REPORTS ON COMPUTER SECURITY FOR SCI-HANDLING SYSTEMS
Document Type:
Collection:
Document Number (FOIA) /ESDN (CREST):
CIA-RDP87M00539R000901160028-2
Release Decision:
RIPPUB
Original Classification:
T
Document Page Count:
41
Document Creation Date:
December 27, 2016
Document Release Date:
August 17, 2009
Sequence Number:
28
Case Number:
Publication Date:
January 22, 1985
Content Type:
MEMO
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TfP SFrPFT
The Director of Central Intelligence
Washington. D. C. 20505
NFIC-9.11/1
22 January 1985
MEMORANDUM FOR: See Distribution
SUBJECT: Reports on Computer Security for SCI-Handling Systems
1. The DCI's Computer Security (COMPUSEC) Project began in April 1983 and
is intended to support the DCI in assessing the security of automated systems
processing information derived from sensitive methods and sources, to identify
the threats to automated systems processing such materials, and to recommend
actions for the DCI that will allow him to attest to the acceptability of
operating risks.
2. As part of the DCI's COMPUSEC Project, the COMPUSEC Project Team
developed an assessment on the threat to US automated Intelligence Community
systems (See Attachment 1). Representatives from the NFIC Community have
provided input to this document. This formulation of the "threat" is being
used in conjunction with security assessments of the Intelligence Community's
"critical" automated SCI systems to set program and budget priorities for
immediate security upgrades. This threat point paper also se~to fulfill
one of the DCI's continuing distinctive responsibilities.
3. The SAFEGUARDS document (Attachment 2) identifies security
requireri?ents for the protection of SCI information in the "critical" systems
evaluated as part of the DCI's Computer Security (COMPUSEC) Project. When
fully implemented in the "critical" systems, the SAFEGUARDS will correct the
security shortfalls and reduce to an acceptable level the risks currently
associated with processing this sensitive information in the "critical"
systems. I intend to direct that the SAFEGUARDS be imposed as mandatory
standards for the 13 "critical" SCI-handling systems by the end of FY 86.
These SAFEGUARDS will also be imposed as voluntary standards for other
SCI-handling systems.
4. In June 1984, an interagency Computer Security Technology Panel was
established to assess the application of computer security technologies
against known operational deficiencies within Intelligence Community computer
systems. The panel focused on what could be done, in the near term, with
existing computer security technology and administrative/management actions to
provide security upgrades for our "critical" systems. Specific emphasis was
given to three areas of computer security vulnerability: authentication of
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SUBJECT: Reports on Computer Security for SCI-Handling Systems
users; accountability of operating actions; and labeling of SCI information.
The findings and recommendations of the Technology Panel are provided to you
for your use and comment (See Attachment 3). When these "action-oriented"
recommendations are arrayed against the identified vulnerabilities of the
"critical" systems and the threat against them, it will lead to a plan for
significant improvement in Community COMPUSEC. I intend to pursue these
" es to
recommendations, in coordination with other computer security initia
strengthen the protection of SCI material in computer-based systems.
5. These documents are also being provid the appropriate officials
with responsibilities assigned by NSDD/145.
Attachments:
1) BYE-2227-84
2) Computer Security Technology Assessment Report
3) Uniform SAFEGUARDS for Protection of "Critical
Systems" Processing Intelligence Information
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SUBJECT: Reports on Computer Security for SCI-Handling Systems
Distribution:
Copy 1 - DCI (William J. Casey)
2 - SecDef (Caspar W. Weinberger)
3 - DDCI (John N. McMahon)
4 - EXDIR~CIA (Jim Taylor)
5 - ASD(C I) (Don Latham)
6 - D/INR (Hugh Montgomery)
7 - D/DIA (LtGen James A. Williams, USA)
8 - D/NSA (LtGen Lincoln D. Faurer, USAF)
9 - D/DNI (Rear Admiral John Butts, USN)
10 - Assistant Director, Intel. Div., FBI (Edward J. O'Malley)
11 - DOE/DAS, Intelligence (Charles Boykin)
12 - Treasury (Douglas Mulholland)
13 - Air Force, Under Secretary (Edward C. Aldridge, Jr.)
14 - Army/ACSI (LtGen William E. Odom, USA)
15 - Air Force/ACSI (MajGen James C. Pfautz, USAF)
16 - USMC/DI (BG Lloyd W. Smith, USMC)
17 - NSC (Ken deGraffenreid)
18 - National Security Advisor (Robert McFarlane)
19 - DUSD/P (Gen. Richard G. Stilwell, USA Ret.)
20 - Justice Dept (Mary C. Lawton)
21 - DOC (Irving P. Margulies)
22 - Chm/IPC/CIA (Richard Kerr)
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SECRET
Supplement to
Security Policy on
Intelligence Information in
Automated Systems and Networks
DCID 1/16 dated 4 January 1983
Uniform SAFEGUARDS
for Protection of "Critical Systems"
Processing Intelligence Information
December 1984
SECRET
002
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STAT
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SECRET
UNIFORM SAFEGUARDS
FOR PROTECTION OF "CRITICAL SYSTEMS"
PROCESSING INTELLIGENCE INFORMATION
Supplement
to
Security Policy
on Intelligence Information
in Automated Systems
and Networks
DCID 1/16, 4 January 1983
December 1984
SECRET
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UNCLASSIFIED
FOREWORD
The Deputy Director of Central Intelligence (DDCI) directed that security SAFE-
GUARDS be developed to reduce the vulnerabilities associated with processing information
derived from sensitive intelligence sources and methods in "critical" automated systems and
networks. These "critical systems" were identified by the senior members of the Intelligence
Community and uniform assessments of the security of these systems were made using an
early draft of these SAFEGUARDS. These SAFEGUARDS identify security requirements
which, when satisfied, will significantly reduce the vulnerabilities identified in the assess-
ments of the "critical systems." These SAFEGUARDS requirements are intended as a
transitional step for the Intelligence Community to reduce security risks that are inherent in
existing "critical systems." The Intelligence Community will use the trusted security
products and services of the Department of Defense (DoD) Computer Security Center as soon
as such products and services are developed and are available to be incorporated into the
Community's inventory of automated systems. These SAFEGUARDS reflect the Director of
Central Intelligence's (DCI) requirements for reducing near-term risks until trusted systems
are available and therefore are intended to complement the DoD Computer Security
Evaluation Criteria. The SAFEGUARDS are mandatory for all "critical systems" and
voluntary for all other systems processing information derived from sensitive intelligence
sources and methods. (U)
UNCLASSIFIED
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Table of Contents
Page
1. INTRODUCTION (U) ............................................................................................ 1
II. OBJECTIVE AND GUIDELINES (U) .................................................................. 3
III. ACCREDITATION OF "CRITICAL SYSTEMS" FOR VARIOUS
MODES OF OPERATION (U) .............................................................................. 7
IV. DEDICATED MODE OF OPERATION AND UNIFORM
SAFEGUARDS (U) .................................................................................................. 13
V. SYSTEM HIGH MODE OF OPERATION AND UNIFORM
SAFEGUARDS (U) .................................................................................................. 17
VI. COMPARTMENTED MODE OF OPERATION AND UNIFORM
SAFEGUARDS (U) .................................................................................................. 23
VII. MULTILEVEL MODE OF OPERATION AND UNIFORM
SAFEGUARDS (U) .................................................................................................. 31
VIII. NETWORK SECURITY FOR "CRITICAL SYSTEMS" (U) ............................ 39
IX. GLOSSARY (U) ...................................................................................................... 43
Table 1 Security SAFEGUARDS by Mode of Operation (U) .......................................... 10
Table 2 Modes of Operation for Processing Intelligence
Information (U) ................................................................................................................ 11
V
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IX. GLOSSARY
ACCESS. A specific type of interaction between a subject and an object that results in the
flow of information from one to the other. (U)
AUTHENTICATION. A positive identification, with a degree of certainty sufficient for
permitting certain rights or privileges to the person or thing positively identified. (U)
COMPARTMENTED MODE. See Section VI. (U)
"CRITICAL SYSTEM. " For this document, a "critical system" is a computer system
processing and/or storing intelligence information that has been selected by senior officials in
the National Security Community. (U)
DATAGRAM. A datagram is an internet protocol packet; the packet is made up of a header
and trailer. For the purpose of this document the datagram is the equivalent packet of data as
defined by the network being utilized. (U)
DCI. Director of Central Intelligence. (U)
DCID. Director of Central Intelligence Directive. (U)
DDCI. Deputy Director of Central Intelligence. (U)
DEDICATED MODE. See Section IV. (U)
ESCORT. Duly designated personnel who have appropriate clearances and access approvals
for the material contained in the ADP system and are sufficiently knowledgeable to
understand the security implications and to control the activities and access of the individual
being escorted. (U)
ISSO. Information System Security Officer. (U)
INTELLIGENCE INFORMATION. For purposes of this policy statement, intelligence
information means foreign intelligence, and foreign counterintelligence involving sensitive
intelligence sources and methods, that has been classified pursuant to Executive Order 12356
(or successor order). "Foreign intelligence" and "counterintelligence" have meanings as-
signed them in Executive Order 12333. "Intelligence," as used herein, also includes Sensitive
Compartmented Information (SCI) as defined in the DCI Security Policy Manual for SCI
Control Systems, effective 28 June 1982. (U)
LOW WATER MARK. Of two or more security levels, the least of the hierarchical
classifications, and the set intersection of the nonhierarchical categories. (U)
MULTILEVEL MODE. See Section VII. (U)
NFIB. National Foreign Intelligence Board. (U)
NSO. Network Security Officer. (U)
OBJECT. A passive entity that contains or receives information. Access to an object
potentially implies access to information it contains. Examples of objects are: records, blocks,
pages, segments, files, directories, directory trees, and programs, as well as bytes, words,
fields, processors, video displays, keyboards, clocks, printers' network nodes, etc. (U)
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UNCLASSIFIED
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SBI. Special Background Investigation. (U)
SENSITIVE COMPARTMENTED INFORMATION (SCI). All information and materials
requiring special Community controls indicating restricted handling within present and
future Community intelligence collection programs and their end products. These special
Community controls are formal systems of restricted access established to protect the
sensitive aspects of intelligence sources and methods and analytical procedures of foreign
intelligence programs. The term does not include Restricted Data as defined in Section II,
Public Law 585, Atomic Energy Act of 1954, as amended. (U)
SENSITIVITY LABEL. A piece of information that represents the security level of an object
and that describes the sensitivity (e.g., classification) of the data in the object. (U)
SESSION. An activity for a period of time; the activity is access to a computer/network re-
source by a user; a period of time is bounded by session initiation (a form of logon) and session
termination (a form of logoff). (U)
SESSION SECURITY LEVEL. The security level of a session is the low water mark of the
security levels of: the user, the terminal, a level specified by the user, and the system from
which the session originates. (U)
STORAGE OBJECT. An object that supports both read and write accesses. (U)
SUBJECT. An active entity, generally in the form of a person, process, or device that causes
information to flow among objects or changes the system state. (U)
SUBJECT'S SECURITY LEVEL. A subject's security level is equal to the security level of
the objects to which it has either read only or both read and write access. A subject's security
level must always be dominated by the session security level. (U)
SYSTEM HIGH MODE. See Section V. (U)
TRUSTED SYSTEM. Employing sufficient integrity measures to allow its use for processing
intelligence information involving sensitive intelligence sources and methods. (U)
USER. A user is an individual and/or processes operating on his/her/its behalf. (U)
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Lae
Director of
Central
Intelligence
Computer Security
Technology Assessment
Report
MPUSE
An Executive Overview
Prepared for
The Deputy Director of Central Intelligence
by the
Computer Security Technology Panel
DCI/ICS 84-4036
December 1984
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Computer Security
Technology Assessment
Report
An Executive Overview
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In support of the Deputy Director of Central
Intelligence, in June 1984, the Director of the COMPUSEC
Program established a Computer Security Technology Panel to
address what could be done, in the near term, with existing
computer security technology to improve the security of
critical systems currently operating within the Intelligence
Community. Specific emphasis was given to three areas of
security: authentication of users to an automated system,
accountability of user actions in such systems, and labelling
of information handled by them.
Over a six months period, members of the Technology Panel
met on six different occasions to evaluate state-of-the-art
technology against known vulnerabilities within Intelligence
Community computer-based systems. This report presents the
findings and conclusions of the Technology Panel and presents
specific recommendations for future actions.
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Preface ........................................................ iii
Members of the DCI's Computer Security Technology Panel ...... vii
Introduction .................................................... 1
Context ........................................................ 1
Technology in General .......................................... 2
Software ....................................................... 3
Security Compliance ............................................ 4
Authentication .................................................. 6
Labelling ....................................................... 8
Accountability .................................................. 13
Guard Technology .............................................. 15
Certification and Accreditation ............................ . ..... 16
Information Sharing ............................................ 17
Specific Vendor Systems ........................................ 18
General Security Upgrading .................................... 19
Research ....................................................... 20
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MEMBERS OF THE DCI'S COMPUTER SECURITY
TECHNOLOGY PANEL
Organization
CHAIRMAN
COMPUSEC PROJECT DIRECTOR
EXECUTIVE SECRETARY
Principal
Laboratory
NSA
of Standards
NSA
Alternate
FBI Mr. William E. Kardash, Jr. Mr. Franklin Standifer
Federal Emergency Dr. John LaBarre Mr. Bruce J. Campbell
Management Agency
OUSDRE
CIA
Aerospace Corporation
Naval Intelligence
Command
Captain Phil McKnight
Department of State Mr. Lynn McNulty
System Development
Corporation
DARPA Dr. Steve Squires
Chemical Abstracts Dr. Ronald Wigington
Service
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Report of the Technology Panel
This is the executive overview of the report of the Technology
Panel of the DCI's Compusec project. It offers the DCI a series of
action-oriented recommendations that he can use to improve the security
status of critical systems and to assist system managers of Community
automated information systems. It addresses primarily the short term
"quick fix" actions that can be promptly initiated. When these
technology oriented recommendations are arrayed against the identified
vulnerabilities of the critical systems and the threat against them, it
can lead to a plan for significant security improvements. By extension,
it also addresses key ingredients that should be included in the
planning for and implementation of systems coming into the inventory.
The views expressed here are those of the individual Panel members
who participated as skilled practitioners of the information system art.
Specifically the views may not reflect the position of the organizations
from which the Panel members were drawn.
We address three issues which were selected for the specific
attention of the Panel: authentication of users to an automated system,
accountability of user actions in such systems, and labelling of
information handled by them. Two of the three--accountability and
labelling--are primarily software issues; the third, authentication,
involves specialized hardware as well as accompanying terminal-level and
host-level software.
Although we were told that the critical systems did use
commercially available hardware and software, neither the technical
details nor the operational names of the "critical systems" were made
available to the Panel. This impeded our ability to relate our
experience with various hardware/software combinations to system-
specific suggestions for remedial actions to the critical systems.
There is consequently a risk that our observations and intuitions will
be incorrect, with the result that our recommendations may be slightly
off-target.
Notwithstanding the arms-length arrangement and lack of specific
details, our comments and recommendations below are based on the
collective knowledge of the Panel and on its composite experience with
many systems installed elsewhere. We believe that the DCI's critical
systems, even though implemented to handle security sensitive
information, are not likely to be very different from those of our
experience.
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Since there is a temptation to believe that technology can readily
be invoked to fix a wide class of computer-related problems, some
general observations are in order.
Some aspects of security safeguards for automated infomation
systems have long been understood; e.g., TEMPEST, physical protection,
COMSEC. However, those safeguards which depend on software processes
and/or a combination of software features plus supporting hardware
features do not yet have a well-established foundation such as that
found in the COMSEC area. Thus, there is not yet a wide variety of off-
the-shelf products that can be simply "dropped in" to achieve some
significant gain in security protection. Therefore, we conclude that
A. In the near term the DCI can not expect there to be a plethora
of sophisticated technology that can be readily applied to the
problems of his critical systems.
On the contrary, we conclude that
B. The DCI should expect to utilize low-level technology and
management/administrative actions that can be promptly applied
for important security improvement over the short term, i.e. 2
to 4 years.
The first order quick fix is not even technology, but rather
upgrading installed systems to the level of guidance now regularly
supplied to Community contractors; all systems should be brought into
compliance with security safeguards that are well understood and readily
employed, e.g., proper generation and management of passwords.
Such procedural, administrative, and in-hand technology approaches
must be exploited prior to seeking elegant technical "magic solutions"
to security shortfalls.
The explosive growth in technology indicates that ongoing attention
must be given to security safeguards; it is not and will not be a static
issue. Dramatically new operational circumstances will arise and
require new approaches to security policy and corresponding safeguards.
For example, computer terminals are being connected to broad-band local
area networks, and the COMSEC protective mechanisms are being
incorporated directly into each terminal. In contrast, key generators
traditionally have been protected in locked physical spaces. Again,
newer terminals--especially the so-called smart ones--have local storage
which may include removable media such as floppy discs and permanent
disc storage; thus, the protective mechanisms that are now required in
the main computer will in the future have to be implemented in each
terminal as well.
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Since many desirable security safeguards must eventually be
implemented in either the system's so-called "operating system software"
or in other specially designed software packages, some specific
observations and cautions in regard to software upgrades and
modifications are essential.
Retrofitting an existing system with appropriate software to
provide security safeguards is not only a potentially major task, but it
also may have collateral consequences unrelated to the software task
proper; e.g., restructuring all the computer files or the database.
Moreover, only a few software products have been evaluated by the
Computer Security Center, although a number of vendors (both hardware
and independent software houses) do offer software products that might
be useful in the critical systems.
Given the present state of art, however, with regard to software
security, we conclude that
C. Comprehensive security safeguards as implied by the Guidelines
of the Computer Security Center can not be retrofitted to
existing installed hardware/software configurations.
Moreover, there may be substantial deterrents against doing major
software upgrades especially on old hardware; e.g., existing maintenance
contracts for vendor-supplied software, lack of an in-house programming
group or one of sufficient expertise to do the job, operational
restrictions against changing the software (such as interconnect
arrangements), lack of a stand-alone machine separate from the
operational one on which to do software development (the so-called
Life-Cycle-Support facility), a too-small operational hardware
configuration to accommodate new software.
Therefore, given the schedule and funding risks attached to major
software modifications in the critical systems, plus the possibility
that mission support might be disrupted, we recommend that
1. The DCI direct that an economic cost-benefit analysis be
submitted to him for any proposal that seeks to retrofit
extensive technical safeguards to an existing system by
modifying its vendor-supplied software, as opposed to an
expedited equipment upgrade bringing with it new safeguards
in both hardware and vendor software.
This recommendation addresses proposals for specialized modifications to
software whose operational life is limited, and to vendor software for
which improved products can be made available but may require new
hardware. [In this regard, SEE: Recommendations 27 and and 28.]
Software changes may be needed to install some safeguards that we have
suggested in other recommendations (e.g., machine-generated passwords)
but even then, a careful cost analysis is warranted.
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In this regard, it should be noted that both computing technology
and computer science are both very dynamic with the result that the
sophistication of the threat against computer systems, especially
networked systems, tends to increase rapidly over time. Therefore, the
"security lifetime" of an installed computer system is likely to be much
shorter than the amortized economic lifetime. We conclude that
D. Equipment may have to be upgraded or replaced more frequently
in order to maintain an adequate threshold of security
protection against the developing threat.
Our recommendations are grouped by topic and presented below. For
each topic there is a short background discussion; and a short
commentary or explanation is interspersed between many of the
recommendations.
Background
Technology cannot be a panacea for security vulnerabilities; every
dimension of security must be attended as well, e.g., physical security
COMSEC, personnel security. Such things are well understood in contrast
to those safeguards that are implemented'in hardware and/or software.
Moreover, the latter safeguards tend to be technically intricate and
their need tends not to be appreciated.
Since automated-information-system security safeguards of any kind
are defensive in nature and do not directly contribute to mission
performance, COMPUSEC generally has a low level of visibility and
priority at management levels. Thus, decisions tend to favor
operational and mission obligations, especially when it comes to funding
decisions.
2. The DCI task his Compusec project to review the documented
assessments of the critical systems, to report within 90 days
where his critical system(s) is (are) deficient relative to the
"best documentation" available for implementation of security
safeguards, to report what actions can be taken to bring his
system(s) into compliance, and the cost to do so.
Various guideline documents exist for specifying broad and comprehensive
security practices in computer systems, e.g., CIA's Contractor Security
Manual, DIA's DIAM 50-4. In general these all derive from DCID 1/16.
For the initial examination, we mean by "best documentation" the most
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comprehensive and current guidance that can be assembled, whether it be
material that has been prepared for internal use, for contractor use, or
is a combination of the above. However, recently updated documents that
may be available from other (external to the agency) sources should also
be examined.
Although the DCI might have tasked his system managers to make the
reviews, it is expedient to task his Compusec project in view of the
work that it has already accomplished.
3. The DCI task each system manager to make similar compliance
checks on an annual basis, and to take such actions as may be
necessary to bring his system(s) into compliance with the then
existing best guidance and documentation.
4. The DCI (concurrently with [2] above) cause to be prepared a
Community standard security-guidelines document that will
become the standard required of each present and new system
within the Community, both at initial operational status and on
periodic examinations thereafter.
The DCI's "Safeguards document" is a start on such a comprehensive
"Computer System Security Manual," but it must be supplemented with or
reference sources of information about other dimensions of system
security, e.g., generation and management of passwords, handling of
audit trail information, assignment of management responsibilities.
Much of this can come from extant documents if they are consistent,
complete, contain all relevant terms, assignments of responsibility,
etc. Documents to be examined for relevant other information include
ones from CIA, DIA, NSA, probably CSC, perhaps DODCI, probably NBS.
5. The DCI have DCID 1/16 updated and revised to remove any
anomalies and limitations related to obsolescent technologies and
their operational employment. To the maximum extent possible,
the policies should be technology independent and permit
interpretation in the environment of contemporary technology.
New technology--and uses of it--have appeared that DCID 1/16 did not
anticipate. For example, it overlooks communications networks between
computers, and the data networking of personal computers. Moreover,
technology has raised policy issues that are not addressed in the most
recent edition of DCID 1/16.
E. System managers must promptly institute security improvements
that can be made now, and not await updated policy guidance.
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AUTHENTICATION
Background
In the contemporary environment of information systems that are
networked not only within themselves but also among one another, the
word "user" must be understood to include: (1) an individual at a
terminal, (2) an internal software process executing in behalf of a
person at a terminal, and (3) an external computer or communication
system. In this discussion, the emphasis is on (1) with some
consideration for (3). The process aspect [item (2)] is largely a
matter of trusted software for which the Computer Security Center is the
national focal point; trusted solutions to the process authentication
issue can not be expected to be operationally deployed in the near term,
i.e. 2 to 4 years.
In the present state of development of the art, the DCI can not
expect elaborate and technically complex schemes for authenticating
system users to be available for presently installed computer and system
architectures. In general, such schemes will be most needed when
multilevel-secure systems become operationally widespread. However, he
can expect the development of authentication devices that measure some
biometric feature of a person (e.g., fingerprint, retinal pattern) and
of devices that depend on something that the individual must possess
(e.g., magnetic card, smart card). Each such device will have different
operational appeal and shortcomings; but all have the same attribute
that integration into the terminal and the automated system per se is
required.
Recommendations
We recommend that
6. The DCI reiterate his requirement that DIA take the
Community lead for the authentication issue; and
Specifically task DIA to promptly examine possibilities for
utilizing "low-level" technology to install or to improve
personal authentication procedures in the critical systems, and
to make recommendations as appropriate to system managers.
The technology for installing devices at terminals to do personal
authentication is not quite here, but significant improvements can be
made promptly through administrative and procedural means. Examples of
such "low-level" technology include: (1) the use of daily
authentication codes which are made available to an individual upon
reporting to duty, together with corresponding internal software changes
to maintain such code tables in encrypted form; (2) the proper
generation, management and periodic changing of passwords; (3) the
automatic disconnection of an idle terminal after a prescribed period of
time.
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7. The DCI task NSA to promptly issue guidance on the proper
generation of and management controls for passwords; and task
system managers to implement such guidance within 180 days.
8. The DCI task DIA to conduct a comprehensive comparative
study to evaluate various approaches to authentication, taking
into account the best information on each, the costs of each,
and the operational environments of the systems for which the
techniques will be used.
Such a study should include such factors as:
User convenience at the terminal. Does it force him to take
some awkward or unusual action; does it require him to have or
carry something; does it make a biometric measurement?
? Bottlenecks at the entry/exit to the facility if physical
access to protected space is part of the scheme.
? Cost per terminal and per authentication object (e.g.,
individual, other system); device cost, integration cost and
TEMPEST recertification costs all must be included.
? Perceived threat to the installation and/or system. Does an
approach provide a cost/beneficial solution or will some
techniques be an overkill for the anticipated threat?
? Sensitivity of the facility to be protected. How should the
effectiveness of an authentication technique be related to
system, facility, and information sensitivity?
? Availability of the technology to implement an approach. Is it
here now, or is R&D or engineering development needed?
? The operational environment in which the device must function.
For example, will the individual wear protective clothing
during an authentication action, or will he have to function
under extreme stress that would make some complicated approach
unworkable, or might he be physically impaired or disabled? Is
there risk of losing a physical object?
? Operational acceptance. Would it be acceptable to utilize an
item to be left at the workplace, or invoked many times during
an operational shift?
? The time to complete an authentication. Are some approaches so
time consuming that individuals would be tempted to circumvent
them, or would operational inefficiencies result?
? The technical consequences for system integration. In
particular, what are the software consequences in the host
system?
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As appropriate, biometric techniques (e.g., retinal recognition) could
be tasked to CIA.
Finally, the study should recommend the long-term executive agent
to attend the authentication issue for the Community, and develop a
requirements statement that can be incorporated into a system
specification for Community procurements.
9. The DCI task NSA to formulate and proceed with an aggressive
program to examine new physical-object techniques; e.g.,
smart cards, magnetic cards, (so-called) ignition keys.
10. The DC1 direct DIA to accelerate its program for investigating
authentication devices (including the studies above) to assure
that high-confidence personal-user authentication devices are
available and fully integrated into commonly used Community
systems by 1990.
11. The DCI provide funding wedges now for procurement of
personal authentication devices that promise to be in the
$500-$1000 range by the late 1980s or very early 1990s.
Techniques such as retinal pattern recognition, smart cards, ignition
keys, etc. could be available and fully integrated into operational
systems in the late 1980s or early 1990s with proper programmatic
emphasis. Based on background briefings to the Panel, we believe that
present per-terminal costs will decline to $2000-$3000 by 1987-88 and
into the $1000 or less range no later than the early 1990s.
Background
The technical issue is to associate the proper set of security
labels with each database, file, or record in a computer system (or
possibly with individual data element components in any one of them);
and to assure that such labels accompany the information as it moves
elsewhere, e.g., displayed, printed, handed-off to a communication
system. As such, it is primarily a software issue and can have
significant collateral consequences; e.g., installation of a
comprehensive labelling system might require restructuring all the
databases, files, or records.
With regard to the host computer software aspects, labelling is an
especially troublesome software issue because retrofitting existing
systems may require modification of not only the operating system
software but also database management software. Either undertaking
could be a major undertaking. In the short run (i.e., 2 to 4 years),
there may be little that can be done, but such a conclusion is very
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dependent on system hardware/software details. For some systems, it may
be that there are newer database management systems that could be
installed and would provide some capability for associating security
labels with information. [In this regard, SEE: Recommendations 27 and
For some systems, there may fortuitously exist some software
capability to accommodate labelling, but any actions to exploit such an
opportunity will be system dependent. Given the minimal knowledge
provided to the Panel about the systems, we can not offer specific
suggestions.
In the long run, so-called trusted systems are expected to provide
labelling capability, but they will have to be certified to B-1 (or better;
by the Computer Security Center. One system (MULTICS) is a candidate for
a B-2 rating but it is specific to a vendor's machines that are not widely
used in the Community. However, products from other vendors have been
submitted to the Center with the expectation that a rating of at least
B-1 will be obtained. While evaluation of them is not yet complete, such
systems. clearly offer significantly better safeguards than software
presently installed in the field, and should be considered for near-term
installation. [In this regard, SEE: Recommendations 27 and 28.]
F. There may exist near-term (i.e., 2 to 4 years) opportunities
for providing one or more of the critical systems with some
labelling capability; but any decision to do so is system
specific and must take account of possible collateral
consequences; e.g., complete restructuring of the files,
disruption of mission support, retraining of operators and/or
users, the necessity to replace hardware or upgrade the
configuration of presently installed equipment.
There is a second nontechnical operational aspect of great
importance; namely, does the information now in the critical systems
carry the proper security labels? For example, a decision may have been
made for a dedicated system not to associate labels with information, on
the grounds that the entire facility and all users function at the same
classification. It is unlikely, but possible, that a similar decision
would have been made for a dedicated or compartmented system; but the
Panel was not given such information.
If the critical systems have not captured labelling information
and/or have not associated it with the substantive information in the
database, then the near-term outlook (i.e., 2 to 4 years) is likely to
be bleak because of the intellectual effort to assign classification
labels for all items of information and because of the corresponding
effort to enter such information into the databases, files, and records.
The best that could be done--but it may represent an important security
advance--is to build simple labelling conventions into the software that
outputs information to terminals, communication systems, other software
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processes, and printers. Even this may be a major software undertaking
and we caution against undertaking it without a thorough examination of
the consequences to the system, to user training, to operator training,
to operational procedures, etc. The decision is very system dependent,
especially with regard to possible side effects.
The only system for which a simple remedy appears possible is the
dedicated one, all of whose users function with a uniform set of
security labels. Paper could be preprinted with security labels;
permanent physical security labels could be attached to each terminal;
communication processors could be modified to attach security labels to
all messages. Since the Panel did not have detailed information about
the critical systems, this suggestion may already have been implemented.'
When hardware/software configurations that can support full-scope
labelling become operational, we conclude that
G. The Community is likely to find that it has not made the
necessary investment in assigning labels to all computer-storec
information; and
ff. Will have to make a significant one-time investment to achieve
such a state.
For classifying and labelling sensitive materials, the government
uses a very complex schema to which there is no analog in business and
industry; there, relatively simple classification and labelling schemes
are satisfactory. Given such a business and industry view, computer
vendors may not spontaneously develop systems that have the scope and
flexibility to fully meet the DCI (and other government) labelling
requirements. Thus, we conclude that
1. Labelling, in the complexity required by DCI systems, appears
to be a security objective that will require government R&D
support to achieve.
Furthermore, as systems internet with one another the necessity for a
Community-wide standard set of security labels becomes more important,
as does the need for having everything properly labelled. Technology i
seen as offsetting a lack of standardization; but, in fact, the system
designers need a more consistent schema than now exists.
Moreover, systems which internet must be mutually assured that
security labels have not been perturbed in transit, nor has the
association between the information and its rightful label been
disturbed. This is the "label integrity" issue which has not yet been
examined by the Computer Security Center. For some, perhaps all, of t1
critical systems, it may be possible to assure label integrity through
the communication portions even though the internal (to the computer)
aspect of labelling can not be accommodated.
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12. The DCI task his Compusec project to review the documented
assessments of the critical systems with regard to the technical
opportunities that each has for incorporating some form of
labelling; and to recommend within 180 days what near-term
actions can be taken, at what cost, and on what schedule.
This examination must consider many software details of the various
systems, include consideration of the difficulty and cost of taking such
actions, and take account of new software products such as are
referenced in recommendations [27] and [28]. It must also consider
collateral effects, such as the need to restructure all databases, files
and records. There should be some assessment of the improvement in
security posture that can be achieved for the kind of labelling that
might be done in each of the critical systems.
Although the DCI might have tasked his system managers to make the
reviews, it is expedient to task his Compusec project in view of the
work that it has already accomplished. The project may, however,
require the cooperation of the system managers to provide technical
details, especially of software, that may not exist in the documented
assessments.
13. The DCI establish a requirement that no later than the end of
FY 85 all information entered into general-user Community
systems be accompanied by relevant security labels; and
Task system managers to implement this requirement in a way
that will afford flexibility and adaptability in utilizing label
information in the database when systems providing full-scope
labelling become available.
The first part of this is to assure that all new information flowing
into Community systems carries proper security labels. Otherwise, the
situation outlined in conclusions [G] and [H] will continue unabated.
Software, as well as operational or system, changes may be required; and
therefore, implementation may depend on the outcome of recommendation
[12] above. The phrase "general-user" is included in order that
specialized or research systems that may not need security controls are
not needlessly burdened.
The second part relates to future hardware/software replacements
that will take place when B-1 systems become available. It is unlikely
that the database, file and record structures in new equipment will be
the same as in the old. Since label information acquired in the present
systems may be represented differently in the new, and its association
with the substantive information may be treated differently, it is
important to take the steps now to facilitate conversion to new
equipment at a later date.
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It may not be possible to do a perfect job of planning for an
equipment transition whose details are unknown, but the technical issue
must be considered and a best-effort attempt made to assure
transferability of label information and its relationship to database
entries.
The Panel raised the question of security label standardization,
but did not reach a satisfactory resolution to the issue. There may be
some differences in meaning or usage of security labels that will have
to be standardized. However, we know from our collective knowledge and
experience that there is great consistency in meaning and usage of many
security labels. Therefore, planning for and acquisition of security
label information can proceed while resolution of any residual details
is concurrently under way.
14. The DCI establish a requirement that all new Community
systems designed or implemented after 1 January 1985 be able
to (at least) capture and maintain security labels in association
with the related information as it enters the system, and to do
so in a way that will facilitate utilizing such security
information for eventual full-scope labelling applications in B-1
or equivalent systems.
This is simply an extension of [13] to include new, as opposed to
presently operational, systems. It must apply to R&D systems which are
prototypes of operational systems. In this regard, note the
"Background" discussion above [paragraph 3], and recommendation [30].
Jointly, they suggest that B-1 systems incorporating labelling should be
available by 1988. Thus the collection of security labelling
information in presently operating and soon-to-be-designed systems
should begin as soon as possible.
If new systems are implemented in less than B-1 equipments, the
same concerns for transferability will apply as in recommendation [13]
above.
15. The DCI issue or cause to be issued a policy that requires
security label integrity throughout communication networks.
Label integrity implies that security labels are guaranteed not to have
been changed in transit through a communication network, and that the
association between a message and its security labels has not been
perturbed. It is a matter that needs to be examined, but has been dealt
with in only one network (SACDIN).
In this regard, however, the Community should transition as soon as
possible to communication processors (which handle plain-text material)
that have been certified A-1 by the Computer Security Center.
16. The DCI task NSA to issue guidance on the vulnerability of
security labels to traffic flow analysis.
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There appears to be no doctrinal position on the matter. Traffic flow
analysis of unencrypted security labels in transit through a
communications network might prove to be an important vulnerability.
Such a circumstance is likely to exist in packet-switched networks; for
example, in the Defense Data Network, security labels will be in-the-
clear at the node switches which are protected to only SECRET level. It
is not apparent whether the issue is one of COMSEC or OPSEC; thus the
matter might be appropriate to NSA or to system managers.
17. The DCI support R&D programs to develop automated schemes
that can assist in determining classification of information as it
is aggregated, disaggregated, or combined.
The so-called knowledge-based system is one technique to be examined.
Such an approach might be able to mimic the activities of people in
making security judgments about information.
Background
The issue is to equip a computer-based information system with an
array of internal record-keeping processes that collectively can be used
to do such things as monitor the operational and ongoing security status
of the system, conduct a damage assessment in case of a security breach,
trace the sequence of events/actions taken by users (personal, process,
other system) in case of a security breach, and detect/identify illegal
actions by a user or an attempted penetration. The technique is
commonly referred to as "audit trails."
Like labelling, it is largely a software matter with consequences
primarily for the operating system software. Unlike labelling, there
are business and industrial needs for systems of audit trails so that
the DCI and his system managers can expect some commercial capabilities
to be available.
Because of the software dominance, the near-term actions are
limited to administrative/procedural ones plus exploitation of whatever
audit trail capability that the installed critical systems might happen
to have.
18. The DCI task system managers to identify and report within 90
days what audit data is now collected, how it is used, what
tools for analyzing the data might make audit data more useful,
and what audit capability may exist within their systems for
potential use, but is not presently used.
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Many vendor-supplied operating systems include audit trails for such
things as accounting and resource charge-back. We believe that much
more relevant activity data is, or could be, collected and exploited in
present systems for security assurance purposes.
19. The DCI task system managers to institute procedures for
maximally exploiting the audit data which is collected or could
be collected; and that he take steps to have appropriate
analytic tools and capability provided to the system managers.
20. The DCI task the CIA to take the Community lead for the
accountability issue; to assemble working groups as may be
necessary to identify technical, operational or policy aspects;
to make recommendations to DCI for establishment of new
policy; and to conduct a study of the accountability issue.
The study should examine such matters as:
? Types of information that can be collected.
? Security relevance of such information.
? Threats against which audit trails can protect.
? Operational requirements.
? Standards for what will be audited.
? Standards for representation of the audit trail.
? Processing standards for audit trails.
Development of conventional audit trail techniques.
Development of knowledge-based systems for auditing.
Development of appropriate work stations for auditors.
Development of an on-line auditing capability.
Development of mechanisms for the security auditor to control
the system when needed.
Development of the appropriate operational concepts for the
audit trail process (e.g., one- or two-man control).
Development of analytic tools for the security officer to
examine audit data.
The study should develop the required conceptual and technical
foundation for a comprehensive set of audit trails, and a requirements
statement that can be incorporated into a system specification for
Community procurements.
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Policy issues that will require attention include:
? The dependence of audit trail details on system aspects.
? One- or two-man control of access to audit trail information.
? The authority of the audit team to intrude on the system
operational mission in case of trouble.
? The nature of actions to be taken in case of detected
penetration attempts.
? The security audit positions required per system, and the
manning profile for the audit team.
? A statement of responsibility and authority for the audit team.
Operational details include:
? The operational concept that will assure that audit trails will
function as intended in an operational system and provide the
security protection expected.
? An examination of the tradeoff between the necessity for
ongoing operation of the system in its operational support vs.
security actions to be taken in case of security compromise or
detection of a penetration.
Background
Several organizations have sponsored projects to develop a
so-called Guard device. It sits astride a communication channel into or
out of a computer, and allows only information with specified security
labels to pass. It behaves, so to speak, as a security filter.
Although the devices were designed for specific applications, it
appears that they could be exploited for some security aspects of the
critical systems. At least one of them could be available as a
commercial product.
21. The DCI have conducted a comprehensive state-of-art survey
of the several Guard projects under way or completed.
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The study should examine such details as:
? The availability of operational equipment.
? The flexibility for monitoring different combinations of
security labels.
? Any special hardware/software details that such equipments
might impose on cooperating computer and communication systems.
22. The DCI task system managers to prepare an implementation
plan for the incorporation of Guard (or equivalent) technology
into those systems which are serving "subscribers" of different
levels of access.
A "subscriber" may be an individual, a terminal, or another system.
When the level of access is not uniform, Guard technology should be
considered a prominent option for security improvement.
CERTIFICATION AND ACCREDITATION
Background
The process of certification is an examination by a technically
qualified organization as to the security strength of an intended
operational system. The process of accreditation is a statement by the
system manager of the operational system that, having compared the
mission requirement with the threat against the system and with the
findings of the certification, he finds the system qualified to operate
with information of specified levels of sensitivity.
Based on our collective experience within the Community, we believe
that these two processes are quite variable from agency to agency, are
applied with different degrees of rigor by different agencies, and lead
to circumstances in which systems have never been accredited or are
operating under a waiver.
23. The DCI have prepared policy guidelines to improve the
quality of system certification and accreditation, plus an
apppropriate manual that describes the steps that are
necessary in (1) the certification process for a system, and
(2) the ensuing accreditation action.
The process of examinii.g a system for its security-worthiness, and then
contrasting it with the threat and operational need should be a
Community-wide standardized process.
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An example of quality improvement would be the "licensing" of
organizations that conduct certification so that each would follow the
same process, consider the same technical factors, utilize the same
procedures, etc. Such a step would be analogous to the situation with
TEMPEST testing; many organizations conduct such tests but all do so
according to procedures prescribed by NSA.
24. The DCI require recertification and reaccreditation of all
systems on a periodic calendar-time interval, or when
operational circumstances change substantially.
The periodicity of such actions should be related to the development of
the threat and also take account of the progress of technology for
affording new security safeguards. Moreover, the operational
environment of systems will change from time to time. Some changes will
have security implications; others will not. For example, adding a few
new users or terminals at the same clearance level is not likely to
raise a security concern, but adding a new group of users at a different
security level or connecting to a new network will.
25. The DCI task each Designated Approving Authority to monitor
on a regular basis the security status of systems for which he
is cognizant, and to invoke appropriate parts of the
certification and/or accreditation process when changes in the
operational environment warrant reconsideration of the security
posture and practices, or when other circumstances indicate.
Judgment will clearly be needed on the part of the DAA; he will have to
determine whether changes in the operational environment raise security
concerns. "Other circumstances" can include anomalous behavior of the
system that might suggest a security vulnerability, the results of
deliberate penetration testing, the detection of an attack against the
system, or the appearance of a new threat.
INFORMATION SHARING
Background
User groups have proved very effective information transfer
mechanisms in the commercial world. Such a group offers a forum in
which users with common problems can discuss them and decide on
appropriate remedial actions.
It should be possible to achieve the same information sharing among
Community systems.
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26. The DCI have created under his auspices a "user group" for
each of the commonly occurring hardware/software
configurations in the critical systems.
Such user groups would be able to:
? Compile a "catalog" of systems or places where users might turn
for ideas, available software, preferred practices, etc.
? Provide a secure environment in which to exchange
ideas/techniques/procedures/etc. that relate to security
aspects of their operational systems.
In the short run, user groups organized by commonly occurring
hardware/software configurations are administratively and
jurisdictionally easier to establish; but in the long run, there should
exist a Community-wide security forum in which all system managers and
operational personnel can exchange information and work toward problem
solutions.
Background
With regard to operating system software (also calleu executive
system software), vendors phase out such systems from time to time and
will no longer provide ongoing support to them. The DCI must be
cautious not to invest in such dead-end software systems. It is likely
that some of the operational critical systems already contain them.
Similarly, vendors are continuously upgrading both their hardware
and system software. Presentations made to us indicate that newer
software incorporates security features that could materially improve
the situation in the critical systems.
27. The DCI direct that a review be made of all DEC PDP-11
systems running with RSX or IAS software for upward
conversion to a VAX with VMS-4 software. If feasible,
procurement of the new systems should be expedited on a
priority basis. Alternatively, if cost and schedules permit,
system managers need not be constrained to the same vendor.
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This is an instance of software which is being abandoned by the vendor
who, however, is offering newer systems with significant added security
safeguards in the operating system. VMS-4 includes such improvements.
28. The DCI direct that a review be made of all IBM and all
Burroughs systems to ascertain the feasibility of using
security-enhancing software products available either from the
equipment vendors or from independent software vendors.
Software products now on the Evaluated Products List of the Computer
Security Center or those submitted for evaluation should be considered
especially.
29. The DCI direct that the information about security aspects of
Wang systems being regularly obtained by the Department of
State be circulated on a periodic basis throughout the
Community.
The Department of State has an established contractor to examine the
security risks of Wang equipments and systems as they appear on the
market.
GENERAL SECURITY UPGRADING
Background
The Community should point toward a general upgrade of equipment
and software as rapidly as such products become available and are
evaluated by the Computer Security Center. However, the Community
should make known its interests in better security products. Meanwhile,
the Center should be tasked to be reponsive to the special needs of the
Community.
30. The DCI institute policy that, by 1988, the Community intends
to acquire only systems that are certified B-1 or better by the
Computer Security Center, and that he make known such
policy to vendors.
31. The DCI task the Computer Security Center to review on a
priority basis certain software products of especial concern to
the Community for its critical systems, e.g., M-204, Inquire,
Recon-Guard, KAIS-Guard.
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Background
Since computer security does not now have a fully developed
theoretical foundation, R&D on various technical aspects must be
pursued. For example, modelling of security policy is essential and
must be supported for a high rate of achievement.
The Computer Security Center is the national focal point for
coordinating and conducting computer security R&D. The Center sponsors
generalized R&D with the understanding that sytem- or agency-specific
R&D will be done by the military services or by other agencies, but with
the cognizance of the Center.
32. The DCI formally make known all of his needs for computer
security R&D to the Computer Security Center, and that he
evaluate the Center's program as it relates to his needs. To
the extent that it does not meet his needs, he should conduct
his own R&D efforts; but assure that they interface and are
coordinated with the program of the Center.
It is essential that the DCI exploit the achievements of the Center,
with regard not only to technical advances but also with regard to
policy implications. At the same time, the DCI must be free to conduct
his own R&D when the Center can not meet his needs. Conversely, members
of the Community may be qualified to carry out a part of the Center's
program. Under any circumstances, it is essential that the knowledge
and progress of R&D efforts be shared, that the total R&D effort of the
Community and the Center be coordinated, and that all participants be
mutually informed.
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STAT
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