Information Security: Department of Homeland Security Faces
Challenges in Fulfilling Statutory Requirements (14-APR-05,
GAO-05-567T).
For many years, GAO has reported that poor information security
is a widespread problem that has potentially devastating
consequences. Accordingly, since 1997, GAO has identified
information security as a governmentwide high-risk issue in
reports to Congress--most recently in January 2005. Concerned
with accounts of attacks on commercial systems via the Internet
and reports of significant weaknesses in federal computer systems
that made them vulnerable to attack, Congress passed the Federal
Information Security Management Act of 2002 (FISMA), which
permanently authorized and strengthened the federal information
security program, evaluation, and reporting requirements
established for federal agencies. FISMA requires that agencies
report annually to OMB who issues guidance for that reporting
process. The Department of Homeland Security (DHS), the third
largest agency in the federal government, uses a variety of major
applications and general systems in support of operational and
administrative requirements. This testimony discusses DHS's
progress and challenges in implementing FISMA as reported by the
agency and its Inspector General (IG).
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-05-567T
ACCNO: A21777
TITLE: Information Security: Department of Homeland Security
Faces Challenges in Fulfilling Statutory Requirements
DATE: 04/14/2005
SUBJECT: Computer security
Electronic government
Employee training
Federal law
Federal regulations
General management reviews
Information resources management
Internet
Performance measures
Reporting requirements
Standards and standardization
Statutory law
Security standards
******************************************************************
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GAO-05-567T
United States Government Accountability Office
GAO Testimony
Before the House Subcommittee on Management, Integration, and Oversight,
Committee on Homeland Security
For Release on Delivery 2:00 p.m. EDT Thursday, April 14, 2005
INFORMATION SECURITY
Department of Homeland Security Faces Challenges in Fulfilling Statutory
Requirements
Statement of Gregory C. Wilshusen Director, Information Security Issues
GAO-05-567T
[IMG]
April 14, 2005
INFORMATION SECURITY
Department of Homeland Security Faces Challenges in Fulfilling Statutory
Requirements
What GAO Found
DHS has made progress in implementing key federal information security
requirements, yet it continues to face challenges in fulfilling the
requirements mandated by FISMA. In its fiscal year 2004 report on FISMA
implementation, DHS highlights increases in the majority of the key
performance measures (developed by the Office of Management and Budget
(OMB) to track agency performance in implementing information security
requirements), such as the percentage of agency systems reviewed and
percentage of employee and contractor personnel who received security
awareness training (see figure). For example, DHS reported a substantial
increase in the percentage of personnel that received security awareness
training, rising from 14 percent in fiscal year 2003 to 85 percent in
fiscal year 2004. However, DHS continues to face significant challenges in
meeting most statutory information security requirements. For example, DHS
has yet to develop a complete and accurate inventory or an effective
remediation process.
Figure: DHS Performance Data for Key OMB Performance Measures
United States Government Accountability Office
Abbreviations
CIO chief information officer
DHS Department of Homeland Security
DOD Department of Defense
FISMA Federal Information Security Management Act of 2002
IG inspector general
IT information technology
OMB Office of Management and Budget
NIST National Institute of Standards and Technology
This is a work of the U.S. government and is not subject to copyright
protection in the United States. It may be reproduced and distributed in
its entirety without further permission from GAO. However, because this
work may contain copyrighted images or other material, permission from the
copyright holder may be necessary if you wish to reproduce this material
separately.
Mr. Chairman and Members of the Subcommittee:
I am pleased to be here today to discuss efforts by the Department of
Homeland Security (DHS) to implement requirements of the Federal
Information Security Management Act of 2002 (FISMA).1 For many years, we
have reported that poor information security is a widespread problem that
has potentially devastating consequences.2 Accordingly, since 1997, we
have identified information security as a governmentwide high-risk issue
in reports to Congress-most recently in January 2005.3 Concerned with
accounts of attacks on commercial systems via the Internet and reports of
significant weaknesses in federal computer systems that made them
vulnerable to attack, Congress passed FISMA, which permanently authorized
and strengthened the federal information security program, evaluation, and
reporting requirements established for federal agencies. Under FISMA,
agencies are to report annually to the Office of Management and Budget
(OMB) who issues guidance for that reporting.
In my testimony today, I will summarize the reported status of DHS's
implementation of FISMA, including areas of progress and continuing
challenges.
In conducting this review, we analyzed and summarized DHS's fiscal year
2003 and 2004 reports to Congress on FISMA implementation. We also
reviewed and summarized the fiscal year 2004 FISMA reports for 24 of the
largest federal agencies and their Inspectors General (IGs). In addition,
we reviewed standards and guidance issued by Office of Management and
Budget (OMB) and the National Institute of Standards and Technology (NIST)
pursuant to their FISMA responsibilities. Finally, we reviewed OMB's 2004
report to
1Federal Information Security Management Act of 2002, Title III,
E-Government Act of 2002, Pub. L. No. 107-347, December 17, 2002.
2GAO, Information Security: Opportunities for Improved OMB Oversight of
Agency Practices, GAO/AIMD-96-110 (Washington, D.C.: Sept. 24, 1996).
3GAO, High-Risk Series: An Update, GAO-05-207 (Washington, D.C.: January,
2005).
Congress on the implementation of FISMA governmentwide.4 We did not
validate the accuracy of the data reported by DHS, the other 23 CFO
agencies, or OMB, but did analyze the IGs' fiscal year 2004 FISMA reports
to identify any issues related to the accuracy of agency-reported
information. We performed our work from October 2004 to March 2005 in
accordance with generally accepted government auditing standards. In
addition, we continue to perform on-going work on DHS's management of
information security.
Results in Brief
DHS has made progress in implementing key federal information security
requirements, yet it continues to face challenges in fulfilling the
requirements mandated by FISMA. In its fiscal year 2004 report on FISMA
implementation, DHS highlights increases in the majority of the key
performance measures (developed by OMB to track agency performance in
implementing information security requirements), such as the percentage of
agency systems reviewed and percentage of employee and contractor
personnel who received security awareness training. For example, DHS
reported a substantial increase in the percentage of personnel that
received security awareness training, rising from 14 percent in fiscal
year 2003 to 85 percent in fiscal year 2004. However, DHS continues to
face significant challenges in meeting most statutory information security
requirements. For example, DHS has yet to develop a complete and accurate
inventory or an effective remediation process.
Background
Since the early 1990s, increasing computer interconnectivity-most notably
growth in the use of the Internet-has revolutionized the way that our
government, our nation, and much of the world
4Office of Management and Budget, Federal Information Security Management
Act (FISMA) 2004 Report to Congress (Washington, D.C.: March 1, 2005).
communicate and conduct business. While the benefits have been enormous,
without proper safeguards, this widespread interconnectivity also poses
significant risks to the government's computer systems and, more
importantly, to the critical operations and infrastructures they support.
We recently reported that, while federal agencies showed improvement in
addressing information security, they also continued to have significant
control weaknesses in federal computer systems that put federal operations
and assets at risk of inadvertent or deliberate misuse, financial
information at risk of unauthorized modification or destruction, sensitive
information at risk of inappropriate disclosure, and critical operations
at the risk of disruption. The significance of these weaknesses led us to
conclude in the audit of the federal government's fiscal year 2004
financial statements5 that information security was a material weakness.6
Our audits also identified instances of similar types of weaknesses in
non-financial systems. Weaknesses continued to be reported in each of the
six major areas of general controls-the policies, procedures, and
technical controls that apply to all or a large segment of an entity's
information systems and help ensure their proper operation.
To fully understand the significance of the weaknesses we identified, it
is necessary to link them to the risks they present to federal operations
and assets. Virtually all federal operations are supported by automated
systems and electronic data, and agencies would find it difficult, if not
impossible, to carry out their missions and account for their resources
without these information assets. Hence, the degree of risk caused by
security weaknesses is high. The weaknesses identified place a broad array
of federal operations and assets at risk. For example:
5U.S. Department of the Treasury, 2004 Financial Report of the United
States Government (Washington, D.C.; 2005).
6A material weakness is a condition that precludes the entity's internal
control from providing reasonable assurance that misstatements, losses, or
noncompliance material in relation to the financial statements or to
stewardship information would be prevented or detected on a timely basis.
0M resources, such as federal payments and collections, could be lost or
stolen;
0M computer resources could be used for unauthorized purposes or to launch
attacks on others;
0M sensitive information, such as taxpayer data, social security records,
medical records, and proprietary business information could be
inappropriately disclosed, browsed, or copied for purposes of industrial
espionage or other types of crime;
0M critical operations, such as those supporting national defense and
emergency services, could be disrupted;
0M data could be modified or destroyed for purposes of fraud, identity
theft, or disruption; and
0M agency missions could be undermined by embarrassing incidents that
result in diminished confidence in their ability to conduct operations and
fulfill their fiduciary responsibilities.
Congress and the administration have established specific information
security requirements in both law and policy to help protect the
information and information systems that support these critical operations
and assets.
FISMA Authorized and Strengthened Information Security Requirements
Enacted into law on December 17, 2002, as Title III of the E-Government
Act of 2002, FISMA authorized and strengthened information security
program, evaluation, and reporting requirements. FISMA assigns specific
responsibilities to agency heads, chief information officers, and IGs. It
also assigns responsibilities to OMB, which include developing and
overseeing the implementation of policies, principles, standards, and
guidelines on information security and reviewing at least annually, and
approving or disapproving, agency information security programs.
Overall, FISMA requires each agency to develop, document, and implement an
agencywide information security program. This program should provide
information security for the information and information systems that
support the operations and assets of the agency, including those provided
or managed by another agency, contractor, or other source. Specifically,
this program is to include:
0M periodic assessments of the risk and magnitude of harm that could
result from the unauthorized access, use, disclosure, disruption,
modification, or destruction of information or information systems;
0M risk-based policies and procedures that cost-effectively reduce
information security risks to an acceptable level and ensure that
information security is addressed throughout the life cycle of each
information system;
0M subordinate plans for providing adequate information security for
networks, facilities, and systems or groups of information systems;
0M security awareness training for agency personnel, including contractors
and other users of information systems that support the operations and
assets of the agency;
0M periodic testing and evaluation of the effectiveness of information
security policies, procedures, and practices, performed with a frequency
depending on risk, but no less than annually, and that includes testing of
management, operational, and technical controls for every system
identified in the agency's required inventory of major information
systems;
0M a process for planning, implementing, evaluating, and documenting
remedial action to address any deficiencies in the information security
policies, procedures, and practices of the agency;
0M procedures for detecting, reporting, and responding to security
incidents; and
0M plans and procedures to ensure continuity of operations for information
systems that support the operations and assets of the agency.
FISMA also established a requirement that each agency develop, maintain,
and annually update an inventory of major information systems operated by
the agency or that are under its control. This inventory is to include an
identification of the interfaces between each system and all other systems
or networks, including those not operated by or under the control of the
agency.
Each agency is also required to have an annual independent evaluation of
its information security program and practices, including control testing
and compliance assessment. Evaluations of non-national security systems
are to be performed by the agency IG or by an independent external
auditor, while evaluations related to
national security systems are to be performed only by an entity designated
by the agency head.
The agencies are to report annually to OMB, selected congressional
committees, and the Comptroller General on the adequacy of information
security policies, procedures, practices, and compliance with FISMA
requirements. In addition, agency heads are required to make annual
reports of the results of their independent evaluations to OMB. OMB is
also required to submit a report to Congress no later than March 1 of each
year on agency compliance, including a summary of the findings of
agencies' independent evaluations.
Other major provisions require NIST to develop, for systems other than
national security systems: (1) standards to be used by all agencies to
categorize all their information and information systems based on the
objectives of providing appropriate levels of information security
according to a range of risk levels; (2) guidelines recommending the types
of information and information systems to be included in each category;
and (3) minimum information security requirements for information and
information systems in each category. NIST must also develop a definition
and guidelines concerning detection and handling of information security
incidents and guidelines, developed in conjunction with the Department of
Defense (DOD) and the National Security Agency, for identifying an
information system as a national security system.
OMB Reporting Instructions and Guidance Emphasize Performance Measures
Consistent with FISMA requirements, OMB issues guidance to the agencies on
their annual reporting requirements. On August 23, 2004, OMB issued its
fiscal year 2004 reporting instructions. The reporting instructions,
similar to the 2003 instructions, emphasized a strong focus on performance
measures and formatted these instructions to emphasize a quantitative
response. OMB has developed performance measures in the following areas,
including:
0M certification and accreditation,7
0M annual review of agency systems,
0M annual review of contractor operations or facilities,
0M annual security awareness training for employees and contractors,
0M annual specialized training for employees with significant security
responsibilities, and
0M testing of contingency plans.
Further, OMB provided instructions for continued agency reporting on the
status of remediation efforts through plans of action and milestones.
Required for all programs and systems where an IT security weakness has
been found, these plans list the weaknesses and show estimated resource
needs or other challenges to resolving them, key milestones and completion
dates, and the status of corrective actions. The plans are to be submitted
twice a year. In addition, agencies are to submit quarterly updates that
indicate the number of weaknesses for which corrective action was
completed on time (including testing), is ongoing and on track to be
completed as originally scheduled, or has been delayed, as well as the
number of new weaknesses discovered since the last update.
The IGs' reports were to be based on the results of their independent
evaluations, including work performed throughout the reporting period
(such as financial statements or other audits). While OMB asked the IGs to
respond to the same questions as the agencies, it also asked them to
assess whether their agency had developed, implemented, and was managing
an agencywide plan of actions and milestones. Further, OMB asked the IGs
to assess the certification and accreditation process at their agencies.
OMB did not request that the IGs validate agency responses to the
performance measures. Instead, as part of their independent
7Certification is a comprehensive process of assessing the level of
security risk, identifying security controls needed to reduce risk and
maintain it at an acceptable level, documenting security controls in a
security plan, and testing controls to ensure they operate as intended.
Accreditation is a written decision by an agency management official
authorizing operation of a particular information system or group of
systems.
evaluations of a subset of agency systems, IGs were asked to assess the
reliability of the data for those systems that they evaluated.
Recently-created Department of Homeland Security is Large and Complex
In the aftermath of September 11, invigorating the nation's homeland
security missions became one of the federal government's most significant
challenges. The Homeland Security Act of 2002 created DHS, combining 22
agencies into one department. DHS, with an estimated 170,000 employees, is
the third largest government agency. Not since the creation of DOD more
than 50 years ago had the government sought an integration and
transformation of this magnitude.
GAO designated implementing and transforming DHS as high risk in 2003
because DHS had to transform 22 agencies-several with major management
challenges-into one department, and failure to effectively address its
management challenges and program risks could have serious consequences
for our national security.8 DHS combined 22 agencies specializing in
various disciplines: law enforcement, border security, biological
research, disaster mitigation, and computer security, for instance.
Further, DHS oversees a number of non-homeland-security activities, such
as the Coast Guard's marine safety responsibilities and the Federal
Emergency Management Agency's natural disaster response functions.
DHS has lead responsibility for preventing terrorist attacks in the United
States, reducing the vulnerability of the United States to terrorist
attacks, and minimizing the damage and assisting in the recovery from
attacks that do occur. DHS has five under secretaries with responsibility
over directorates for management, science and technology, information
analysis and infrastructure protection, border and transportation
security, and emergency preparedness
8GAO, High-Risk Series: An Update, GAO-05-207 (Washington, D.C.: January,
2005).
and response. In addition, the department has four other organizations
that report directly to the Secretary.
DHS uses a variety of major applications and general support systems in
support of operational and administrative requirements. In its 2004 FISMA
report, DHS stated that it had 395 systems and 61 contractor operations.
These systems often served specific organizations that are now merged with
others, resulting in interoperability issues, data management concerns,
and incompatible environments or duplicative processes.
Department of Homeland Security's FISMA Reports Highlight
Increases in Performance Measures, but Challenges Remain In its
FISMA-mandated report for fiscal year 2004, DHS generally reported
increases in compliance with information security requirements as compared
with 2003. However, DHS continues to face significant challenges. The
following key performance measures showed increased performance and/or
continuing challenges:
0M percentage of systems certified and accredited;
0M percentage of agency systems reviewed annually;
0M percentage of contractor operations reviewed annually;
0M percentage of employees and contractors receiving annual security
awareness training;
0M percentage of employees with significant security responsibilities
receiving specialized security training annually; and
0M percentage of systems with contingency plans tested.
Figure 1 illustrates the reported overall status of DHS in meeting these
performance measures and the changes between fiscal years 2003 and 2004.
Figure 1: DHS Reported Data for Key Performance Measures
DHS has yet to develop a complete and accurate inventory, or an effective
plan of action and milestones.9 Finally, figure 2 illustrates how DHS
compares to the governmentwide results for the performance measures when
compared to the aggregated data of all 24 CFO agencies.
9OMB's implementing guidance refers to the process of planning,
implementing, evaluating, and documenting remedial actions to address any
deficiencies in information security as a security plan of action and
milestones.
Figure 2: Comparison of DHS Data to Governmentwide Performance
Certification and Accreditation
Included in OMB's policy for federal information security is a requirement
that agency management officials formally authorize their information
systems to process information and, thereby, accept the risk associated
with their operation. This management authorization (accreditation) is to
be supported by a formal technical evaluation (certification) of the
management, operational, and technical controls established in an
information system's security plan. In 2003, agencies were required to
report separately on risk assessments and security plans. In 2004, OMB
eliminated this separate reporting in its guidance and directed agencies
to complete risk assessments and security plans for the certification and
accreditation process to be accomplished. As a result, the performance
measure for certification and accreditation now also
reflects the level of agency compliance for risk assessments and security
plans. For FISMA reporting, OMB requires agencies to report the number of
systems authorized for processing after completing certification and
accreditation.
DHS reported a significant increase for this performance measure in its
fiscal year 2004 report. The Department reported that approximately 68
percent of its systems had been certified and accredited, an increase of
26 percent over fiscal year 2003. Governmentwide, 77 percent of all
systems were certified and accredited compared to the 68 percent at DHS.
If agencies do not certify and accredit their systems, they cannot be
assured that risks have been identified and mitigated to an acceptable
level.
Moreover, the DHS IG reported in its 2004 FISMA report that the
certification and accreditation process at the Department was poor. The
report noted that the certification and accreditation process was not
performed consistently across the Department. In addition, there were
instances where certified and accredited systems lacked key security
documentation such as up-to-date and approved security plans, a current
risk assessment, and contingency plans. As a result, the agency reported
performance data may not accurately reflect the status of DHS's efforts to
implement this requirement.
Annual Review of Agency Systems
FISMA requires that agency information security programs include periodic
testing and evaluation of the effectiveness of information security
policies, procedures, and practices to be performed with a frequency that
depends on risk, but no less than annually. This is to include testing of
management, operational, and technical controls for every information
system identified in the FISMA-required inventory of major systems.
Periodically evaluating the effectiveness of security policies and
controls and acting to address any identified weaknesses are fundamental
activities that allow an organization to manage its information security
risks cost effectively, rather than reacting to individual problems ad hoc
only after a violation has been detected or an audit finding has been
reported. Further, management control testing and evaluation as part of
program reviews is an additional source of information that can be
considered along with control testing and evaluation in IG and GAO audits
to help provide a more complete picture of the agencies' security
postures. As a performance measure for this requirement, OMB requires that
agencies report the number of systems that they have reviewed during the
year.
DHS reported performing an annual review on an increased percentage of its
systems. It reported in 2004 that it had reviewed 54 percent of its
systems, as compared to 44 percent in 2003. In 2004, 23 of the 24 CFO
agencies reported that they had reviewed 90 percent or more of their
systems. Annual security testing helps to provide assurance to the
agencies that security controls are in place and functioning correctly.
Without such testing, agencies cannot be assured that their information
and systems are protected.
Annual Review of Contractor Operations
Under FISMA, agency heads are responsible for providing information
security protections for information collected or maintained by or on
behalf of the agency and information systems used or operated by an agency
or by a contractor. Thus, agency information security programs apply to
all organizations that possess or use federal information or that operate,
use, or have access to federal information systems on behalf of a federal
agency. Other such organizations may include contractors, grantees, state
and local governments, and industry partners. This underscores
longstanding OMB policy concerning sharing government information and
interconnecting systems: federal security requirements continue to apply
and the agency is responsible for ensuring appropriate security controls.
At DHS, the key performance measure of annually reviewing contractor
operations showed a minor decrease from 73 percent in 2003 to 67 percent
in 2004. Twenty of the Department's contractor operations were not
reviewed. The governmentwide performance measure was reported as 83
percent of all contractor operations reviewed. If agencies do not review
contractor operations, they cannot be assured that federal data is being
handled in accordance with agency requirements.
Security Awareness 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 the agency's
responsibilities in complying with policies and procedures designed to
reduce these risks. Our studies of best practices at leading
organizations10 have shown that such organizations took steps to ensure
that personnel involved in various aspects of their information security
programs had the skills and knowledge they needed. Agencies reported that
they provided security awareness training to the majority of their
employees and contractors. As performance measures for FISMA training
requirements, OMB has the agencies report the number of employees and
contractors who received IT security training during fiscal year 2004.
DHS reported a substantial increase in the percentage of employees and
contractors who received security awareness training in fiscal year 2004.
The Department reported that it had trained 85 percent of its staff
compared to 14 percent in 2003. As a result, reported performance is
comparable to the majority of agencies in this performance measure, as
seventeen agencies reported that they had trained more than 90 percent of
their employees and contractors in basic security awareness.
Specialized Security Training
Under FISMA, agencies are required to provide training in information
security to personnel with significant security responsibilities. As
previously noted, our study of best practices at leading organizations has
shown that such organizations recognized that staff expertise needed to be
updated frequently to keep security employees updated on changes in
threats, vulnerabilities, software, security techniques, and security
monitoring tools. OMB directs
10GAO, Executive Guide: Information Security Management: Learning From
Leading Organizations, GAO/AIMD-98-68 (May, 1998).
agencies to report on the percentage of their employees with significant
security responsibilities who received specialized training.
DHS presented substantial improvement in this performance measure,
reporting that it had provided specialized training to more than 90
percent of its employees who have significant security responsibilities.
Not only was this a significant improvement over the 66 percent reported
in 2003, it also places DHS among the top ten agencies governmentwide for
this performance measure. Given the rapidly changing threats in
information security, agencies need to keep their IT security employees
up-to-date on changes in technology. Otherwise, agencies may face
increased risk of security breaches.
Testing of Contingency Plans
Contingency plans provide specific instructions for restoring critical
systems, including such elements as arrangements for alternative
processing facilities in case the usual facilities are significantly
damaged or cannot be accessed due to unexpected events such as temporary
power failure, accidental loss of files, or a major disaster. It is
important that these plans be clearly documented, communicated to
potentially affected staff, and updated to reflect current operations.
The testing of contingency plans is essential to determining whether plans
will function as intended in an emergency situation. The frequency of plan
testing will vary depending on the criticality of the entity's operations.
The most useful tests involve simulating a disaster situation to test
overall service continuity. Such a test would include testing whether the
alternative data processing site will function as intended and whether
critical computer data and programs recovered from off-site storage are
accessible and current. In executing the plan, managers will be able to
identify weaknesses and make changes accordingly. Moreover, tests will
assess how well employees have been trained to carry out their roles and
responsibilities in a disaster situation. To show the status of
implementing this requirement, OMB requires that agencies report
the number of systems that have a contingency plan and the number that
have contingency plans that have been tested.
DHS reported a modest increase in the percentage of contingency plans
tested. The department stated that it had tested contingency plans for 21
percent of its systems, an 8 percentage point increase over 2003.
Moreover, analysis of the numbers reveals that DHS tested 82 plans, which
was almost double what it tested in 2003. However, the majority of its
systems do not have tested contingency plans. Overall, federal agencies
reported that 57 percent of systems had contingency plans that had been
tested. Without testing, agencies can have limited assurance that they
will be able to recover mission-critical applications, business processes,
and information in the event of an unexpected interruption.
Other Challenges in Implementing Statutory Requirements
In addition to the performance measures, there are other requirements that
agencies must meet under FISMA. Agencies are required to have a complete
and accurate inventory of their major systems and any interdependencies.
They are also required to have a remediation process for correcting
identified information security weaknesses.
The total number of agency systems is a key element in OMB's performance
measures, in that agency progress is indicated by the percentage of total
systems that meet specific information security requirements. Thus,
inaccurate or incomplete data on the total number of agency systems
affects the percentage of systems shown as meeting the requirements.
Further, a complete inventory of major information systems is a key
element of managing the agency's IT resources, including the security of
those resources.
DHS reported that it did not have a complete and accurate inventory in
either 2003 or 2004. Without reliable information on DHS's inventories,
the Department, the administration, and Congress cannot be fully assured
of DHS's progress in implementing FISMA.
FISMA requires each agency to develop a process for planning,
implementing, evaluating, and documenting remedial actions to
address any deficiencies in the information security policies, procedures
and practices of the agency. OMB's implementing guidance refers to this
process as a security plan of action and milestones. The chief information
officer (CIO) is to manage the process for the agencies and program
officials are required to regularly update the CIO on their progress in
implementing remedial actions. This process allows both the CIO and the IG
to monitor agency-wide progress, identify problems, and provide accurate
reporting. In its annual reporting guidance, OMB asks the agency IGs to
report on the status of the plan of action and milestones at their
agencies. IGs were asked to evaluate the process based on the following
criteria:
0M known IT security weaknesses from all components are incorporated;
0M program officials develop, implement and manage plans for the systems
they own and operate that have an IT security weakness;
0M program officials report to the CIO on a regular basis (at least
quarterly) on their remediation progress;
0M CIO develops, implements and manages plans for the systems they own and
operate that have an IT security weakness;
0M CIO centrally tracks, maintains, and reviews all plan activities on at
least a quarterly basis;
0M The plan is the authoritative agency tool for agency and IG management
to identify and monitor agency actions for corrected information security
weaknesses;
0M System-level plans are tied directly to the system budget request
through the IT business case as required in OMB budget guidance;
0M IG has access to the plans as requested;
0M IG findings are incorporated into the process; and
0M the process prioritizes IT security weaknesses to help ensure that
significant weaknesses are addressed in a timely manner and receive
appropriate resources.
In its 2004 FISMA report, the DHS IG described problems with the plan of
action and milestones process at DHS. According to the IG, seven of the
nine major department components reviewed lacked a
documented and implemented plan of action and milestones. Further, the IG
stated that the CIO did not receive reports of remediation progress and
did not ensure that components updated the status of their progress.
Linkage of the plans to budget requests was reported as minimal at the
component level. Seven of the nine components reviewed did not have a
formal process to prioritize their IT security weaknesses. Finally, the IG
reported that its findings were not incorporated into the plan of action
and milestones at DHS. Without an effective, implemented remediation
process, DHS cannot be assured that identified security weaknesses are
tracked and corrected.
In summary, DHS generally showed increases in the OMB performance measures
for FISMA implementation in fiscal year 2004. However, it still faces
challenges in implementing the statutory requirements. It faces
significant challenges in both inventory development and the
implementation of its remediation process. Accordingly, if information
security is to continue to improve, agency management must remain
committed to these efforts. The annual reports and performance measures
will continue to be key tools for holding DHS accountable and providing a
barometer of the overall status of its information security.
Mr. Chairman, this concludes my statement. I would be happy to answer any
questions from you or members of the Committee.
Should you have any questions about this testimony, please contact me at
(202) 512-3317 or Suzanne Lightman, Assistant Director, at (202) 512-8146
or by e-mail at [email protected] and [email protected], respectively.
Other individuals making key contributions to this testimony include Larry
Crosland, Season Dietrich, Nancy Glover, Carol Langelier, and Stephanie
Lee.
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