communion fréquente, voire quotidienne : Accipe quotidie quod
quotidie tibi prosit. Sic vive, ut quotidie merearis accipi re. L. V, n.
25, t. xvi. col. 471 C. Il blâme les Grecs qui ne communient qu'une
fois l'an. ld.. ibid. Cette communion exige des dispositions de la part

49. du chrétien, tout au moins une conscience pure. La communion
sacrilège encourt une condamnation divine. Cf. Zenon. Tract., 1. L xv,
n. 6, P. L.. t. xi, col. 566; S. Ambroise, De psenilenlia, 1. II, n. 87, t.
xvi. col. 539 AB; l'Ambrosiaster, In episl. D"1 ad Cor., xi, 27-29, t.
xvu, col. 25G CD. Bien reçue, l'eucharistie produit dans l'âme des
fruits précieux. Le premier et le plus grand est de nous faire entrei
par la chair du Christ en participation de s:l divinité : quia idem
Dominus nosler Jésus Christus consors esl et divinitatis et corporis;
et tu. qui accipis carnem, divine ejus substuntin- m illo participaris
alimente De saeramentis, 1. VI, n. I. /'. I. . t. xvi, col. 17.". A: cf. S.
Hilaire, De Trinitate, 1. VIII, n. 13 II. P. L., t. x, col. 246-247. Cette
participation à la divinité du Sauveur nous communique la vie, la vie
surnaturelle. la vie éternelle, la rémission des péchés, le pouvoir de
produire des œuvres de salut e. de nous combler de joie céleste. Cf.
S. Hilaire, In ps. CXXVIl, n. 6, P. L.,t. ix, cal. 706 B; S. Ambroise, De
benediclionibus patriureliurum. n. :;'.'. P. £., t. XIV, col. 720 A; In
lue., 1. X, n. 49, t. xv, col. [908 C: et l'auteur 'lu De saeramentis, 1.
V, n. 11 17, I. xvi. col. 468 169. Les autres sacrements, pas plus au
iv> siècle qu'aux époques précédentes, ne se prêtent, sous la plume
des écrivains eccli m; stiques, à des considérations sur leur
symbolisme. Du moins leur efficacité est-elle attestée, avec la même
loree. Saiul Patien affirme, dans l'Église, le pouvoir de pardonner les
péchés, «a- pouvoir apparticnl aux eveques. qui mil reçu le droit de
lier ci de délier. Epist., III, n. 12; cf. Dpist.. i. 5. C. non pas qu'ils le
fassent par leur propre vertu, mais parce qu'ils il au nom de Dieu :
Solus hoc, inquics. liens poterit. Verum est. si il et quod ;>er
sacerdotes suos jnc.it, ipsius potestas est. Ibid., î, n. 6; m. n. 7. Ce
pouvoir n'est pas attaché à Imr sainteté personnelle, mais il découle
tout entier ex apostolico jure, i. n. 7, et il est distinct iu pouvoil de
remettre les péchés dans le baptême, m. n. il. P. L.. t. xm, col. 1071,
10J .. q., 1057 A. ici >; AD. 1058A, 1070 sq. Bien plus. Pacien établit
un parallélisme entre l'action des sacrements de baptême e1 de
confirmation et l'action de la discipline péniti ntit lie. Si ergo et
lavacri et chrismalis potestas, majorum (et) longe charismatum ad
episcopos inde descendit (c'est-à-dire des apôtres), et ligundi qui,
que jus adfuii nique solvendi. Epist., i. n. Ci, /'. I... t. xm, col. 1057.

50. Voir ici. t. xn, col. 810. Saint Ambroise enseigne pareillement
l'efficacité de la pénitence, le pouvoir des prêtres de remettre les
péchés, pouvoir tmprunté à Dieu lui-même et dans l'exercice duquel
les prêtres ne sont que l'instrument de la Trinité : Eeee quia per
Spiritum Sanction fiereata donanlur. Domines autem in remissionem
peccalorum minislerium suum exhibent, non jus alicujus potestalis
exercent. Neque enim in suo, sed m Pntris et Filii et Spirilus Sancli m
mine peccata dimitlunt. De Spirilu Sancto, I. III, n. 137, P. L., t. xvi,
col. 842 D. Cf. De pxnilentia, 1. I, n. 7. 36, 37, col. 1X8. 497 CD. 498
A; Inps.ZZXVllJ, n.37, 38, t.xiv, col. 11C7-1108; Inps. i.WHI. si Tin.
x. n. 17. P. 1... t. xv, col. 14(lâ; De Cain et Abel, 1. II, n. 15. P. L., t.
xiv, col. 368 D. Voir également S. Hilaire, In Malth., c. xvm. n. 8, P.
L.. t. ix, col. 1021 B; S. Jérôme, Epist.. xiv, n. 8, P. L., t. xxii, col.
352; In Eeclcsieisten, c. xn, f. 4, P. L., t. xxni, col. 1165; Tractalus in
ps. xcv, dans Anccdeiia Maredsolana, m (2), p. 134. Nous n'avons
pas ici à considérer les actes de la pénitence, ni les progrès qu'y
apporte la discipline du rv« siècle, en Occident. Voir ici t. xn, col. 794
sq. Le seul point qui importe au concept du sacrement est de savoir
si la sentence de réconciliation portée par l'Église est simplement
déclaratoire au for de Dieu, ou si elle possède une réelle efficacité
par rapport à la rémission même des péchés. Voir ici. t. xn, col.
810812. (>n ne peut nier que certains textes, notamment de saint
Jérôme, In Malth., xvi, f. 19, P. L.. t. xxvi, col. 118; cf. Diatog. adv.
luciferianos, n. 5, t. xxm, col. 167, laisseraient penser à une formule
déclaratoire. Voir aussi S. Ambroise. De Spirilu Sancto, 1. III, n. 137,
/'. I... t. xvi. col. 842 D-843 A. Mais ces textes peuvent ê1 ie et . a ni
Ire avis doivent être — -interprétés dans le sens d'un pouvoir
ministériel, instrumental, excluant . en ce qui concerne le premier
texte de Jérôme, le pouvoir île juger arbitrairement, de lier l'innocent
cl de (li lu r le coupable. Les lextes de saint l'acien, de saint
Ambroise et du De saeramentis sont assez nets pour nous donner
l'idée d'un véritable pouvoir de remettre les péchés, mais d'un
pouvoir communiqué par Dieu à l'homme, son instrument. Pour la
première fois, apparaît une- mention de l'extrême-onction, dans la
lettre xxv d'Innocent I" . Décentius, n. 11, P. L., t. xx, col. 559 sq.
Pour l'exégèse de cette lettre, en ce qui concerne l'extrême-onction,

51. voir ce mot, t. v, col. 1952 sq. Deux points importent ici. Innocent
reconnaît l'extrême onction comme l'un des sacrements : elle doit
être nlusée' aux pénitents, qui bus reliqua sacramenlu negantur. De
plus, il lui reconnaît, sans l'expliquer positivement, un certain effet
par rapport au malade, sans exclure, s'il y a lieu, la rémission même
des péchés. Sans doute, le mot siierunienlu encore ici le sens qu'il
aura plus tard, mais il désigne a coup sur une opérai ion sanctifiante
pour

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