Audit Report on "Protection of the Department of Energy's Unclassified Sensitive Electronic Information"

[摘要] The Department of Energy and its contractors store and process massive quantities of sensitive information to accomplish national security, energy, science, and environmental missions. Sensitive unclassified data, such as personally identifiable information (PII), official use only, and unclassified controlled nuclear information require special handling and protection to prevent misuse of the information for inappropriate purposes. Industry experts have reported that more than 203 million personal privacy records have been lost or stolen over the past three years, including information maintained by corporations, educational institutions, and Federal agencies. The loss of personal and other sensitive information can result in substantial financial harm, embarrassment, and inconvenience to individuals and organizations. Therefore, strong protective measures, including data encryption, help protect against the unauthorized disclosure of sensitive information. Prior reports involving the loss of sensitive information have highlighted weaknesses in the Department's ability to protect sensitive data. Our report on Security Over Personally Identifiable Information (DOE/IG-0771, July 2007) disclosed that the Department had not fully implemented all measures recommended by the Office of Management and Budget (OMB) and required by the National Institute of Standards and Technology (NIST) to protect PII, including failures to identify and encrypt PII maintained on information systems. Similarly, the Government Accountability Office recently reported that the Department had not yet installed encryption technology to protect sensitive data on the vast majority of laptop computers and handheld devices. Because of the potential for harm, we initiated this audit to determine whether the Department and its contractors adequately safeguarded sensitive electronic information. The Department had taken a number of steps to improve protection of PII. Our review, however, identified opportunities to strengthen the protection of all types of sensitive unclassified electronic information and reduce the risk that such data could fall into the hands of individuals with malicious intent. In particular, for the seven sites we reviewed: (1) Four sites had either not ensured that sensitive information maintained on mobile devices was encrypted. Or, they had improperly permitted sensitive unclassified information to be transmitted unencrypted through email or to offsite backup storage facilities; (2) One site had not ensured that laptops taken on foreign travel, including travel to sensitive countries, were protected against security threats; and, (3) Although required by the OMB since 2003, we learned that programs and sites were still working to complete Privacy Impact Assessments - analyses designed to examine the risks and ramifications of using information systems to collect, maintain, and disseminate personal information. Our testing revealed that the weaknesses identified were attributable, at least in part, to Headquarters programs and field sites that had not implemented existing policies and procedures requiring protection of sensitive electronic information. In addition, a lack of performance monitoring contributed to the inability of the Department and the National Nuclear Security Administration (NNSA) to ensure that measures were in place to fully protect sensitive information. As demonstrated by previous computer intrusion-related data losses throughout the Department, without improvements, the risk or vulnerability for future losses remains unacceptably high. In conducting this audit, we recognized that data encryption and related techniques do not provide absolute assurance that sensitive data is fully protected. For example, encryption will not necessarily protect data in circumstances where organizational access controls are weak or are circumvented through phishing or other malicious techniques. However, as noted by NIST, when used appropriately, encryption is an effective tool that can, as part of an overall risk-management strategy, enhance security over critical personal and other sensitive information. The audit disclosed that Sandia National Laboratories had instituted a comprehensive program to protect laptops taken on foreign travel. In addition, the Department issued policy after our field work was completed that should standardize the Privacy Impact Assessment process, and, in so doing, provide increased accountability. While these actions are positive steps, additional effort is needed to help ensure that the privacy of individuals is adequately protected and that sensitive operational data is not compromised. To that end, our report contains several recommendations to implement a risk-based protection scheme for the protection of sensitive electronic information.

[发布日期] 2009-08-01

[学科分类] 自然科学（综合）

[关键词] AUDITS;COMPUTERS;CONTRACTORS;INFORMATION SYSTEMS;MANAGEMENT;MONITORING;NATIONAL SECURITY;PERFORMANCE;RECOMMENDATIONS;SANDIA NATIONAL LABORATORIES;SECURITY;STORAGE FACILITIES;TESTING;VULNERABILITY