Principals of Information

Security,
Fourth Edition
Chapter 3
Legal, Ethical, and Professional
Issues in Information Security
 Learning Objectives

• Upon completion of this material, you should be

able to:
– Describe the functions of and relationships among
laws, regulations, and professional organizations in
information security
– Differentiate between laws and ethics
– Identify major national laws that affect the practice of
information security
– Explain the role of culture as it applies to ethics in
information security

Principles of Information Security, 4th Edition 2

 Introduction

• You must understand scope of an organization’s

legal and ethical responsibilities
• To minimize liabilities/reduce risks, the information
security practitioner must:
– Understand current legal environment
– Stay current with laws and regulations
– Watch for new issues that emerge

Principles of Information Security, 4th Edition 3

Law and Ethics in Information Security

• Laws: rules that mandate or prohibit certain societal

behavior
• Ethics: define socially acceptable behavior
• Cultural mores: fixed moral attitudes or customs of
a particular group; ethics based on these
• Laws carry sanctions of a governing authority;
ethics do not

Principles of Information Security, 4th Edition 4

 Organizational Liability and the Need
for Counsel
• Liability: An entity’s legal obligation or responsibility
• Restitution: A legal requirement to make
compensation or payment resulting from a loss or
injury.
• Due care: Measures that an organization takes to
ensure every employee knows what is acceptable
and what is not
• Due diligence: Reasonable steps taken by people
or organizations to meet the obligations imposed by
laws or regulations.

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 Organizational Liability and the Need
for Counsel (cont’d.)
• Jurisdiction: The power to make legal decisions and
judgments; typically an area within which an entity
such as a court or law enforcement agency is
empowered to make legal decisions.
• Long arm jurisdiction: right of any court to impose
its authority over an individual or organization if it
can establish jurisdiction

Principles of Information Security, 4th Edition 6

 Policy

• Policies: Guidelines that dictate certain behavior

within the organization
• Policies function as laws within an organization;
must be crafted carefully to ensure they are
complete, appropriate, fairly applied to everyone
• Difference between policy and law: ignorance of a
policy is an acceptable defense

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 Policy (cont’d.)

• Criteria for policy enforcement:

– Dissemination (distribution)
– Review (reading)
– Comprehension (understanding)
– Compliance (agreement)
– Uniform enforcement

8
 Types of Law

• Civil: governs nation or state; manages

relationships/conflicts between organizational
entities and people
• Criminal: addresses violations harmful to society;
actively enforced by the state
• Private: regulates relationships between individuals
and organizations
• Public: regulates structure/administration of
government agencies and relationships with
citizens, employees, and other governments

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 Relevant U.S. Laws

• United States has been a leader in the

development and implementation of information
security legislation
• Implementation of information security legislation
contributes to a more reliable business environment
and a stable economy
• U.S. has demonstrated understanding of problems
facing the information security field; has specified
penalties for individuals and organizations failing to
follow requirements set forth in U.S. civil statutes

Principles of Information Security, 4th Edition 10

 General Computer Crime Laws

• Computer Fraud and Abuse Act of 1986 (CFA

Act): cornerstone of many computer-related federal
laws and enforcement efforts
• National Information Infrastructure Protection Act of
1996:
– Modified several sections of the previous act and
increased the penalties for selected crimes
– Severity of penalties judged on the purpose
• For purposes of commercial advantage
• For private financial gain
• In furtherance of a criminal act
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 General Computer Crime Laws
(cont’d.)
• USA PATRIOT Act of 2001: provides law
enforcement agencies with broader latitude in order
to combat terrorism-related activities
• USA PATRIOT Improvement and Reauthorization
Act: made permanent fourteen of the sixteen
expanded powers of the Department of Homeland
Security and the FBI in investigating terrorist
activity
• Computer Security Act of 1987: one of the first
attempts to protect federal computer systems by
establishing minimum acceptable security practices
Principals of Information Security, Fourth Edition 12
 NCSP Pakistan
• National Cybersecurity Policy (NCSP) 2021
• Provides framework for secure cyberspace, focusing on
cyber governance, infrastructure protection, capacity
building, global cooperation to counter cyber threats
and promote digital resilience in the country.
• Key goals: establishing institutional frameworks,
enhancing information sharing, developing national
cybersecurity standards, and fostering public-private
partnerships to support a secure digital ecosystem.
• Aims to strengthen national capabilities and promote
local industry competitiveness by addressing current
and emerging cyber threats.
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 General Computer Crime Laws
(Pakistan)
• Prevention of Electronic Crimes Act (PECA)
2016, replaced earlier legislation like the
Electronic Transaction Ordinance (ETO) 2002.
• PECA addresses a range of offenses including:
– cyber terrorism, hacking, electronic fraud, electronic
forgery, cyber stalking, hate speech, child
pornography, and unauthorized access to data and
critical infrastructure.
• NCCIA is the main body responsible for
investigating cybercrimes under PECA.

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Policies and Laws of Pakistan

15
 FYI: NUCES Policies
• Academic Rules and Regulations
• ORIC Policies
• Code of Conduct
• Policy for Students with Disabilities at NUCES (2021)
• Policy On Protection Against Sexual Harassment at NUCES
(2020)
• Policy on Drug and Tobacco Abuse at FAST-NUCES (2021)

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 Privacy

• One of the hottest topics in information security

• Is a “state of being free from unsanctioned intrusion”
• Ability to aggregate data from multiple sources allows
creation of information databases previously
impossible
• The number of statutes addressing an individual’s
right to privacy has grown

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 Privacy (cont’d.)

• US Regulations
– Privacy of Customer Information Section of the
common carrier regulation
– Federal Privacy Act of 1974
– Electronic Communications Privacy Act of 1986
– Health Insurance Portability and Accountability Act of
1996 (HIPAA), aka Kennedy-Kassebaum Act
– Financial Services Modernization Act, or
Gramm-Leach-Bliley Act of 1999

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 Privacy (Pakistan)
• Pakistan does not have a comprehensive, enacted data
protection law equivalent to frameworks like the EU's
GDPR or a unified US federal privacy statute.
• Proposed law is the Personal Data Protection
Act/Bill, 2023
• Prevention of Electronic Crimes Act (PECA), 2016
• Payment Systems and Electronic Fund Transfers Act,
2007
– Regulated by the State Bank of Pakistan
• Telecom Consumer Protection Regulations, 2009
– Issued by the Pakistan Telecommunication Authority (PTA)

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 Privacy (cont’d.)

• Identity Theft
– Federal Trade Commission: “occurring when
someone uses your personally identifying
information, like your name, Social Security number,
or credit card number, without your permission, to
commit fraud or other crimes”
– Fraud And Related Activity In Connection With
Identification Documents, Authentication Features,
And Information Act (Title 18, U.S.C. § 1028)
• criminalizes the creation, reproduction, transfer, possession, or
use of unauthorized or false identification documents or
document-making equipment. The penalties for such offenses
range from 1 to 25 years in prison and fines as determined by the
courts. 20
 Privacy (cont’d.)

• If someone suspects identity theft

– Report to the three dominant consumer reporting
companies that your identity is threatened
– Account
• Close compromised account
• Dispute accounts opened without permission
– Register your concern with the FTC
– Report the incident to either your local police or
police in the location where the identity theft
occurred

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 Advisories by PKCERT

NCCIA focuses on the investigation and enforcement aspects of cybercrime

PKCERT handles the technical response and defense against emerging threats to
protect critical infrastructure and data. 22
 Health Insurance Portability and
Accountability Act of 1996 (HIPAA)
• Protects the confidentiality and security of health
care data by establishing and enforcing standards
and by standardizing electronic data interchange
• Consumer control of medical information
• Boundaries on the use of medical information
• Accountability for the privacy of private information
• Balance of public responsibility for the use of
medical information for the greater good measured
against impact to the individual
• Security of health information
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 Export and Espionage Laws

• Economic Espionage Act of 1996 (EEA)

• Security And Freedom Through Encryption Act of
1999 (SAFE)
• The acts include provisions about encryption that:
– Reinforce the right to use or sell encryption
algorithms, without concern of key registration
– Prohibit the federal government from requiring it
– Make it not probable cause in criminal activity
– Relax export restrictions
– Additional penalties for using it in a crime

Principles of Information Security, 4th Edition 24

 Figure 3-1 Export and Espionage

Principles of Information Security, 4th Edition 25

 Export Control Act

• Pakistan's Official Secrets Act, 1923

– functions as the primary anti-espionage law
– Export Control on Goods, Technologies, Material and
Equipment related to Nuclear and Biological
Weapons and their Delivery Systems Act, 2004
(Export Control Act) regulates sensitive exports,
providing a framework equivalent to export control
laws in other countries.

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 Export Control Act

• For Espionage-Related Matters

• The Official Secrets Act, 1923
– Pakistan's direct equivalent to anti-espionage
legislation.
– It protects official information and prevents its
unauthorized disclosure.
– The Act applies to all citizens of Pakistan and
individuals in the service of the government.
– It addresses actions that would assist an enemy
state against Pakistan.

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 U.S. Copyright Law

• Intellectual property recognized as protected asset

in the U.S.; copyright law extends to electronic
formats
• With proper acknowledgment, permissible to
include portions of others’ work as reference
• U.S. Copyright Office Web site: [Link]

Principles of Information Security, 4th Edition 28

 Pakistan Copyright Ordinance 1962

• This foundational piece of legislation grants

creators exclusive rights to their original works, by
protecting them from unauthorized reproduction
and distribution.
• Pakistan Copyright Ordinance includes electronic
data, specifically by recognizing computer
programs as a type of literary work and protecting
the original expression within them

Principles of Information Security, 4th Edition 29

 Financial Reporting

• Sarbanes-Oxley Act of 2002

• Affects executive management of publicly traded
corporations and public accounting firms
• Seeks to improve reliability and accuracy of
financial reporting and increase the accountability
of corporate governance
• Penalties for noncompliance range from fines to jail
terms
• Reliability assurance will require additional
emphasis on confidentiality and integrity

Principles of Information Security, 4th Edition 30

 Freedom of Information Act of 1966
(FOIA)
• Allows access to federal agency records or
information not determined to be matter of national
security
• U.S. government agencies required to disclose any
requested information upon receipt of written
request
• Some information protected from disclosure

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Right of Access to Information Act, 2017
• Right of Access to Information Act, 2017 is the
Pakistani law most equivalent to the U.S. Freedom
of Information Act (FOIA)
• Replaced the earlier Freedom of Information
Ordinance 2002
• Provides a legal framework for citizens to access
information held by public bodies.
• This law gives effect to the constitutional right to
information guaranteed under Article 19-A of the
Pakistani Constitution and specifies procedures for
requesting and providing information from federal
public bodies.
32
 State and Local Regulations

• Restrictions on organizational computer technology

use exist at international, national, state, local
levels
• Information security professional responsible for
understanding state regulations and ensuring
organization is compliant with regulations

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 International Laws and Legal Bodies

• When organizations do business on the Internet,

they do business globally
• Professionals must be sensitive to laws and ethical
values of many different cultures, societies, and
countries
• Because of political complexities of relationships
among nations and differences in culture, there are
few international laws relating to privacy and
information security
• These international laws are important but are
limited in their enforceability
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 European Council Cyber-Crime
Convention
• Establishes international task force overseeing
Internet security functions for standardized
international technology laws
• Attempts to improve effectiveness of international
investigations into breaches of technology law
• Well received by intellectual property rights
advocates due to emphasis on copyright
infringement prosecution
• Lacks realistic provisions for enforcement

Principles of Information Security, 4th Edition 35

 Agreement on Trade-Related Aspects
of Intellectual Property Rights
• Created by World Trade Organization (WTO)
• First significant international effort to protect
intellectual property rights
• Outlines requirements for governmental oversight
and legislation providing minimum levels of
protection for intellectual property

Principles of Information Security, 4th Edition 36

 Agreement on Trade-Related Aspects
of Intellectual Property Rights (cont’d.)
• Agreement covers five issues:
– Application of basic principles of trading system and
international intellectual property agreements
– Giving adequate protection to intellectual property
rights
– Enforcement of those rights by countries in their own
territories
– Settling intellectual property disputes
– Transitional arrangements while new system is being
introduced

Principals of Information Security, Fourth Edition 37

 Digital Millennium Copyright Act
(DMCA)
• U.S. contribution to international effort to reduce
impact of copyright, trademark, and privacy
infringement
• A response to European Union Directive 95/46/EC,
• Prohibits
– Circumvention of protections and countermeasures
– Manufacture and trafficking of devices used to
circumvent such protections
– Prohibits altering information attached or imbedded
in copyrighted material
• Excludes ISPs from some copyright infringement
38
 Digital Millennium Copyright Act
(DMCA) Pakistan
• Copyright Ordinance, 1962, grants exclusive rights
to creators and sets out remedies for infringement,
and international treaties like the Berne Convention
and TRIPS Agreement require Pakistan to provide
equivalent protection.

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 Ethics and Information Security

• Many Professional groups have explicit rules

governing ethical behavior in the workplace
• IT and IT security do not have binding codes of
ethics
• Professional associations and certification agencies
work to establish codes of ethics
– Can prescribe ethical conduct
– Do not always have the ability to ban violators from
practice in field

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41
 Ethical Differences Across Cultures

• Cultural differences create difficulty in determining

what is and is not ethical
• Difficulties arise when one nationality’s ethical
behavior conflicts with ethics of another national
group
• Scenarios are grouped into:
– Software License Infringement
– Illicit Use
– Misuse of Corporate Resources
• Cultures have different views on the scenarios
Principles of Information Security, 4th Edition 42
 Ethics and Education

• Overriding factor in levelling ethical perceptions

within a small population is education
• Employees must be trained in expected behaviors
of an ethical employee, especially in areas of
information security
• Proper ethical training is vital to creating informed,
well prepared, and low-risk system user

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 Deterring Unethical and Illegal
Behavior
• Three general causes of unethical and illegal
behavior: ignorance, accident, intent
• Deterrence: best method for preventing an illegal or
unethical activity; e.g., laws, policies, technical
controls
• Laws and policies only deter if three conditions are
present:
– Fear of penalty
– Probability of being caught
– Probability of penalty being administered

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 Codes of Ethics and Professional
Organizations
• Several professional organizations have
established codes of conduct/ethics
• Codes of ethics can have positive effect;
unfortunately, many employers do not encourage
joining these professional organizations
• Responsibility of security professionals to act
ethically and according to policies of employer,
professional organization, and laws of society

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 Major IT Professional Organizations

• Association of Computing Machinery (ACM)

– Established in 1947 as “the world's first educational
and scientific computing society”
– Code of ethics contains references to protecting
information confidentiality, causing no harm,
protecting others’ privacy, and respecting others’
intellectual property

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 Major IT Professional Organizations
(cont’d.)
• International Information Systems Security
Certification Consortium, Inc. (ISC)2
– Nonprofit organization focusing on development and
implementation of information security certifications
and credentials
– Code primarily designed for information security
professionals who have certification from (ISC)2
– Code of ethics focuses on four mandatory canons

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 Major IT Professional Organizations
(cont’d.)
• System Administration, Networking, and Security
Institute (SANS)
– Professional organization with a large membership
dedicated to protection of information and systems
– SANS offers set of certifications called Global
Information Assurance Certification (GIAC)

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 Major IT Professional Organizations
(cont’d.)
• Information Systems Audit and Control Association
(ISACA)
– Professional association with focus on auditing,
control, and security
– Concentrates on providing IT control practices and
standards
– ISACA has code of ethics for its professionals

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 Major IT Professional Organizations
(cont’d.)
• Information Systems Security Association (ISSA)
– Nonprofit society of information security (IS)
professionals
– Primary mission to bring together qualified IS
practitioners for information exchange and
educational development
– Promotes code of ethics similar to (ISC)2, ISACA,
and ACM

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 Major IT Professional Organizations of
Pakistan
Government & Policy Bodies:
•Ministry of Information Technology and
Telecommunication:
– The primary government body responsible for the development
and promotion of the IT sector.
•Pakistan Software Export Board (PSEB):
– A government-backed entity focused on promoting IT services
and export.
•Ignite (National Technology Fund):
– A fund dedicated to supporting and fostering technology-based
startups and innovation in Pakistan.
•Pakistan Science Foundation (PSF):
– An organization that promotes scientific and technological
advancement. 51
IT Professional Organizations of Pakistan
Industry Associations:
•Pakistan Software Houses Association (P@SHA):
– The main representative body for Pakistan's
software industry, known for its role in promoting the
sector and setting standards.
•Pakistan Council for Science and Technology (PCST):
– A body that focuses on science and technology
promotion.
•National Engineering and Scientific Commission
(NESCOM):
– A government organization engaged in engineering
and scientific endeavors.

52
 Key U.S. Federal Agencies
• Department of Homeland Security (DHS)
– Made up of five directorates, or divisions
– Mission is to protect the people as well as the
physical and informational assets of the US
• Federal Bureau of Investigation’s National
InfraGard Program
– Maintains an intrusion alert network
– Maintains a secure Web site for communication
about suspicious activity or intrusions
– Sponsors local chapter activities
– Operates a help desk for questions
Principles of Information Security, 4th Edition 53
 Key U.S. Federal Agencies (cont’d.)

• National Security Agency (NSA)

– Is the Nation’s cryptologic organization
– Protects US information systems
– Produces foreign intelligence information
– Responsible for signal intelligence and information
system security
• U.S. Secret Service
– In addition to protective services, charged with the
detection and arrest of persons committing a federal
office relating to computer fraud or false identification

Principals of Information Security, Fourth Edition 54

 Key Pakistan Agencies

Intelligence & Security Agencies

•Inter-Services Intelligence (ISI):
– Pakistan's military intelligence agency responsible
for gathering and analyzing national security
information.
•Intelligence Bureau (IB):
– A civilian intelligence agency that focuses on
counter-intelligence and internal security.
•Federal Investigation Agency (FIA):
– A federal body responsible for investigations into
terrorism, corruption, and economic crimes.
55
 Key Pakistan Agencies
• National Counter Terrorism Authority (NCTA):
– An agency dedicated to combating terrorism and
extremism.
• National Accountability Bureau (NAB):
– The anti-corruption watchdog.
Financial & Economic Agencies
• State Bank of Pakistan:
– The central bank and the main financial regulatory
body.
• Pakistan Customs:
– Responsible for the collection of customs duties and
the regulation of imports and exports. 56
 Key Pakistan Agencies

Regulatory & Technical Agencies

•Pakistan Environmental Protection Agency:
– Manages environmental protection and standards in
the country.
•Pakistan Atomic Energy Commission (PAEC):
– A scientific agency focused on nuclear research and
its applications.
•National Engineering & Scientific Commission
(NESCOM):
– A defense-oriented scientific body.

57
 Key Pakistan Ministries
Government Ministries
•Ministry of Foreign Affairs:
– Oversees Pakistan's international relations.
•Ministry of Interior:
– Manages internal security and law and order.
•Ministry of Defence:
– Controls military affairs and defense production.
•Ministry of Finance and Revenue:
– Manages the country's fiscal policies and revenue
collection.
•Ministry of Science and Technology:
– Promotes scientific research and technological
development.
58
 Summary

• Laws: rules that mandate or prohibit certain

behavior in society; drawn from ethics
• Ethics: define socially acceptable behaviors; based
on cultural mores (fixed moral attitudes or customs
of a particular group)
• Types of law: civil, criminal, private, public

Principles of Information Security, 4th Edition 59

 Summary (cont’d.)

• Relevant U.S. laws:

– Computer Fraud and Abuse Act of 1986 (CFA Act)
– National Information Infrastructure Protection Act of
1996
– USA PATRIOT Act of 2001
– USA PATRIOT Improvement and Reauthorization
Act
– Computer Security Act of 1987
– Title 18, U.S.C. § 1028

Principles of Information Security, 4th Edition 60

 Summary (cont’d.)

• Many organizations have codes of conduct and/or

codes of ethics
• Organization increases liability if it refuses to take
measures known as due care
• Due diligence requires that organization make valid
effort to protect others and continually maintain that
effort

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