Information Security: Continued Action Needed to Improve Software
Patch Management (02-JUN-04, GAO-04-706).			 
                                                                 
Flaws in software code can introduce vulnerabilities that may be 
exploited to cause significant damage to federal information	 
systems. Such risks continue to grow with the increasing speed,  
sophistication, and volume of reported attacks, as well as the	 
decreasing period of the time from vulnerability announcement to 
attempted exploits. The process of applying software patches to  
fix flaws, referred to as patch management, is a critical process
to help secure systems from attacks. The Chairmen of the House	 
Committee on Government Reform and its Subcommittee on		 
Technology, Information Policy, Intergovernmental Relations and  
the Census requested that GAO assess the (1) reported status of  
24 selected agencies in performing effective patch management	 
practices, (2) patch management tools and services available to  
federal agencies, (3) challenges to performing patch management, 
and (4) additional steps that can be taken to mitigate the risks 
created by software vulnerabilities.				 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-04-706 					        
    ACCNO:   A10349						        
  TITLE:     Information Security: Continued Action Needed to Improve 
Software Patch Management					 
     DATE:   06/02/2004 
  SUBJECT:   Computer equipment management			 
	     Computer security					 
	     Computer software					 
	     Federal agencies					 
	     Hackers						 
	     Information technology				 

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GAO-04-706

United States General Accounting Office

                     GAO Report to Congressional Requesters

June 2004

INFORMATION SECURITY

          Continued Action Needed to Improve Software Patch Management

                                       a

GAO-04-706

Highlights of GAO-04-706, a report to congressional requesters

Flaws in software code can introduce vulnerabilities that may be exploited
to cause significant damage to federal information systems. Such risks
continue to grow with the increasing speed, sophistication, and volume of
reported attacks, as well as the decreasing period of the time from
vulnerability announcement to attempted exploits. The process of applying
software patches to fix flaws, referred to as patch management, is a
critical process to help secure systems from attacks.

The Chairmen of the House Committee on Government Reform and its
Subcommittee on Technology, Information Policy, Intergovernmental
Relations and the Census requested that GAO assess the (1) reported status
of 24 selected agencies in performing effective patch management
practices, (2) patch management tools and services available to federal
agencies, (3) challenges to performing patch management, and (4)
additional steps that can be taken to mitigate the risks created by
software vulnerabilities.

GAO recommends that the Director of OMB issue guidance to agencies to
provide more refined information on patch management practices, and
determine the feasibility of providing selected centralized patch
management services. OMB officials generally agreed with our
recommendations.

June 2004

INFORMATION SECURITY

Continued Actions Needed to Improve Software Patch Management

Based on agency-reported data, agencies generally are implementing
important common practices for effective patch management, such as
performing systems inventories and providing information security
training. However, they are not consistently performing others, such as
risk assessments and testing all patches before deployment. Additional
information on key aspects of agencies' patch management practices-such as
their documentation of patch management policies and procedures and the
frequency with which systems are monitored to ensure that patches are
installed-could provide OMB, Congress, and agencies themselves with
consistent data that could better enable an assessment of the
effectiveness of an agency's patch management processes.

Several automated tools and services are available to assist agencies in
performing patch management. These tools and services typically include a
wide range of functionality, including methods to inventory computers,
identify relevant patches and workarounds, test patches, and report
network status information to various levels of management. A centralized
resource could provide agencies with selected services such as the testing
of patches, a patch management training curriculum, and development of
criteria for patch management tools and services. A governmentwide service
could lower costs to-and resource requirements of-individual agencies,
while facilitating their implementation of selected patch management
practices.

Agencies face several challenges to implement effective patch management
practices, including (1) quickly installing patches while implementing
effective patch management practices, (2) patching heterogeneous systems,
(3) ensuring that mobile systems receive the latest patches, (4) avoiding
unacceptable downtime when patching high-availability systems, and (5)
dedicating sufficient resources toward patch management.

Agency officials and computer security experts identified a number of
additional steps that can be taken by vendors, the security community, and
the federal government to assist agencies in mitigating the risks created
by software vulnerabilities. For example, more rigorous software
engineering practices by software vendors could reduce the number of
software vulnerabilities and the need for patches. In addition, the
research and development of more capable technologies could help secure
information systems against cyber attacks. Also, the federal government
could use its substantial purchasing power to influence software vendors
to deliver more secure systems.

www.gao.gov/cgi-bin/getrpt?GAO-04-706.

To view the full product, including the scope and methodology, click on
the link above. For more information, contact Robert F. Dacey at (202)
512-3317 or [email protected].

Contents

     Letter                                                                 1 
                                          Results in Brief                  2 
                                             Background                     4 
                             Agencies Are Not Consistently Implementing   
                                        Common Practices for              
                                     Effective Patch Management            15 
                              Automated Tools and Services Can Assist     
                                       Agencies in Performing             
                                    Patch Management Activities            22 
                           Significant Patch Management Challenges Remain  26 
                             Additional Steps Can Be Taken to Mitigate     30 
                                               Risks                      
                                            Conclusions                    35 
                                Recommendations for Executive Action       36 
                                          Agency Comments                  37 
Appendixes                                                             
               Appendix I:       Objectives, Scope, and Methodology        38 
              Appendix II:             Staff Acknowledgments               40 
                                          Acknowledgments                  40 
                              Table 1: Agencies' Methods of Performing    
     Table                                 Specific Patch                 
                                        Management Functions              
                           Figure 1: Security Vulnerabilities, 1995-2003      
    Figures                    Figure 2: Computer Security Incidents,     
                                             1995-2003                    5 7

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A

United States General Accounting Office Washington, D.C. 20548

June 2, 2004

The Honorable Tom Davis Chairman, Committee on Government Reform House of
Representatives

The Honorable Adam Putnam

Chairman, Subcommittee on Technology, Information Policy,
Intergovernmental Relations and the Census Committee on Government Reform
House of Representatives

Federal agencies rely extensively on computerized information systems and
their software to carry out their missions. Flaws in software code can
introduce vulnerabilities that attackers may attempt to exploit and cause
significant damage to federal computer systems. The process of applying
software patches to fix flaws, referred to as patch management, is a
critical process used to help secure computing systems from attacks.1

Since 1995, nearly 13,000 security vulnerabilities in software products
have been reported. With the increasing sophistication of technology,
attacks that once took weeks or months to propagate over the Internet now
take only hours or even minutes. While federal agencies can mitigate the
risk of cyber attacks by keeping their systems up to date with appropriate
patches, applying and maintaining these patches is challenging.

On September 10, 2003, we testified before the Subcommittee on Technology,
Information Policy, Intergovernmental Relations and the Census on the role
of software patch management in mitigating the risks of cyber incidents.2
In that testimony, we stated that patch management is one means to address
the increasing vulnerabilities to cybersecurity. You subsequently asked us
to assess the (1) reported status of 23 of the agencies under the Chief
Financial Officers (CFO) Act of 19903 and the

1A patch is a piece of software code that is inserted into a program to
temporarily fix a defect. Patches are developed and released by software
vendors when vulnerabilities are discovered.

2U.S. General Accounting Office, Information Security: Effective Patch
Management is Critical to Mitigating Software Vulnerabilities,
GAO-03-1138T (Washington, D.C.: Sept. 10, 2003).

331 USC Section 901.

Department of Homeland Security (DHS) in performing effective patch
management practices, (2) tools and services available to federal agencies
to perform patch management, (3) challenges to performing patch
management, and (4) additional steps that can be taken to mitigate the
risks created by software vulnerabilities.

To address these objectives, we conducted an extensive search of
professional information technology (IT) security literature. We also
reviewed research studies and reports about cybersecurity-related
vulnerabilities to update information provided in our testimony and
consulted our prior reports and testimonies on information security. In
addition, we interviewed private-sector and federal officials about their
patch management experiences, practices, and challenges. Along with these
literature searches and interviews, we conducted a Web-based survey of 23
CFO agencies and DHS to determine their patch management practices and
reviewed corresponding survey documentation. We did not verify the
accuracy of the agencies' responses; however, we reviewed supporting
documentation that agencies provided to validate their responses. Finally,
we met with vendors of commercial software patch management tools and
services to discuss and examine their products' functions and
capabilities. Appendix I contains a description of our objectives, scope,
and methodology. Our work was conducted from September 2003 to May 2004,
in accordance with generally accepted government auditing standards.

Results in Brief	Based on agency-reported data, agencies generally are
implementing important common patch management-related practices, such as
performing systems inventories and providing information security
training. However, they are not consistently performing others, such as
testing all patches before deployment to help determine whether the patch
functions as intended and its potential for adversely affecting an
agency's system. Additional information on key aspects of agencies' patch
management practices-such as their documentation of patch management
policies and procedures and the frequency with which systems are monitored
to ensure that patches are installed-could provide the Office of
Management and Budget (OMB), Congress, and agencies themselves with
consistent data that could better enable an assessment of the
effectiveness of an agency's patch management processes.

Several automated tools and services are available to assist agencies in
performing patch management. These tools and services typically include a

wide range of functionality, including methods to inventory computers,
identify relevant patches and workarounds, test patches, and report
network status information to various levels of management. A centralized
resource could provide agencies with selected services such as testing
patches, developing a patch management training curriculum, and developing
criteria for patch management tools and services. Such services could
lower costs to-and resource requirements of-individual agencies, while
facilitating their implementation of selected patch management practices.

Agencies face several challenges to implementing effective patch
management practices, including (1) quickly installing patches while
implementing effective patch management practices, (2) patching
heterogeneous systems, (3) ensuring that mobile systems receive the latest
patches, (4) avoiding unacceptable downtime when patching highavailability
systems, and (5) dedicating sufficient resources toward patch management.

Agency officials and computer security experts also identified a number of
additional steps that can be taken by vendors, the security community, and
the federal government to assist agencies in overcoming challenges. For
example, more rigorous software engineering practices by software vendors
could reduce the number of software vulnerabilities and the need for
patches. In addition, the research and development of more effective
technologies could help secure information systems against cyber attacks.
Also, the federal government could use its substantial purchasing power to
influence software vendors to deliver more security systems.

We are making recommendations to the Director of OMB to provide guidance
for agencies to report on key aspects of their patch management practices
in their annual Federal Information Security Management Act (FISMA) of
2002 reports, and (2) determine the feasibility of providing selected
centralized patch management services to federal civilian agencies,
incorporating lessons learned from a now-discontinued service initiated by
the Federal Computer Incident Response Center (FedCIRC). 4 We received
oral comments on a draft of our report from officials at OMB's

4Federal Information Security Management Act of 2002, Title III,
E-Government Act of 2002, P.L. 107-347, December 17, 2002. This act
superseded an earlier version of FISMA that was enacted as Title X of the
Homeland Security Act of 2002, P.L. 107-296, November 25, 2002.

Office of Information and Regulatory Affairs. These officials generally
agreed with our findings and recommendations.

Background	Patch management is a critical process used to help alleviate
many of the challenges involved with securing computing systems from
attack. A component of configuration management,5 it includes acquiring,
testing, applying, and monitoring patches to a computer system.

Flaws in software code that could cause a program to malfunction generally
result from programming errors that occur during software development. The
increasing complexity and size of software programs contribute to the
growth in software flaws. For example, Microsoft Windows 2000 reportedly
contains about 35 million lines of code, compared with about 15 million
lines for Windows 95. As reported by the National Institute of Standards
and Technology (NIST), based on various studies of code inspections, most
estimates suggest that there are as many as 20 flaws per thousand lines of
software code. While most flaws do not create security vulnerabilities,
the potential for these errors reflects the difficulty and complexity
involved in delivering trustworthy code.6

Security Vulnerabilities and From 1995 through 2003, the CERT
Coordination Center (CERT/CC)

Incidents Are Increasing	reported just under 13,000 security
vulnerabilities that resulted from software flaws. Figure 1 illustrates
the dramatic growth in security vulnerabilities over these years.7

5Configuration management is the control and documentation of changes made
to a system's hardware, software, and documentation throughout the
development and operational life of a system.

6National Institute for Standards and Technology, Procedures for Handling
Security Patches: Recommendations of the National Institute of Standards
and Technology, NIST Special Publication 800-40 (Gaithersburg, Md.: August
2002).

7CERT/CC is a center of Internet security expertise at the Software
Engineering Institute, a federally funded research and development center
operated by Carnegie-Mellon University.

Figure 1: Security Vulnerabilities, 1995-2003

Vulnerabilities

4,500

4,000

3,500

3,000

2,500

2,000

1,500

1,000

500

0 1995 1996 1997 1998 1999 2000 2001 2002 2003

Source: GAO analysis based on Carnegie-Mellon University's CERT
Coordination Center data.

As vulnerabilities are discovered, attackers may attempt to exploit them
and can cause significant damage. This damage can range from defacing Web
sites to taking control of entire systems and thereby being able to read,
modify, or delete sensitive information, destroy systems, disrupt
operations, or launch attacks against other organizations' systems.
Attacks can be launched against specific targets or widely distributed
through viruses and worms.8

8A virus is a program that "infects" computer files, usually executable
programs, by inserting a copy of itself into the file. In contrast, a worm
is an independent computer program that reproduces by copying itself from
one system to another across a network. Unlike computer viruses, worms do
not require human involvement to propagate.

The sophistication and effectiveness of cyber attacks have steadily
advanced. According to security researchers, reverse-engineering patches
have become a leading method for exploiting vulnerabilities. Reverse
engineering starts by locating the files or code that changed when a patch
was installed. Then, by comparing the patched and unpatched versions of
those files, a hacker can examine the specific functions that changed,
uncover the vulnerability, and exploit it. By using the same tools used by
programmers to analyze malicious code and perform vulnerability research,
hackers can locate the vulnerable code in unpatched software and build to
exploit it.

According to NIST, every month skilled hackers post 30 to 40 new attack
tools to the Internet for others to download, allowing them to launch
attacks. Further, CERT/CC has noted that attacks that once took weeks or
months to propagate over the Internet now take just hours, or even
minutes. In 2001, security researchers reported that the Code Red worm
achieved an infection rate of more than 20,000 systems within 10 minutes,
foreshadowing more damaging and devastating attacks. In 2003, the Slammer
worm, which successfully attacked at least 75,000 systems, reportedly
became the fastest computer worm in history, infecting more than 90
percent of vulnerable systems within 10 minutes. The Witty worm, released
on March 19, 2004, reportedly infected as many as 12,000 computers in
approximately 45 minutes.

During the last week of February 2004, a spate of new mass e-mail worms
were released, and more than half a dozen new viruses were unleashed. The
worms were variants of the Bagle and Netsky viruses. The Bagle viruses
typically include an infected attachment containing the actual virus, and
the most recent versions have protected the infected attachment with a
password, which prevents antivirus scanners from examining it. The recent
Netsky variants attempt to deactivate two earlier worms and, when
executed, reportedly play a loud beeping noise.

The number of computer security incidents within the past decade has risen
in tandem with the dramatic growth in vulnerabilities, as the increased
number of vulnerabilities provides more opportunities for exploitation.
CERT/CC has reported a significant growth in computer security
incidents-from about 9,800 in 1999 to over 82,000 in 2002 and to over
137,500 in 2003. And these are only the reported attacks. The director of
CERT/CC has estimated that as much as 80 percent of actual security
incidents go unreported, in most cases because (1) there were no
indications of penetration or attack, (2) the organization was unable to

recognize that its systems had been penetrated, or (3) the organization
was reluctant to report the attack. Figure 2 shows the number of incidents
reported to the CERT/CC from 1995 through 2003.

Figure 2: Computer Security Incidents, 1995-2003

Incidents

160,000

140,000

120,000

100,000

80,000

60,000

40,000

20,000

0 1995 1996 1997 1998 1999 2000 2001 2002 2003

Source: GAO analysis based on Carnegie-Mellon University's CERT
Coordination Center data.

According to CERT/CC, about 95 percent of all network intrusions could be

avoided by keeping systems up to date with appropriate patches; however,

such patches are often not quickly or correctly applied. Maintaining
current

patches is becoming more difficult, as the length of time between the

awareness of a vulnerability and the introduction of an exploit is
shrinking.

For example, the Witty worm was released only a day after the

announcement of the vulnerability it exploited.

Discovery of Security Vulnerabilities Initiates Response Process

In general, when security vulnerabilities are discovered, a process is
initiated to effectively address the situation through appropriate
reporting and response-often including the development of a patch.9
Typically, this process begins when security vulnerabilities are
discovered by software vendors, security research groups, users, or other
interested parties, including the hacker community. When a virus or worm
is reported that exploits a vulnerability, virus-detection software
vendors also participate in the process. When a software vendor is made
aware of a vulnerability in its product, the vendor typically first
validates that the vulnerability indeed exists. If the vulnerability is
deemed critical, the vendor may convene a group of experts, including
major clients and key incident-response groups such as FedCIRC and
CERT/CC, to discuss and plan remediation and response efforts. In
addition, FedCIRC may conduct teleconferences with agency Chief
Information Officers (CIO) to coordinate remediation and OMB, through
FedCIRC, may request the status of agencies' remediation activities for
selected vulnerabilities. After a vulnerability is validated, the software
vendor develops and tests a patch or workaround. A workaround may entail
blocking access to or disabling vulnerable programs.

Following the development of a patch or workaround, the incident response
groups and the vendor typically prepare a detailed public advisory to be
released at a set time. The advisory often contains a description of the
vulnerability, including its level of criticality; systems that are
affected; potential impact if exploited; recommendations for workarounds;
and Web site links from which a patch (if publicly available) can be
downloaded. Incident-response groups as well as software vendors may
continue to issue updates as new information about the vulnerability is
discovered.

9The Organization for Internet Safety, which consists of leading security
researchers and vendors, was formed to standardize the process for
handling security vulnerabilities. In July 2003, this organization issued
a voluntary framework for vulnerability reporting and response.

Exploited Software Vulnerabilities Can Result in Economic Damage and
Disruption of Operations

Although the economic impact of a cyber attack is difficult to measure, a
recent Congressional Research Service study cites members of the computer
security industry as estimating that worldwide major virus attacks in 2003
cost $12.5 billion.10 They further project that economic damage from all
forms of digital attacks in 2004 will exceed $250 billion.

Following are examples of significant damage caused by worms that could
have been prevented had the available patches been effectively installed:

o 	In September 2001 the Nimda worm appeared, reportedly infecting
hundreds of thousands of computers around the world, using some of the
most significant attack methods of Code Red II and 1999's Melissa virus
that allowed it to spread widely in a short amount of time. A patch had
been made publicly available the previous month. Reported cost estimates
of Nimda range between about $700 million and $1.5 billion.

o 	On January 25, 2003, Slammer reportedly triggered a global Internet
slowdown and caused considerable harm through network outages and other
unforeseen consequences. As discussed in our April 2003 testimony, the
worm reportedly shut down a 911 emergency call center, canceled airline
flights, and caused automated teller machine failures.11 According to
media reports, First USA Inc., an Internet service provider, experienced
network performance problems after an attack by the Slammer worm due to a
failure to patch three of its systems. Additionally, the Nuclear
Regulatory Commission reported that Slammer also infected a nuclear power
plant's network, resulting in the inability of its computers to
communicate with each other, disrupting two important systems at the
facility. In July 2002, Microsoft had released a patch for its software
vulnerability that was exploited by Slammer. Nevertheless, according to
media reports, Slammer infected some of Microsoft's own systems. Reported
cost estimates of Slammer range between $1.05 and $1.25 billion.

10Congressional Research Service, The Economic Impact of Cyber Attacks,
(Washington, D.C.: Apr. 1, 2004).

11U.S. General Accounting Office, Information Security: Progress Made, But
Challenges Remain to Protect Federal Systems and the Nation's Critical
Infrastructures, GAO-03564T (Washington, D.C.: Apr. 8, 2003).

o 	On August 11, 2003, the Blaster worm was launched to exploit a
vulnerability in a number of Microsoft Windows operating systems. When
successfully executed, it caused the operating system to fail. Although
the security community had received advisories from CERT/CC and other
organizations to patch this critical vulnerability, Blaster reportedly
infected more than 120,000 unpatched computers in the first 36 hours. By
the following day, reports began to state that many users were
experiencing slowness and disruptions to their Internet service, such as
the need to frequently reboot. The Maryland Motor Vehicle Administration
was forced to shut down, and systems in both national and international
arenas were also affected. Experts consider Blaster, which affected a
range of systems, to be one of the worst exploits of 2003. Microsoft
reported that that at least 8 million Windows computers have been infected
by the Blaster worm since last August.

o 	On May 1 of this year, a new worm, referred to as Sasser, was reported,
which exploits a vulnerability in the Windows Local Security Authority
Subsystem Service component. This worm can compromise systems by allowing
a remote attacker to execute arbitrary code with system privileges.
According to the United States Computer Emergency Readiness Team
(US-CERT), systems infected by this worm may suffer significant
performance degradation. Sasser, like last year's Blaster, exploits a
recent vulnerability in a component of Windows by scanning for vulnerable
systems. Estimates by Internet Security Systems, Inc. place the Sasser
infections at 500,000 to 1 million machines. Microsoft has reported that
9.5 million patches for the vulnerability were downloaded from its Web
site in just 5 days.

Federal Efforts to Address The federal government has taken several steps
to address security

Software Vulnerabilities	vulnerabilities that affect agency systems,
including efforts to improve patch management. Specific actions include
(1) requiring agencies to annually report on their patch management
practices as part of their implementation of FISMA, (2) identifying
vulnerability remediation as a critical area of focus in the President's
National Strategy to Secure Cyberspace, and (3) creating US-CERT.

FISMA permanently authorized and strengthened the information security
program, evaluation, and reporting requirements established for federal
agencies in prior legislation.12 In accordance with OMB's reporting
instructions for FISMA implementation, maintaining up-to-date patches is
part of FISMA's system configuration management requirements. The 2003
FISMA reporting instructions that specifically address patch management
practices include agencies' status on (1) developing an inventory of major
IT systems, (2) confirming that patches have been tested and installed in
a timely manner, (3) subscribing to a now-discontinued governmentwide
patch notification service, and (4) addressing patching of security
vulnerabilities in configuration requirements.

The President's National Strategy to Secure Cyberspace was issued on
February 14, 2003, to identify priorities, actions, and responsibilities
for the federal government as well as for state and local governments and
the private sector, with specific recommendations for action to DHS. This
strategy identifies the reduction and remediation of software
vulnerabilities as a critical area of focus. Specifically, the strategy
identifies the need for

o 	a better-defined approach on disclosing vulnerabilities, to reduce
their usefulness to hackers in launching an attack;

o 	creating common test beds for applications widely used among federal
agencies; and

o 	establishing best practices for vulnerability remediation in areas such
as training, use of automated tools, and patch management implementation
processes.

In June 2003 DHS created the National Cyber Security Division (NCSD) to
build upon the existing capabilities transferred to DHS from the former
Critical Infrastructure Assurance Office, the National Infrastructure
Protection Center, FedCIRC, and the National Communications System. The
mission of NCSD includes patch management-related activities, among them
analyzing cyber vulnerabilities and coordinating incident response. Last
September, DHS's NCSD-in conjunction with CERT/CC and the private
sector-established a new service, US-CERT, as the center for

12Title X, Subtitle G-Government Information Security Reform, Floyd D.
Spence National Defense Authorization Act for Fiscal Year 2001, P.L.
106-398, October 30, 2000.

coordinating computer security preparedness and response to cyber attacks
and incidents. Specifically, US-CERT is intended to aggregate and
disseminate cybersecurity information to improve warning and response to
incidents, increase coordination of response information, reduce
vulnerabilities, and enhance prevention and protection. This free service-
which includes notification of software vulnerabilities and sources for
applicable patches-is available to the public, including home users and
both government and nongovernment entities.

US-CERT also provides a service through its National Cyber Alert System to
identify, analyze, prioritize, and disseminate information on emerging
vulnerabilities and threats. This alert system was designed to provide
subscribers with reliable, timely, and actionable information via e-mail
by issuing security alerts, tips, and bulletins containing information on
vulnerabilities, exploits, and available patches or workarounds. It also
provides computer security best practice tips, including a discussion of
software patches. This free service is available to all.

Agencies Can Utilize Other Resources to Mitigate Vulnerabilities

In addition to vulnerability analysis and reporting centers such as
US-CERT and CERT/CC, a variety of other resources are also available to
provide information related to vulnerabilities and their exploits. NIST's
Special Publication 800-40, Procedures for Handling Security Patches,
provides a systematic approach for identifying and installing necessary
patches or mitigating the risk of a vulnerability, including steps such as
creating and implementing a patch process, identifying vulnerabilities and
applicable patches, and patching procedures, among others.13 Another
resource is NIST's ICAT, which offers a searchable index leading users to
vulnerability resources and patch information. ICAT links users to
publicly available vulnerability databases and patch sites, thus enabling
them to find and fix vulnerabilities existing on their systems. It is
based on common vulnerabilities and exposures (commonly referred to as
CVE) naming standards. These are standardized names for vulnerabilities
and other information security exposures, compiled in an effort to make it
easier to share data across separate vulnerability databases and tools.
CVE compatibility is increasingly being incorporated into various security
products.

13NIST Special Publication 800-40.

In addition, a variety of Internet mailing lists provides a database of
vulnerabilities and serves as a forum for announcing and discussing
vulnerabilities, including information on how to fix them. For example,
one vendor-provided list monitors thousands of products to maintain a
vulnerability database and also provides security alerts. The SysAdmin,
Audit, Network, Security (SANS) Institute maintains lists of the top 20
most critical Internet security vulnerabilities, commonly known as the
SANS Top Twenty, which includes step-by-step instructions and references
to additional information on how to remediate vulnerabilities.14

In March of this year, the Open Source Vulnerability Database (OSVDB)- a
vendor-neutral database operated by security industry volunteers and
supported by Digital Defense, Inc., and Winterforce-was made available at
no cost to the public.15 This database aims to be a comprehensive, single
source for providing detailed, current, and accurate information for all
known vulnerabilities. As of June 1, this database contained information
on about 3,000 reported and reviewed vulnerabilities.

In addition, vendors such as Microsoft and Cisco provide software updates
on their products, including notices of known vulnerabilities and their
corresponding patches; they also provide software options for
automatically downloading and installing patches. Finally, vendors of
patch management tools and services, discussed later, offer central
databases of the latest patches, incidents, and methods for mitigating
risks before a patch can be deployed or has been released.

14The SANS Institute is a cooperative research and education organization
comprising security practitioners in government agencies, corporations,
and universities around the world. SANS develops, maintains, and makes
available a large collection of research documents about various aspects
of information security, and operates the Internet's early warning system,
the Internet Storm Center.

15Digital Defense, Inc., provides the server and bandwidth for OSVDB and
has also contributed the development of the software for this project.
Winterforce is providing OSVDB with extensive documentation support, as
well as consulting services, to help ensure that the goals of OSVDB are
properly communicated and achieved.

Collaborative Response to Two Software Vulnerabilities

According to FedCIRC officials, the federal government has on occasion
taken additional steps to assist agencies in mitigating known
vulnerabilities through patch management. Such steps include issuing
security advisories, issuing data calls to obtain status information on
agencies' patching efforts, and initiating teleconferences with vendors.
As discussed in our September 2003 testimony, the following are examples
of the collaborative efforts by the federal government and private sector
security community to respond through patch management to the threat of
potential attacks for two critical vulnerabilities identified last July:
Cisco's Internet Operation System and Microsoft's Windows Distributed
Component Object Model Remote Procedure Call.16

Cisco Systems, Inc., which controls about 82 percent of the worldwide
share of the Internet router17market, discovered a critical vulnerability
in its IOS software that could allow an intruder to effectively shut down
unpatched routers, blocking network traffic. Cisco had informed the
federal government of the vulnerability prior to public disclosure and
worked with different security organizations and government organizations
to encourage prompt patching. Specifically, on July 16, Cisco issued a
security bulletin to publicly announce the critical vulnerability in its
IOS software and provide workaround instructions and a patch. In addition,
FedCIRC issued advisories to federal agencies and DHS advised
privatesector entities of the vulnerability. Over the next 2 days, OMB
requested that federal agencies report to CERT/CC on the status of their
actions to patch the vulnerability, and DHS issued an advisory update in
response to an exploit that was posted online. That same week, FedCIRC,
OMB, and DHS's NCSD held a number of teleconferences with representatives
from the executive branch.

16Distributed Component Object Model (DCOM) allows direct communication
over the network between software components. Remote Procedure Call (RPC)
is a protocol of the Windows operating system that allows a program from
one computer to request a service from a program on another computer in a
network, thereby facilitating interoperability.

17Routers are hardware devices or software programs that forward Internet
and network traffic between networks and are critical to their operation.

The federal government also worked collaboratively with Microsoft when the
Blaster worm was launched last summer. The federal government's response
to this vulnerability included coordination with the private sector to
mitigate the effects of the worm.18 FedCIRC issued the first advisory to
encourage federal agencies to patch the vulnerability, followed by several
similar advisories from DHS. The following week, DHS issued its first
advisory to heighten public awareness of the potential impact of an
exploit of this vulnerability. Four days later, on behalf of OMB, FedCIRC
requested that federal agencies report on the status of their actions to
patch the vulnerability. NCSD also hosted several teleconferences with
federal agencies, CERT/CC, and Microsoft.

  Agencies Are Not Consistently Implementing Common Practices for Effective
  Patch Management

Common patch management practices-such as establishing and enforcing
standardized patch management policies and procedures and developing and
maintaining a current technology inventory-can help agencies establish an
effective patch management program and, more generally, assist in
improving an agency's overall security posture. Survey results show that
the 24 agencies are implementing some common practices for effective patch
management. Specifically, all report that they have some level of senior
executive involvement in the patch management process, perform a systems
inventory, and provide information security training. However, agencies
face a number of patch management challenges-as discussed later-and are
inconsistent in their development of patch management policies and
procedures, patch testing, systems monitoring, and performance of risk
assessments. Without consistent implementation of patch management
practices, agencies are at increased risk to attacks that exploit software
vulnerabilities in their systems. Information on key aspects of agencies'
patch management practices could provide data that could better enable an
assessment of the effectiveness of an agency's patch management processes.

Common Practices for In our September 2003 testimony, we discussed common
practices for Effective Patch effective patch management identified in
security-related literature from Management Have Been several groups,
including NIST, Microsoft, patch management software

vendors, and other computer security experts. Common elements ofIdentified
effective patch management identified by these groups include

18See GAO-03-1138T for a detailed chronology of events.

o  centralized patch management support,

o  senior executive support,

o  standardized patch management policies and procedures,  o training,

o  current technology inventory,

o  risk assessment,

o  testing, and

o  monitoring through network and host vulnerability scanning.19

                   Agencies' Degree of Centralization Varies

NIST guidance advocates creating a centralized group in charge of handling
patches and vulnerabilities that support the patching efforts of local
system administrators. A systematic, comprehensive, and documented
patching process can improve an agency's ability to respond to the large
number of software patches.

Agencies' centralization of common practices for effective patch
management varies. While some agencies centralize their patch management
processes, others use a decentralized approach, and still others a
combination of both approaches. For example, the responsibility for
distributing and notifying the agency's component levels of critical
patches can be centralized, while the responsibility for testing and
applying patches to specific systems may be decentralized to reside at the
component level. Specifically, of the 24 agencies surveyed, 7 report using
a centralized approach, 8 are decentralized, and 9 use a combination of
both.

19The common patch management practices of receiving notification of
relevant vulnerabilities and distributing critical patches are discussed
in the subsequent section on automated tools and services.

Agencies' Senior Executives Are Involved in Patch Management Efforts

Management's recognition of information security risk and its interest in
taking steps to manage and understand risks is important to successfully
implementing any information security-related process. Additionally,
ensuring that appropriate resources are applied and that appropriate
patches are deployed is important. FISMA establishes information security
roles and responsibilities for certain agency executives, including the
agency head, CIO, and senior agency information security officer,
sometimes called the chief information security officer (CISO). Under
FISMA, the agency head is responsible for providing information security
protections commensurate with the risk and magnitude of the harm resulting
from unauthorized access to, use, disclosure, disruption, modification, or
destruction of information. FISMA further states that the agency head
shall delegate to the CIO the authority to ensure compliance with its
requirements and develop and maintain an agencywide information security
program, security policies, procedures, and control techniques.
Additionally, the CIO is responsible for designating a senior agency
information security officer or CISO. This CISO must possess appropriate
professional qualifications to administer the functions described in
FISMA, have information security duties as the primary duty, and head an
office with the mission and resources to assist in ensuring agency
compliance with FISMA.

All 24 agencies indicated that the CISO is the individual most involved in
patch management activities. Specifically, the CISO is involved in
managing risk, ensuring that appropriate resources are dedicated, training
computer security staff, complying with policies and procedures, and
monitoring the status of patching activities. Agencies reported that the
CIO also has a significant level of involvement in these activities.
Further, most agencies reported that their agency head was involved in
patch management efforts to some degree.

Some Agencies Have Not Standardized policies and procedures are necessary
for effective patch Developed Patch management. Typical policies include
elements such as assigning roles and Management Policies or
responsibilities, performing risk assessments, and testing patches.

Procedures outline the specific steps for carrying out these policies.

Procedures	Without standardized policies and procedures, patch management
can be an ad-hoc process-potentially allowing each subgroup within an
entity to implement patch management inconsistently or not at all.

Survey results indicate that not all agencies have established patch
management policies and procedures. Two-thirds (16 of 24) report having
agencywide patch management policies, while 8 have no policies. Regarding
patch management procedures, 14 of the 24 agencies reported affirmatively,
while 10 do not have procedures in place.

Agencies Are Providing Information Security Training

FISMA requires agencies to provide security awareness training to inform
personnel, including contractors and other users of information systems
that support the operations and assets of the agency, of information
security risks associated with their activities, and of their
responsibilities in complying with agency policies and procedures designed
to reduce these risks. In addition, agencies are required to provide
training on information security to personnel with significant security
responsibilities. Further, NIST recommends that individuals involved in
patch management have the skills and knowledge needed to perform their
responsibilities and that system administrators be trained in identifying
new patches and vulnerabilities.

Most of the 24 agencies reported that they provide both on-the-job and
classroom training in computer security, including patch management, to
system owners, administrators, and IT security staff. Survey results also
indicated that some of the 24 agencies are providing security awareness
training, as well as developing Web-based training curricula.

Agencies Are Developing and Maintaining System Inventories

A complete and updated inventory assists agencies in determining the
number of systems that are vulnerable and require remediation, as well as
in locating the systems and identifying their owners. FISMA requires that
the head of each agency maintain and develop an inventory of major
information systems. Further, NIST's Special Publication 800-40,
Procedures for Handling Security Patches, identifies a systems inventory
requirement as a key priority for effective patch management. Without a
complete inventory, it is more difficult to implement effective agencywide
patch management and maintaining current patches can be riskier, less
consistent, and more expensive.

In our September 2003 testimony, we reported that an important element of
patch management is the creation and maintenance of a current inventory of
hardware equipment, software packages, services, and other technologies
installed and used by an organization. We noted that in their 2003 FISMA
reports, 13 agencies reported that an inventory of major

systems was developed, and 6 reported that the development was in
progress. Agencies' inspectors general also assessed the status of agency
efforts to develop an inventory of major IT systems. Their FISMA reports
indicated that only 8 had developed an inventory and 9 agencies had
started-but not yet completed-one.

All 24 agencies reported that they develop and maintain an inventory of
major information systems as required by FISMA. Agencies do so by using a
manual process, an automated tool, or an automated service. The majority
of agencies maintain this inventory at both the agencywide and component
level. Specifically, 9 of the 24 agencies maintain their inventories at
the agencywide level only, 14 maintain their inventories at both levels,
and 1 agency at the component level only.

Agencies Are Not Consistently Performing Risk Assessments

Risk is the negative impact of a vulnerability's being exploited,
considering both the probability and the impact of occurrence. A risk
assessment can be used to determine the extent of the potential threat and
the risk associated with it. Performing a patch-focused risk assessment
evaluates each system for threats, vulnerabilities, and the criticality of
a system to an agency's mission. It can also measure the level of risk
associated with the adverse impact resulting from a vulnerability being
exploited. By not performing a risk assessment, agencies may deploy
patches that disrupt critical systems or applications that support an
agency's operations.

When a vulnerability is discovered and a related patch and/or alternative
workaround is released, the agency should consider the importance of the
vulnerable system to operations, the criticality of the vulnerability, and
the risk of applying the patch. Because some patches can cause unexpected
disruption to agencies' systems, organizations may choose not to apply
every patch. NIST recommends that a risk assessment be performed to
determine the prioritization of the systems to be patched.

Just under half of the 24 agencies said they perform a documented risk
assessment of all major systems to determine whether to apply a patch or
an alternative workaround. Agencies that do not perform a documented risk
assessment reported that they consider which patches to deploy based on
factors such as the risk of deploying the patch, the level of system
criticality to agency operations, the level of criticality of the
vulnerability, or other criteria, such as the adverse impact on
applications.

Most Agencies Are Not Testing All Patches Before Deployment

Another critical step is to test each patch against the various agency
system configurations in a test environment to determine any impact on the
network before deploying the patch to the affected systems. Patches can
easily produce unintended consequences; a patch may change the system
behavior such that it causes other programs to crash or otherwise fail.
For instance, certain security patches have been recalled-as recently as
April of this year-because they caused systems to fail or are too large
for a computer's capacity. Other examples of unintended consequences
include patches that force other applications to shut down and patches
that undo the effects of previously applied patches. Predeployment testing
helps determine whether the patch functions as intended and its potential
for adversely affecting the agency's systems.

In addition to identifying the potential for unintended consequences, the
testing of patches can ensure that agencies have addressed the
vulnerability as intended. Testing may also identify other critical
vulnerabilities not made public by vendors. For example, one federal
agency's testing revealed that a vendor's patch notification did not
identify vulnerabilities in the underlying operating system. The agency's
testing results prompted an advisory informing all federal agencies to
patch all machines using that operating system.

Survey results showed that although all 24 agencies test some patches
against their various systems configurations before deployment, only 10
agencies reported testing all patches, 11 test more than half but not all
patches, 2 test half or fewer, and 1 agency did not know. While all
surveyed agencies reported that they test patches to some extent, most
agencies do not have testing policies in place. Survey results show that
only 7 agencies have testing policies for all patches, and 2 have policies
for only testing critical patches. The remaining 15 agencies reported that
they do not have any testing policies in place. Agencies indicated several
reasons for not testing all patches, including a determination that the
urgency or criticality of a vulnerability required immediate patching and
that a patch was anticipated to have a minimal impact on their systems.
Some agencies also stated that in most cases they do not test patches
issued routinely by Microsoft.

Agencies Do Not Regularly In addition to testing, it is important to
regularly monitor the status of Monitor the Status of patches once they
are deployed. Networks can be scanned on a regular Deployed Patches basis
to assess the network environment and determine whether patches

have been effectively applied. By doing so, agencies can ensure that
patches are installed correctly and can help maintain a stable computing
environment and determine the integrity of a patch. In addition,
monitoring helps ensure that a patched system continues to be in
compliance with the agency's network configuration requirements.

Survey results show that most agencies do not regularly monitor all
systems. Only 4 agencies indicated that they monitor all of their systems
on a regular basis. However, the remaining agencies surveyed indicated
that they perform some monitoring activities. All 24 agencies reported
scanning networks and hosts to oversee the deployment of patches and noted
that the extent to which systems are monitored and the frequency with
which they are monitored varies.

Agencies indicated that the frequency of system monitoring is based on two
factors- (1) the criticality of the vulnerability and (2) the criticality
of the computer system. Five agencies stated that they monitor based on
the criticality of the vulnerability; 14 reported that the frequency
depends on both the criticality of the vulnerability and the criticality
of the computer system. Five agencies indicated that the frequency of
monitoring does not vary based on either of these factors.

More Refined FISMA Information Could Assist Management Oversight

Although OMB and federal agencies recognize that implementing common
practices for effective patch management can help agencies mitigate the
risk of attack and improve their overall security posture, the results of
our survey indicate that agencies are not consistently performing these
common practices. More refined information on key aspects of agencies'
patch management practices-such as their documentation of patch management
policies and procedures, their testing of new patches in their specific
computing environments prior to installation, and the frequency with which
systems are monitored to ensure that patches are installed- could provide
OMB, Congress, and agencies themselves with data that could better enable
an assessment of the effectiveness of an agency's patch management
processes.

  Automated Tools and Services Can Assist Agencies in Performing Patch
  Management Activities

Several automated tools and services are available to assist agencies with
patch management. A patch management tool is an application that automates
a patch management function, such as scanning a network and deploying
patches. Patch management services are third-party resources that provide
services such as notification, consulting, and vulnerability scanning.
Tools and services can make the patch management process more efficient by
automating otherwise time-consuming tasks, such as manually keeping up
with the continuous flow of new patches.

Patch management tools can be either scanner-based (nonagent) or agent-
based. Scanner-based tools can scan a network, check for missing patches,
and allow a system administrator to patch multiple computers. These tools
are well suited for smaller organizations due to their inability to serve
a large number of users without breaking down or requiring major changes
in procedure. Agent-based products place small programs, or agents, on
each computer, to periodically poll a patch database-a server on the
network- for new updates, giving the system administrator the option of
applying the patch. Agent-based products require up-front work to
integrate agents into the workstations and in the server deployment
process, but are better suited to large organizations due to their ability
to generate less network traffic and provide a real-time network view.
Finally, some patch management tools are hybrids-allowing the user to
utilize agents or not. Agencies can also contract with third parties to
develop and maintain their patch management processes.

Commercially available tools and services typically include, among others,
methods to

o 	inventory computers and the software applications and patches
installed;

o 	identify relevant patches and workarounds and gather them in one
location;

o 	group systems by departments, machine types, or other logical
divisions;

o  manage patch deployment;

o 	scan a network to determine the status of patches and other corrections
made to network machines (hosts and/or clients);

o 	assess machines against set criteria, including required system
configurations;

o  access a database of patches;

o  test patches; and

o 	report information to various levels of management about the status of
the network.

FedCIRC Provided Agencies with Centralized Federal Patch Notification
Service

In our September 2003 testimony, we reported on FedCIRC's Patch
Authentication and Dissemination Capability (PADC), a service initiated in
February 2003 to provide users with a method of obtaining information on
security patches relevant to their enterprise and access to patches that
had been tested in a laboratory environment. This service was offered to
federal civilian agencies at no cost. Twenty of the 24 agencies we
surveyed reported that they had subscribed to the service.

Subscribers obtained an account license that allowed them to receive
notifications and log into the secure Web site to download patches. They
received notification of threats, vulnerabilities, and the availability of
patches on the basis of profiles they had created that defined the
technologies they used. They were notified by e-mail or pager message when
a vulnerability or patch that affected one or all of their systems had
been posted to the secure Web site.

Last year, OMB reported that while many agencies had established PADC
accounts, actual usage of those accounts was extremely low. A FedCIRC
official also stated that there was a general lack of interest from
agencies in using PADC, and that although agencies were provided with
access to the tool, they did not activate available accounts. Many
agencies only used the service as a tool to obtain notification of
patches-a service that is provided at no cost from vendors such as
Microsoft.

In an effort to improve the implementation and usefulness of PADC, FedCIRC
officials held meetings with contractor and user groups, visited agencies,
and provided Web-based training. Interest in improving the service was
expressed. For example, one of the surveyed agencies' officials stated
that PADC could improve its value by establishing an independent patch
test laboratory, which could then advise agencies of test results and

provide recommendations. However, officials indicated that such upgraded
services would incur significant costs.

According to agency officials, there were limitations to the PADC service.
Although free to agencies, only about 2,000 licenses or accounts were
available because of monetary constraints. According to FedCIRC officials,
this constraint required them to work closely with participating agencies
to balance the number of licenses that a single agency required with the
need to allow multiple agencies to participate. For example, the National
Aeronautics and Space Administration initially requested more than 3,000
licenses-one for each system administrator. Other limitations of the
service cited by the agencies include that it did not support all
platforms or technologies within an agency, that notification of patches
was not timely, and that the level of services provided was minimal.

According to FedCIRC officials, PADC was terminated on February 21, 2004,
because of low levels of usage, the cost to upgrade services, and negative
agency feedback on the usefulness of the service. They also noted that
there are no immediate plans for another contractual service. However,
discussions with federal agencies on addressing patch management issues
remain ongoing through the recently formed Chief Information Security
Officers forum, sponsored by DHS.

In the absence of PADC, agencies are left to independently perform all
components of effective patch management, including functions that may be
common across the federal government. A centralized resource that
incorporates lessons learned from PADC's limitations could provide
standardized services, such as the testing of patches, a patch management
training curriculum, and development of criteria for patch management
tools and services. In fact, a FedCIRC official stated that the
organization is considering providing agencies with a clearinghouse of
information on commercially available patch management tools and services.
A governmentwide service could lower costs to-and resource requirements
of-individual agencies, while facilitating their implementation of
selected patch management practices.

Other Automated Patch In addition to resources discussed earlier, such as
vulnerability databases Management Methods Are and analysis and warning
centers, agencies can use other tools and Available methods to assist in
their patch management activities. For example, they

can maintain a database of the versions and latest patches for each server

and each client in their network and track the security alerts and patches

manually. This method is, however, labor-intensive. Agencies can also
employ systems management tools with patch-updating capabilities to deploy
the patches. This method requires that agencies monitor for the latest
security alerts and patches. One agency reported that it developed a
program in house to download patches, upgrades, and antivirus files, while
another agency reported that it created a tool to apply settings and
vendor patches, validate and maintain compliance, and report system
status. One agency indicated that it uses the maintenance contract with
its vendors to receive notification of applicable vulnerabilities.

Further, software vendors may provide automated tools with customized
features to alert system administrators and users of the need to patch
and, if desired, to automatically apply patches. For example, Microsoft
currently provides Software Update Services, a free service for automating
the downloading and deployment of patches. Several agencies indicated that
they subscribe to this service for tasks such as receiving notification of
known vulnerabilities and obtaining and deploying patches.

Agencies Utilize Automated Survey results show that such tools and
services play a large part in the Patch Management Tools patching
practices of federal agencies. Twenty-three of 24 agencies use and
Services commercially available patch management tools. Twenty of 24
agencies use

commercially available services, 3 do not, and 1 agency did not know the
status of services used there. Table 1 summarizes agencies' methods of
performing specific patch management functions as reported by the 24
agencies.

  Table 1: Agencies' Methods of Performing Specific Patch Management Functions

                                                   Only   Performed   
                                              performed     using     
                                    Only      using         both      
                                    performed automated automated and 
               Function              manually tools or     manual     Neither 
                                              services     methods    
       Develop and maintain the                                       
          inventory of major                                          
information systems as required         10         2            12 
               by FISMA                                               
      Scan networks and hosts to                                      
            identify known                                            
           vulnerabilities                  0         8            16 
      Receive notification of a             2         3            19 
            vulnerability                                             
     Identify the relevant patch                                      
       and/or workaround, if a                                        
patch is not yet available, for          1         3            20 
        the affected system(s)                                        
Obtain the available patch from                                    
         the vendor or other                                          
            trusted source                  1         3            20 
    Test patches against specific                                     
               systems'                                               
configurations before deployment        15         0             9 
     Distribute patches to system           2         2            19 
            administrators                                            
    Deploy patches to all affected          0         2            22 
               systems                                                
      Scan networks and hosts to                                      
       monitor (i.e., oversee)                                        
that patches have been deployed          0         8            16 

Verify that remote users of managed systems, who
were not connected to the network when the patch
was distributed, have received and deployed
patches 3 6 12 1a

Report the status of vulnerability remediation to
management 11 1 12

              Source: GAO analysis of agency-provided survey data.

aTwo agencies did not know how this process was performed, if at all.

  Significant Patch Management Challenges Remain

According to security experts and agency officials, the federal government
faces several challenges to implementing effective patch management
practices. Our work identified several additional steps that can be taken
to address the risks associated with software vulnerabilities.

Agencies face a number of common patch management obstacles, including (1)
quickly installing patches while implementing effective patch management
practices, (2) patching heterogeneous systems, (3) ensuring that mobile
systems receive the latest patches, (4) avoiding unacceptable downtime
when patching high-availability systems, and (5) dedicating sufficient
resources toward patch management.

High Volume and Increasing Frequency of Patches Limits Effective Patch
Management Implementation

Several of the agencies we surveyed indicated that the sheer quantity and
frequency of needed patches posed a challenge to the implementation of the
recommended patch management practices-including performing patch-based
risk assessments and testing patches to ensure against any adverse
effects.

Timely patching is critical to maintaining the operational availability,
confidentiality, and integrity of agencies' IT systems. As increasingly
virulent computer worms have demonstrated, agencies need to keep systems
updated with the latest security patches. However, security experts have
noted that malicious code writers have shortened the length of time
between disclosure of a vulnerability and the release of an exploit to
just a few days. As previously discussed, the Witty worm began to spread
the day after the applications' vulnerability was publicized and has been
reported to represent the shortest interval between vulnerability
disclosure and worm release. Due to the devastating consequences of an
attacker's exploiting an unpatched vulnerability, agencies are pressured
to install patches as quickly as they are received.

The urgency in patching a security vulnerability can limit or delay
implementation of common practices for effective patch management. For
example, NIST has noted that there is at best minimal time (hours to days)
to test patches before implementing them, because attacks attempting to
exploit these vulnerabilities are likely to occur as soon as the
vulnerability is discovered or publicized. Testing of patches requires
significant time; according to CERT/CC, some financial institutions
require 6 weeks of regression testing before a patch is deployed. In
addition, third-party vendors often take months after a patch is released
to certify that installing it will not break their systems.

Heterogeneity of Systems Complicates Patching

In response to our survey, several agencies indicated that the
heterogeneity of their systems-variations in platforms, configurations,
and deployed applications-complicates their patching processes. Agencies
noted that their mixture of legacy systems and commercial-off-the-shelf
applications has led to instances in which patches were not applied to all
computers due to concerns over their impact on operations. Further, their
unique IT infrastructures can make it challenging for agencies to
determine which systems are affected by a software vulnerability. For
example, it was widely reported that the Slammer worm exploited a
vulnerability found in two specific Microsoft SQL Server database
applications. However, because those 2 vulnerable applications are
utilized in more than 25 of Microsoft's other database and desktop
applications-and reportedly in about 130 third-party applications,
agencies could not easily determine which applications were affected on
their networks.20

                 Mobile Systems May Not Receive Current Patches

Several agencies reported challenges in ensuring that their mobile
computers-such as laptops, digital tablets, and personal digital
assistants-receive the most current patches as soon as users connect to
the network. Mobile computers can be used at physical locations outside an
agency's defined network security perimeter. Consequently, they may not be
on the network at the right time to receive appropriate patches that an
agency deploys and are at significant risk of not being patched. For
example, one private-sector entity stated that its network first became
affected by the Microsoft RPC vulnerability when remote users plugged
their laptops into the network after being exposed to the vulnerability
from other sources. Also, users of mobile systems may utilize a remote
connection to download the patch file. Depending on the size of the
package to be distributed and the bandwidth available to the machine,
patches may be improperly downloaded and installed. When users then
physically connect their mobile computers to the agency network, they may
introduce a vulnerable system into the network. However, tools are
available to automatically scan and patch mobile systems when they connect
to an agency's network.

20Slammer exploited a vulnerability in Microsoft's SQL Server 2000
database and the Microsoft SQL Server 2000 Data Engine (MSDE 2000)
software. Office XP, Small Business Manager, Visual Studio, and Host
Integration Server are some of the 27 Microsoft products that utilize MSDE
2000.

Patching High-Availability Systems Causes Unacceptable Downtime

Some critical systems are required to be continuously available, and an
agency's ability to fulfill its mission could be significantly affected by
the downtime required to install patches. Reacting to new security patches
as they are introduced can interrupt normal and planned IT activities, and
any downtime incurred during the patching cycle interferes with business
continuity. When redundant systems are used, patches can be alternately
applied to each system. However, redundant systems may not be
technologically or economically feasible.

For example, critical high-availability systems include control systems,
commercial satellite systems, and certain financial systems. Control
systems are computer-based systems that are used within many of our
nation's infrastructures and industries to monitor and control sensitive
processes and physical functions.21 These systems are increasingly based
on standardized technologies that are vulnerable to cyber attack. However,
because they can be used to perform complex functions, like managing most
activities in a municipal water system or even a nuclear power plant, they
have high-availability requirements. Frequent downtime is also considered
unacceptable for commercial satellite systems, which are also vulnerable
to cyber attack.22 Federal contracts with commercial satellite service
providers specify high availability and reliability levels to emphasize
the importance of continuous service.23 Certain financial systems are also
required to be continuously available, such as the Fedwire funds transfer
system that routes and settles Federal Reserve Banks' payment orders. The
Fedwire system is expected to be available 99.85 percent of the time and
therefore cannot easily be taken off line to install

21For our report on the cybersecurity of control systems, see U.S. General
Accounting Office, Critical Infrastructure Protection: Challenges and
Efforts to Control Systems, GAO-04-354 (Washington, D.C.: Mar. 15, 2004).

22For our report on the security of satellite systems, see U.S. General
Accounting Office, Critical Infrastructure Protection: Commercial
Satellite Security Should Be More Fully Addressed, GAO-02-781 (Washington,
D.C.: Aug. 30, 2002).

23When used in reference to satellite systems, availability is the ratio
of the total time a service is being used during a given interval to the
length of the interval. For example, a service provider may state that its
services will be available 99.99 percent of the time over a year, which
amounts to 53 minutes of accumulated outages for all causes over the
course of the year. Reliability is the probability that a service will
perform its required function for a specified period of time under stated
conditions. Federal Telecommunications Standards Committee, Telecom
Glossary 2000 (Feb. 2, 2001).

patches. For example, a Fedwire system outage that lasts 2 minutes is
considered by the Federal Reserve to be a "major outage."

Agencies Face Challenges in Dedicating Sufficient Resources to Patch
Management Practices

Thirteen of the 24 agencies that responded to our survey indicated that
dedicating sufficient resources was a significant challenge they faced in
implementing an effective patch management process. Despite the growing
market of patch management tools and services that can track machines that
need patches and automate patch downloads from vendor sites, agencies
noted that effective patch management is a time-consuming process that
requires dedicated staff to assess vulnerabilities and test and deploy
patches. Further, once a patch is deployed, additional efforts are
required to ensure that all vulnerable computers have been effectively
fixed. Agencies recognized the need to devote time and funding to the
patch management process, as well as to the training of skilled system
administrators. For this reason, they may benefit from a shared patch
management resource that provides centralized and dedicated functions such
as testing and training.

  Additional Steps Can Be Taken to Mitigate Risks

We identified a number of steps that can be taken to address the risk
associated with software vulnerabilities and patch management challenges,
including (1) reducing the number of potential vulnerabilities through
better software engineering, (2) incorporating a defense-in-depth strategy
into agencies' IT infrastructures, (3) improving currently available
tools, (4) researching and developing new security technologies, and (5)
leveraging the federal government's buying power to demand more secure
products. DHS has begun efforts to implement additional steps through the
establishment of collaborative task forces.

Better Software Engineering More rigorous engineering practices, which
include a formal development

Can Reduce Vulnerabilities	process, developer training on secure coding
practice, and code reviews, can be employed when designing, implementing,
and testing software products to reduce the number of potential
vulnerabilities and thus minimize the need for patching. It is much less
costly and more secure to identify defects during software development
than to patch vulnerabilities after the product has been distributed.

However, CERT/CC has reported that because software developers do not
devote enough effort to applying lessons learned about the causes of
vulnerabilities, the same types of vulnerabilities identified in earlier
versions continue to appear in newer versions of products. Buffer
overflows, for example, which may allow an attacker to gain control of a
machine or mount a denial of service attack, represent a significant
proportion of all overall software security vulnerabilities.24 For
example, the Blaster and Sasser worms both exploited buffer overflow
vulnerabilities in Microsoft products.

Vendors that are proactive and adopt known effective software engineering
practices can drastically reduce the number of flaws in their software
products. For example, as part of its Trustworthy Computing Initiative,
Microsoft is planning to undertake several steps to strengthen the
software development process. According to Microsoft officials, creating
secure software starts with a formal design process that verifies the
security properties of the software at each well-defined stage of
construction. The need to consider security "from the ground up" is a
fundamental tenet of secure systems development. Such a process is
intended to minimize the number of security vulnerabilities injected into
the design, code, and documentation in the first place and to detect and
remove those vulnerabilities as early in the development life cycle as
possible. From inception to release, a development team, along with a
central security team, makes plans to evaluate the security of the
software.

Implementing "Defense-in-Depth" Can Reduce Vulnerabilities

According to security experts, a best practice for protecting systems
against cyber attacks is for agencies to build successive layers of
defense mechanisms at strategic points in their IT infrastructures. This
approach, commonly referred to as defense-in-depth, entails implementing a
series of protective mechanisms such that if one mechanism fails to thwart
an attack, another will provide a backup defense. Software vulnerabilities
can exist at each of the components of an agency's IT infrastructure, and
no single technical solution can successfully protect against all attacks
that exploit these vulnerabilities. By utilizing the strategy of
defense-in-depth, agencies can reduce the risk of a successful cyber
attack. A layered

24Buffer overflows occur when programs do not adequately check input for
appropriate length. Thus, any unexpected input "overflows" onto another
portion of the central processing unit's executions stack. If this input
is chosen judiciously by a rogue programmer, it can be used to launch code
of the programmer's choice.

approach to security can be taken by deploying both similar and diverse
cybersecurity technologies at multiple layers of the IT infrastructure.
Defense-in-depth also entails implementing an appropriate network
configuration, which in turn can affect the selection and implementation
of cybersecurity technologies-including automated patch management tools
and services.25

Configuration Management and Contingency Planning Can Be Used to Mitigate
Risks

FISMA requires each agency to develop specific system configuration
requirements that meet its own needs and ensure compliance with them,
including maintaining up-to-date patches. In addition, industry best
practices and federal guidance recognize the importance of configuration
management when developing and maintaining a system or network to ensure
that additions, deletions, or other changes to a system do not compromise
the system's ability to perform as intended. Several agencies emphasized
the need for a centralized entity within the agency that is responsible
for the administration and control of the entire configuration management
process, which includes patch management. In addition to ensuring a
uniform and consistent implementation of all patches and updates on a
timely basis, a centralized entity can help foster good communication
between agency components and ensure implementation of necessary patches.
Through effective configuration management, agencies can define and track
the composition of a system to ensure that an unauthorized change is not
introduced.

FISMA also requires that agencies' information security programs include
plans and procedures to ensure continuity of operations for information
systems that support the operations and assets of the agency. Contingency
plans provide specific instructions for restoring critical systems,
including such elements as arrangements for alternative processing
facilities, in case usual facilities are significantly damaged or cannot
be accessed due to unexpected events such as temporary power failure, an
accidental loss of files, or a major disaster. It is important that these
plans be clearly documented, communicated to affected staff, and updated
to reflect current operations.

25A more comprehensive discussion of defense-in-depth and cybersecurity
technologies can be found in U.S. General Accounting Office, Information
Security: Technologies to Secure Federal Systems; GAO-04-467 (Washington,
D.C.: Mar. 9, 2004).

Ongoing Improvements in Patch Management Tools Can Further Assist Agencies

Security experts have noted the need for improving currently available
patch management tools. Several patch management vendors have been working
to do just that. For example, Microsoft has plans to improve its patching
capabilities. Microsoft's newest version of Software Update Service is to
be renamed Windows Update Services (WUS). WUS will be a server-based
application for downloading and deploying patches. However, WUS has a
limited scope and will support only specific applications.26 The release
of WUS has been delayed from this spring to later this year. Other patch
management vendors have plans to expand their product capabilities and to
support additional operating systems such as Linux, Unix, and Apache.
Plans have also been discussed to save bandwidth by deploying patches from
local repositories.

Research and Development of New Technologies Can Refine Software Code

Software security vulnerabilities can also be addressed through the
research and development of automated tools to uncover hard-to-see
security flaws in software code during the development phase. The code
base of large commercial software products can literally be millions of
lines. Microsoft Windows 2000 reportedly contains as many as 35 million
lines. Moreover, because large products under development have changes to
the code base every day, even during the final phase of development, code
needs to be reviewed regularly. There are currently few automated tools
that can be used during the code development phase to find the types of
flaws that introduce overall security vulnerabilities to products.

Research and development in a wide range of other areas could also lead to
more effective technologies to prevent, detect, and recover from attacks,
as well as identify their perpetrators. These include more sophisticated
firewalls to keep serious attackers out, better intrusion-detection
systems that can distinguish serious attacks from nuisance probes and
scans, systems that can isolate compromised areas and reconfigure while
continuing to operate, and techniques to identify individuals responsible
for specific incidents.

26WUS will only support the following applications: Windows 2000 Service
Pack 4 or higher; Windows Server 2003; Internet Information Services 5.5
and higher; and SQL Server 2000 SP 3 and higher, SQL Server 2003 or SQL
Server Desktop Engine 2000.

Federal Buying Power Can Promote Higher Quality Software

The federal government can use its substantial purchasing power to demand
higher quality software that would hold vendors more accountable for
security defects in released products and provide incentives for vendors
that supply low-defect products and products that are highly resistant to
viruses.27 The Corporate Information Security Working Group (CISWG), a
group of representatives from IT trade and security organizations
established last November by Representative Adam Putnam to develop a
private-sector plan for improving cybersecurity in corporate America,
recommends that federal agencies use their massive buying power to force
IT vendors to build more secure products. In addition, CISWG recommends
that insurers base the cost of cyber-risk insurance policies on a
company's security posture to encourage adoption of best practices.

The federal government has already started to use its purchasing power to
influence software vendors to deliver more secure systems. In September
2003, the Department of Energy-along with four other federal agencies and
the Center for Internet Security-signed a contract with Oracle that
requires the vendor to deliver the database to agencies with the security
configurations installed. The contract could serve as a model to other
federal agencies for leveraging their buying power with software vendors
to require them to better secure their products.

  DHS and Private-Sector Task Forces Are Taking Steps to Address Patch
  Management

The federal government-in collaboration with representatives from the
private sector-have begun efforts in various components of patch
management. In December 2003, NCSD and the National Cyber Security
Partnership, a coalition of leading industry associations, established
five task forces that include representatives from academia, trade
associations, nonprofit organizations, companies, and federal government
employees. Two of the task forces addressed patch management-related
issues in their reports, including the need for better software
engineering to reduce vulnerabilities, research and development of new
technologies to improve software coding, and leveraging the federal
government's buying power to promote higher quality software.

In April, the Security Across the Software Development Life Cycle Task
Force issued a report with recommendations for improving software

27The fiscal year 2004 information technology investment for the federal
government is about $59 billion.

security.28 The task force recommended that software providers improve the
development process by adopting practices for developing secure software.
It also recommended that providers adhere to best practices that include
thoroughly testing patches to confirm that errors are not introduced and
to identify any dependencies on previously released patches, updates, or
maintenance releases. Moreover, it recommended that providers make patches
small, easy to install, and reversible, and that patches not introduce new
product features or require reboots. The taskforce also developed a set of
patch management guiding principles that include such criteria as
establishing policies and procedures, defining a responsible person to
monitor and enforce policy compliance, and adopting new technologies.

In April, The Technical Standards and Common Criteria Task Force also
issued a recommendations report.29 In the report, the task force's
Research Working Group advised the federal government to fund research
into the development of better code-scanning tools that can identify
software defects. According to the task force, the tools to be developed
should be able to operate on code developed in a variety of programming
languages; handle millions of lines of code daily; support the development
of large, complex applications; and run on many operating systems to
support multiple development environments. Furthermore, the tools must
also be suitable for products ranging from IT infrastructure to business
applications, as well as for security products themselves. In addition,
the working group recommended that the federal government require
vulnerability analysis of products as a prerequisite to procuring
software.

Conclusions	An ever-increasing number of software vulnerabilities
resulting from flaws in commercial software products place federal
operations and assets at considerable-and growing-risk. Patch management
is an important element in mitigating these risks, as part of overall
network configuration management and information security programs.
Agencies have implemented common effective patch management practices
inconsistently. Automated tools and services are available to facilitate
agencies' implementation of selected patch management practices.

28Improving Security Across the Software Development Lifecycle (April 1,
2004).

29The National Cyber Security Partnership Technical Standards and Common
Criteria Task Force, Recommendations Report, April 2004.

However, a number of common patch management obstacles remain. Additional
steps can be taken by vendors, the security community, and the federal
government to address the risk associated with software vulnerabilities
and patch management challenges.

More refined agency reporting on key aspects of agencies' patch management
practices could provide management and oversight organizations with better
information for measuring the quality of agencies' patch management
effectiveness. This reporting could facilitate agencies' progress in
mitigating the risks caused by software vulnerabilities. Further,
centralized services could provide a valuable resource for performing
effective patch management practices as well as a venue for agencies to
share information relevant to the various functionalities provided by
different tools, IT infrastructures served, cost, effectiveness, and
implementation issues and constraints.

  Recommendations for Executive Action

We recommend that the Director of OMB take the following two actions.
First, we recommend that the OMB Director provide guidance for agencies to
report on key aspects of their patch management practices in their annual
FISMA reports. This guidance could address measures relating to agencies'
implementation of common patch management practices, such as documented
policies and procedures, their testing of new patches in their specific
computing environments prior to installation, and the frequency with which
systems are monitored to ensure that patches are installed.

We also recommend that the OMB Director determine the feasibility of
providing selected centralized patch management services to federal
civilian agencies. OMB should coordinate with DHS to build on lessons
learned regarding PADC's limitations and weigh the costs against potential
benefits. These services could potentially provide patch management
functions such as centralized access to available tools and services,
testing capabilities, and development of training.

Agency Comments	We received oral comments on a draft of our report from
representatives of OMB's Office of Information and Regulatory Affairs and
Office of General Counsel. These representatives generally agreed with our
findings and recommendations. They plan to address key patch management
practices in their FISMA reporting guidance to agencies, and believe sound
configuration management is fundamental to successful patch

management. In addition, they acknowledge the potential benefits of
centralized patch management services and will consider the feasibility of
providing such services to federal agencies. Finally, they noted that,
whether or not centralized patch management services are provided,
ultimately it remains each agency and system owner's responsibility to
maintain the security of their systems including ensuring timely patch
updates.

As agreed with your offices, unless you publicly announce the contents of
the report earlier, we plan no further distribution until 30 days from the
report date. At that time, we will send copies of this report to the
Ranking Minority Members of the Committee on Government Reform and the
Subcommittee on Technology, Information Policy, Intergovernmental
Relations and the Census and other interested parties. In addition, the
report will be made available at no charge on GAO's Web site at
http://www.gao.gov.

If you have any questions regarding this report, please contact me at
(202) 512-3317 or Elizabeth Johnston, Assistant Director, at (202)
512-6345. We can also be reached by e-mail at [email protected] and
[email protected], respectively. Key contributors to this report are
listed in appendix II.

Robert F. Dacey Director, Information Security Issues

Appendix I

                       Objectives, Scope, and Methodology

Our objectives were to determine the (1) reported status of 23 of the
agencies under the CFO Act and DHS in performing effective patch
management practices, (2) tools and services available to federal agencies
to perform patch management, (3) challenges to performing patch
management, and (4) additional steps that can be taken to mitigate the
risks created by software vulnerabilities.

To determine the selected agencies' status in performing these practices,
we first determined effective patch management practices by conducting an
extensive search of professional IT security literature. We also reviewed
research studies and reports about cybersecurity-related vulnerabilities
to update information provided in our previous testimony and consulted our
prior reports and testimonies on information security. In addition, we
interviewed private-sector and federal officials about their patch
management experiences and practices. We then developed a series of
questions that were incorporated into a Web-based survey instrument. We
pretested our survey instrument at one federal department, one component
agency, and internally at GAO through our Chief Information Officer's
office. We also corresponded with OMB to obtain and discuss the process
for their data call of the Microsoft RPC and Cisco IOS vulnerabilities.
For each agency to be surveyed, we identified the CIO office and notified
each of our work and distributed a link to access the web-based survey
instrument to each via e-mail. In addition, we discussed the purpose and
content of the survey instrument with agency officials when requested. All
24 agencies responded to our survey. We did not verify the accuracy of the
agencies' responses; however, we reviewed supporting documentation that
agencies provided to validate their responses. We contacted agency
officials when necessary for follow up. We then analyzed agency responses
to determine the extent to which agencies were performing patch management
practices.

Although this was not a sample survey and, therefore, there were no
sampling errors, conducting any survey may introduce errors, commonly
referred to as nonsampling errors. For example, difficulties in how a
particular question is interpreted, in the sources of information that are
available to respondents, or in how the data are entered into a database
or were analyzed can introduce unwanted variability into the survey
results. We took steps in the development of the survey instrument, the
data collection, and the data analysis to minimize these nonsampling
errors. For example, a survey specialist designed the survey instrument in
collaboration with GAO staff with subject-matter expertise. Then, as
stated earlier, it was pretested to ensure that the questions were
relevant, clearly

Appendix I
Objectives, Scope, and Methodology

stated, and easy to comprehend. When the data were analyzed, a second,
independent analyst checked all computer programs. Because this was a
Web-based survey, respondents entered their answers directly into the
electronic questionnaire. This eliminated the need to have the data keyed
into a database, thus removing an additional potential source of error.

To determine the tools and services available to federal agencies to
perform patch management, we interviewed patch management software and
service vendors as well as computer-security experts to discuss and
examine their products' functions and capabilities. We also conducted
literature searches and reviewed available documentation. We interviewed
FedCIRC officials to discuss their experiences with PADC and other tools
and services available to agencies. In addition, questions regarding patch
management tools and services were included in the survey we sent to the
23 CFO agencies and to DHS.1 Finally, we discussed with agencies the
capabilities and limitations of the specific tools and services they
utilized.

Finally, to determine the challenges to performing patch management and
the additional steps that can be taken to mitigate the risks created by
software vulnerabilities, we reviewed professional information technology
security literature, examined available commercial software patch
management tools and services, and solicited agencies' input on patch
management challenges in our survey. We also interviewed relevant federal
and private-sector officials and computer security experts. Finally, we
reviewed reports prepared by the National Cyber Security Partnership
subgroups tasked with identifying patch management challenges and
developing recommendations.

We conducted our work in Washington, D.C., Charlotte, N.C., and
Schaumburg, Ill., from September 2003 through May 2004, in accordance with
generally accepted government auditing standards.

1These 23 CFO departments and agencies are the Departments of Agriculture,
Commerce, Defense, Education, Energy, Health and Human Services, Housing
and Urban Development, Interior, Justice, Labor, State, Transportation,
Treasury, and Veterans Affairs, the Environmental Protection Agency,
General Services Administration, Office of Personnel Management, National
Aeronautics and Space Administration, National Science Foundation, Nuclear
Regulatory Commission, Small Business Administration, Social Security
Administration, and U.S. Agency for International Development.

Appendix II

                             Staff Acknowledgments

Acknowledgments	Key contributors to this report were Michael Fruitman,
Elizabeth Johnston, Stuart Kaufman, Anjalique Lawrence, Min Lee, David
Noone, and Tracy Pierson.

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