Summary of the Independent Evaluation Pursuant to the
Government Information Security Reform Act Fiscal Year 2001
Sensitive But Unclassified Systems

Report No. 02-18
April 2002
Office of the Inspector General

The Department's computer security program needs improvement to fully protect its SBU systems from unauthorized use, loss, or modification. Audits of five SBU systems disclosed vulnerabilities in management, operational, and technical controls as shown in the table below. Department-level and component security policies and procedures were insufficient or unenforced. The Department did not adequately: (1) identify and assess risks to determine needed security measures; (2) establish and implement policies and controls to meet those needs; (3) promote awareness so that users understand the risks and the related policies and controls required to mitigate them; or (4) monitor and evaluate established policies and controls to ensure that they were both appropriate and effective.

Control TypeBOPNetEISFirebirdJCONIIJDC


    Management controls are techniques and concerns normally addressed by officials with responsibility for an organization's computer security program. In general, these controls manage the computer security program and the risk within the organization.

    Security policies, procedures, standards, and guidelines are the primary means by which management communicates goals and requirements. To be effective, compliance must be overseen and enforced. The related policies should encompass all major systems and facilities. The policies should outline the duties of those who are responsible for overseeing security as well as the responsibility of those who own, use, or rely on the entity's computer resources.

    The Department did not provide timely and effective oversight of SBU systems by informing users of the risks and the controls required to mitigate them or enforcing its own policies. Specifically, the audits disclosed vulnerabilities in the following areas:

    Areas of VulnerabilityBOPNetEPICFirebirdJCONIIJDC
    Security Policies and ProceduresXXXXX
    Authorization of Software Changes    X
    Risk Assessment ReportingXXX  

    Security Policies and Procedures

    The Department established uniform policy, DOJ Order 2640.2C, "Telecommunications and Information System Security," dated June 25, 1993, for the protection of its automated information systems. Despite the rapid evolution of computer technology, this policy remained in effect and unchanged, governing the Department's information systems security environment for eight years. In a September 1997 audit, Report No. 97?26, "Computer Security at the Department of Justice," the OIG noted the Order's shortcomings and recommended that the Department develop effective computer security program guidance. However, the Department did not revise its policy, DOJ Order 2640.2D, "Information Technology Security," until four years later, in July 2001.

    Although DOJ Order 2640.2D addresses many areas of identified system security vulnerabilities, the guidance remains insufficient for the protection of Department information systems. The Order imposes minimal standards that are broadly stated, allowing components and system security managers too much latitude in establishing system settings. To ensure uniform system security, DOJ Order 2640.2D needs more details in the following areas:

    Department-level guidance regarding the adequate, efficient, and consistent monitoring of SBU systems' security is also lacking. Specific areas that need addressing immediately are:

    Components are responsible for supplementing Department policy with more detailed written security policies, procedures, standards, and guidelines. Component and system level policies were also found to be inconsistently applied and ineffective. For all five systems audited, we found vulnerabilities attributed to inadequate security policies and ineffective enforcement. In addition, the OIG previously reported system security vulnerabilities attributable to unenforced and insufficient security policies on two systems that were not corrected.

    Authorization of Software Changes

    System software change management process provides for proper documentation and authorization of software changes, acceptance testing, management review and approval of changes and acceptance test results, and a controlled procedure for introducing tested and approved changes into production.

    For the five systems reviewed, we found:

    Risk Assessment Reporting

    A risk is the possibility that a threat adversely impacts an information system by taking advantage of vulnerabilities. Thus, a risk assessment is a formal description and estimate of risk to an information system. After risks are identified, management should apply countermeasures relative to the severity of the threat and priority of asset protection.

    For the five systems reviewed, we found:


    Operational controls address security controls that are implemented and executed by people to improve the security of a particular system, often require technical or specialized expertise, and rely upon management activities as well as technical controls.

    The auditors assessed the effectiveness of operational and technical controls by using commercial-off-the-shelf and proprietary software to conduct vulnerability assessments of the systems. A vulnerability assessment is a security test in which evaluators analyze system settings and security features based upon their understanding of the system design and implementation. A determination is then made as to whether the system is optimally configured and appropriate security controls are in place. Unlike penetration testing, vulnerability assessments do not attempt to circumvent the security features of a system and gain entry.

    The audits identified vulnerabilities in the following areas:

    Area of VulnerabilityBOPNetEISFirebirdJCONIIJDC
    Contingency Planning  X X X
    System Backup Procedures  XX 
    System Configuration XXX 

    Contingency Planning

    Effective contingency planning ensures continued operations by minimizing the risk of events that disrupt normal operations and by having an approach in place to respond to those events if they occur. Department policy requires that contingency plans be reviewed and approved by management.

    Three of the five systems tested had one or more of the following vulnerabilities:

    System Backup Procedures

    Backup procedures, including backup tapes, protect information resources, minimize the risk of unplanned interruptions, allow for recovery of critical operations when interruptions occur, and ensure on-going availability of critical system operations.

    Industry best practices dictate that a backup storage location be off?site and far enough away from the primary location to avoid being impaired by the same events, such as fires, storms, and electrical power outages. Storing backup data tapes in the same location as the primary data risks completely losing all data in the event of a disaster.

    For two of the five systems tested, we found:

    System Configuration

    System configuration is the process of managing security features and assurances by regulating and monitoring changes made to hardware, software, firmware, and documentation throughout the lifecycle of an information system.

    The Department's security policy requires that computer systems operate so that users have access to the information they need but no more and requires each computer system to have features or procedures to enforce access control measures required for the information in the system. Vulnerabilities with system configuration increase the risk that unauthorized users view, delete, or modify critical files, database intelligence data, or directory contents.

    For three of the five systems audited, we found one or more of the following vulnerabilities:

    The operational control vulnerabilities occurred due to a lack of Department and component guidance establishing and requiring appropriate system security standards and settings. Components did not adequately implement existing Department guidance, increasing the risk of unauthorized users obtaining access to system resources and exposing sensitive information to unauthorized use, loss, or modification.


    Technical controls focus on the security controls that the computer system executes. Technical controls require significant operational considerations, should be consistent with the organization's security management, and depend upon the proper functioning of the system to be effective. Technical controls prevent unauthorized access to system resources by restricting, controlling, and monitoring system access and detecting and recording security related events.

    The audits identified vulnerabilities with technical controls in the following areas:

    Area of VulnerabilityBOPNetEISFirebirdJCONIIJDC
    Password Management XXXXX
    Logon Management XXXXX
    Account Integrity Management  XXXX
    System Auditing Management  XXXX

    Password Management

    A password is a unique string of characters that must be provided before a logon or access is authorized to a computer system. Passwords are security measures used to restrict logons to user accounts and access to computer systems and resources. Strong password controls protect system resources from unauthorized use, loss, or modification.

    All five systems tested had one or more of the following password management vulnerabilities:

    Logon Management

    The first line of defense against unauthorized access is an interactive logon process. The process normally begins with a warning banner, informing the user of the proper use of computers on the network. Next, the user is presented with a request for the user's information such as the username, password, and the server or domain the user intends to access. If the user's information is entered incorrectly, the system returns a logon failure message and, after a predetermined number of failed attempts, locks out the user for a specified period of time. If the user's information is entered correctly, the system authenticates the user, matching the user's information with an account in the system's security accounts database.

    All five systems tested had one or more of the following logon management vulnerabilities:

    Account Integrity Management

    Account integrity management controls the permissions for logging on to a computer or network. Proper expertise within a particular functional entity and clearly defined job duties and responsibilities are essential in maintaining a system. Monitoring resource access violations allows an entity to predefine a threshold for flagging violations. A privilege enables a user to perform a security relevant operation or a command that, by default, is normally denied to that user. Privileges must be tightly controlled and users clearly identified on the system in order to track their use of system resources.

    Four of the five systems reviewed had one or more of the following account integrity management vulnerabilities:

    System Auditing Management

    Auditing can provide the ability to detect and record security-related events. It tracks the activities of users by recording information about specific types of events, such as logon and logoff, file and object access, use of user rights, user and group management, security policy changes, restart, shutdown, and system events in a security log on the server.

    For four of the five systems audited, we found one or more of the following system auditing management vulnerabilities:

    The technical control vulnerabilities occurred because Department policy was insufficient, not uniformly implemented, or not fully enforced. Further, the broadly stated, minimum standards imposed by the Department were not supplemented with sufficient or imposed component-level guidance to fully secure the systems. In several areas of identified vulnerabilities, broadly stated or minimally imposed standards allowed system security managers too much latitude in establishing system settings.


    The GISRA audits of the SBU systems revealed vulnerabilities with management (M), operational (O), and technical (T) controls. The auditors assessed these vulnerabilities at a high to low risk to the protection of each system from unauthorized use, loss, or modification as shown in the table below.

    Audit Results of SBU Systems

    Areas of VulnerabilityControl TypeBOPNetEISFirebirdJCONIIJDC
    Security Policies and ProceduresM X XXXX
    Authorization of Software ChangesM    X
    Risk Assessment ReportingMXXX  
    Contingency PlanningO XX X
    System Backup ProceduresO  XX 
    System ConfigurationO  XXX 
    Password ManagementTXXXXX
    Logon ManagementTXXXXX
    Account Integrity ManagementT XXXX
    System Auditing ManagementT XXXX

    Overall, the audits found that Department-level and component security policies and procedures were either insufficient or unenforced. The auditors concluded the Department did not provide timely and effective oversight to ensure implementation of its security policies. For example, the Department took nearly four years to revise its overall security policy, DOJ Order 2640.2D "Information Technology Security," after the OIG reported it as ineffective in September 1997. The Order imposes minimal standards that are broadly stated, allowing components and system security managers too much latitude in establishing system settings.

    We recommend a proactive approach to improve security controls of Department systems. Because of the repetitive nature of the security deficiencies and concerns disclosed in this report, we conclude that a central office with responsibility for system security is needed to identify trends and enforce uniform standards. We believe that a central office would concentrate resources (time, money, and expertise) to identify and correct system security vulnerabilities most significant to the Department more effectively. Moreover, baseline security safeguards and controls should not vary according to the classification of system data, although data sensitivity might warrant additional or increased measures of protection.

    In addition, senior management benefits from having a single point of contact responsible for overseeing activities that standardize, implement, and maintain strict, baseline Department-wide security controls over both types of systems. This office would also serve as a liaison between the Information Management and Security Staff, the Security and Emergency Planning Staff, and the Assistant Attorney General for Administration.

    In the GISRA summary report for classified systems, the OIG made specific recommendations intended to improve Department-wide computer security for both the classified and SBU systems. These recommendations also apply to this report on SBU systems. We do not repeat these recommendations here, but for reference purposes, include them in Appendix III of this report.


  1. Back-out plans are operator instructions for rolling-back new changes at implementation due to operational problems and restoring the previous software versions.