Evaluation of Department of State Information Security Program ...

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UNCLASSIFIED Table <strong>of</strong> Contents EXECUTIVE SUMMARY ..............................................................................................1 BACKGROUND ............................................................................................................6 RESULTS OF REVIEW .................................................................................................7 A. RISK MANAGEMENT FRAMEWORK NEEDS IMPROVEMENT .....................7 B. SECURITY CONFIGURATION MANAGEMENT NEEDS IMPROVEMENT .....11 C. INFORMATION SECURITY TRAINING REQUIREMENTS WERE NOT ENFORCED ................................................................................................13 D. PLANS OF ACTION AND MILESTONES ARE NOT EFFECTIVE ..................15 E. ACCOUNT MANAGEMENT PROCESSES IN ACTIVE DIRECTORY NEED TO BE IMPROVED...........................................................................................17 F. THE USER PROVISIONING PROCESS FOR CREATING, MODIFYING, AND DISABLING USERS’ ACCOUNTS REQUIRES SIGNIFICANT IMPROVEMENT .........................................................................................19 G. CONTINUOUS MONITORING PROGRAM NEEDS TO BE IMPROVED.........21 H. THE CONTINUITY OF OPERATIONS PROGRAM NEEDS TO BE IMPROVED..........................................................................24 I. INFORMATION SYSTEM CONTINGENCY PLANS NEEDS TO BE IMPROVED .........................................................................26 J. OVERSIGHT OF CONTRACTOR SYSTEMS AND EXTENSIONS NEEDS IMPROVEMENT .........................................................................................29 K. CAPITAL PLANNING REQUIRES IMPROVEMENT .....................................31 LIST OF CURRENT YEAR RECOMMENDATIONS ......................................................36 APPENDIX A. OBJECTIVES, SCOPE, AND METHODOLOGY.....................................41 APPENDIX B. FOLLOWUP OF RECOMMENDATIONS FROM THE FY 2010 FISMA REPORT.....................................................................................................44 APPENDIX C. SYSTEMS WITH INVALID AUTHORITY TO OPERATE ......................47 APPENDIX D. SYSTEMS WITH OUTDATED SECURITY BASELINE CONTROLS .......48 APPENDIX E. VULNERABILITY ASSESSMENT .........................................................50 UNCLASSIFIED
UNCLASSIFIED APPENDIX F. SYSTEMS WITHOUT ANNUAL BACKUP PLAN TESTING ...................55 APPENDIX G. SERVERS WITHOUT CRITICAL PATCHES ........................................56 APPENDIX H. SUMMARY OF DEPARTMENT OF STATE’S CONTINUOUS MONITORING CONTROLS COMPLIANCE WITH FEDERAL GUIDANCE....57 APPENDIX I. SAMPLE SELECTION OF INFORMATION SYSTEMS LISTED IN INFORMATION TECHNOLOGY ASSET BASELINE USED FOR FY2011 EVALUATION ............................................................................................59 APPENDIX J. DEPARTMENT OF STATE RESPONSE ..................................................61 UNCLASSIFIED
Page 1: Office of Inspector General UNCLASS
Page 5: UNCLASSIFIED IT information technol
Page 9 and 10: UNCLASSIFIED patches within require
Page 11 and 12: UNCLASSIFIED We found that the Cont
Page 13 and 14: UNCLASSIFIED improvements regarding
Page 15 and 16: UNCLASSIFIED Diplomatic Security/Se
Page 17 and 18: UNCLASSIFIED Department’s risk ma
Page 19 and 20: UNCLASSIFIED performance. For examp
Page 21 and 22: UNCLASSIFIED � From a sample of 2
Page 23 and 24: UNCLASSIFIED 800-37 18 states that
Page 25 and 26: UNCLASSIFIED � Approximately 300
Page 27 and 28: UNCLASSIFIED � One of 25 OpenNet
Page 29 and 30: UNCLASSIFIED that an organization-d
Page 31 and 32: UNCLASSIFIED indicated that the foc
Page 33 and 34: UNCLASSIFIED Management Response: T
Page 35 and 36: UNCLASSIFIED � Document and maint
Page 37 and 38: UNCLASSIFIED The Department’s con
Page 39 and 40: UNCLASSIFIED For four 46 of 10 appr
Page 41 and 42: UNCLASSIFIED OIG Additional Analyse
Page 43 and 44: UNCLASSIFIED List of Current Year R
Page 45 and 46: UNCLASSIFIED � Develop operating
Page 47 and 48: UNCLASSIFIED required by the Office
Page 49 and 50: UNCLASSIFIED DRAFT We used the foll
Page 51 and 52: UNCLASSIFIED Appendix B. Followup o
Page 53 and 54: UNCLASSIFIED program managers and o
Page 55 and 56: UNCLASSIFIED Appendix D. Systems Wi
Page 57 and 58:
UNCLASSIFIED Appendix E. Vulnerabil
Page 59 and 60:
UNCLASSIFIED For the 16 systems tes
Page 61 and 62:
UNCLASSIFIED SMART-SBU Windows File
Page 63 and 64:
(b) (5) UNCLASSIFIED Appendix G. Se
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NIST SP 800-37 NIST SP 800-37 Confi
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UNCLASSIFIED System Telegram Distri
Page 71 and 72:
UNCLASSIFIED UNCLASSIFIED 3 justifi
Page 74 and 75:
UNCLASSIFIED 6 Department Response
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UNCLASSIFIED UNCLASSIFIED 8 The Dep
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UNCLASSIFIED UNCLASSIFIED 10 • De
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UNCLASSIFIED UNCLASSIFIED 12 The De
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