Policy 7230A - Department of Administration

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7 System Audit Section 7.1 constitutes the State of Kansas’ System Audit Policy. This policy is accompanied by defined System Audit Non-Mandatory Procedures and Baselines that are distributed in a companion document. Mandatory Non-Mandatory Procedures Baselines Procedures Baselines 7. Systems Audit 7.1. Systems Audit 7.1.1. Configure Auditing Capabilities (4 sets) (3 sets) 7.1.2. Test Auditing Capabilities (3 sets) (2 sets) 7.1.3. Operate Auditing Capabilities (5 sets) (3 sets) 7.1 System Audit The State of Kansas requires that all information systems be configured such that they can be audited on an as-needed basis. This will be achieved through the use of information logging systems that can either be inherent or accessory to the information systems. System audit is used to determine if inappropriate actions, either intentional or unintentional, have occurred within the information system. Without system audits it can be difficult, if not impossible, to determine when a failure of the information system security or a breach of the information systems itself has occurred, the magnitude of the breach or failure, and the details of that breach or failure. Information systems shall be configured to record, at a minimum, all system access events as well as all system administration events. The following specific data points will be collected: • Date of the event • Time of the event • Component of the information system affected by the event • Identity of the user that triggered the event • Outcome of the event where available In addition to the above minimum data collection requirements, information systems must have the ability to capture additional information should it be required. To ensure that time recordings are of the utmost relevance, all information systems, including the audit system if an accessory audit system is used, will be time synchronized with a common source on at least a daily basis. Information systems are to be provided with sufficient primary (on-line) storage to retain a pre-defined time period’s worth of log data and sufficient secondary (off-line) storage to retain a second pre-defined time period’s worth of data. If primary storage capacity is exceeded, the information system shall be configured to immediately notify appropriate administrative personnel and continue logging by over-writing the oldest 24
ecorded logs. In the event of other logging system failures the information system will be configured to immediately notify appropriate administrative personnel but take no other automated actions. All information systems, where the information system has the capability, shall be configured to notify appropriate administrative personnel in the event that inappropriate, unusual and/or suspicious activity is noted. In the event that automated notification fails, all system logs shall be manually reviewed according to a pre-defined period of time. Should inappropriate, unusual and/or suspicious activity be noted, it shall be fully investigated by appropriate administrative personnel and findings reported to appropriate security management personnel. These investigative functions will be supported by a reporting capability within the information system itself or within an accessory auditing system should one be used. This reporting function will have the ability to parse all collected information to produce custom reports. In all circumstances these reports will be automatically timestamped by the reporting system itself. System logs are considered confidential information. As such all access to system logs and other system audit information requires prior authorization and strict authentication whether the logs or other system audit information resides in the information system itself or in an accessory audit system. Further, any access to logs or other system audit information will be captured in those logs. On an annual basis the system audit policies and procedures will be reviewed and, where required, updated. 25
Page 1 and 2: State of Kansas Kansas Information
Page 3 and 4: Table of Contents Introduction ....
Page 5 and 6: Introduction This Security Requirem
Page 7 and 8: • It will ensure that privileged
Page 9 and 10: G. Security Administrators Security
Page 11 and 12: 2 Assessment & Security Planning Se
Page 13 and 14: 3 Awareness & Training Section 3.1
Page 15 and 16: 4 Access Control Sections 4.1, 4.2,
Page 17 and 18: potential exists that legitimate us
Page 19 and 20: 5 Systems Configuration Sections 5.
Page 21 and 22: Collaborative computing infrastruct
Page 23 and 24: Where data requires encryption, tha
Page 25 and 26: 6 Systems Operation Sections 6.1, 6
Page 27: Only pre-approved maintenance tools
Page 31 and 32: event that an incident occurs, the
Page 33 and 34: 9.2 Contingency Infrastructure The
Page 35 and 36: 10 Physical Security Sections 10.1
Page 37 and 38: automatically shall notify appropri
Page 39 and 40: copy of the signed document will be
Page 41 and 42: 12 Secure Purchasing/Acquisition Se
Page 43 and 44: CA-1 Certification, Accreditation,
Page 45 and 46: PE-18 Location of Information Syste
Page 47 and 48: Appendix B - Matrix of Responsibili
Page 49 and 50: Part 2 - Non-IT Roles (See Page 3 f
Page 51 and 52: Appendix C - Supporting Document Cr
Page 53 and 54: Mandatory Non-Mandatory Procedures
Page 55 and 56: Integrity The second of the three g
Page 57 and 58: State of Kansas Mandatory Procedure
Page 59 and 60: 6.2. Integrity Operations .........
Page 61 and 62: 2. Assessment & Security Planning T
Page 63 and 64: 2.2. Create a Security Plan No appl
Page 65 and 66: 3.1.1.2 Create Training Materials O
Page 67 and 68: Operations Training is defined as t
Page 69 and 70: access individual system authentica
Page 71 and 72: 5. Systems Configuration These Syst
Page 73 and 74: 5.3.1.3 Restrict Access to Media No
Page 75 and 76: • When no longer required, data s
Page 77 and 78: 8. Incident Response These Incident
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Capture documentation appropriate t
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Different types of disruptions requ
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9.3.2.1 Perform System Backup Back
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11. Personnel Security These Person
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12. Secure Purchasing/Acquisition N
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Table of Contents Introduction ....
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Introduction This Mandatory Baselin
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2.1.2.c Information Protection •
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o Appropriate physical security mea
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4. Access Control These Assessment
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5. Systems Configuration These Syst
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5.3.1.c Media Disposal Methods •
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6.4. Maintain Records Agencies must
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8. Incident Response These Incident
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9.1.1.c Contingency Plan Update Fre
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Mandatory Baselines • Systems man
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10. Physical Security No applicable
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• Data is to be used for its inte
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State of Kansas Non-Mandatory Proce
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6.3. Maintenance Operations .......
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Introduction This Non-Mandatory Pro
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2.1.1.4 Likelihood Determination Es
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2.2.1.5 Establish Appropriate Secur
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4.3. Session Management The followi
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4.3.2.2 Restrict Intra and Inter-Sy
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5.1.1.3 Actively Maintain Inventory
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5.1.3.3 Provide Implementation Docu
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• Place all media in a locked con
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6. Systems Operation These Systems
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6.2. Integrity Operations The follo
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6.3.2. Perform Patch and Vulnerabil
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6.4. Maintain Records Agencies shou
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7.1.1.3 Require Authenticated Acces
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8. Incident Response These Incident
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8.1.2.2 Develop Supporting Strategi
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9. Contingency Planning No applicab
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10.1.1.2 Implement Physical Access
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• Review created accounts and ass
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11.2.4.3 Recover all Organizational
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12.1.1.3 Required Test and Validati
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State of Kansas Non-Mandatory Basel
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6.2. Integrity Operations .........
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Introduction This Non-Mandatory Bas
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• High risk constitutes high like
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2.3. Maintain Records Agencies shou
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• Systems that have very high ris
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5.1.1.c System and Component Docume
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5.2. Systems Protection No applicab
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o Passwords in the clear. o Violati
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o Penetration testing. o Password c
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o The individuals to be notified. o
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7. Systems Audit These Systems Audi
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eviewed weekly and every system and
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8.1.1.b IR Roles • IR Team Manage
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8.1.2.e IR Plan Update Scheduling a
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10. Physical Security These Physica
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10.2.1.b Power Delivery Specificati
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11.2.2. Hire Employees in a Structu
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Policy 7230A - Department of Administration

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