State of Maine

Department of Administrative and Financial Services

Office of Information Technology (OIT)

Program Management Policy and Procedures (PM-1)

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 Program Management Policy and Procedures (PM-1)

Table of Contents
1.0. Purpose ............................................................................................................................................ 3
2.0. Scope ................................................................................................................................................. 3
3.0. Conflict.............................................................................................................................................. 3
4.0. Roles and Responsibilities ....................................................................................................... 3
5.0. Management Commitment ...................................................................................................... 4
6.0. Coordination Among Agency Entities ................................................................................. 4
7.0. Compliance ..................................................................................................................................... 5
8.0. Procedures ...................................................................................................................................... 5
9.0. Document Details...................................................................................................................... 17
10.0. Review ........................................................................................................................................... 17
11.0. Records Management.............................................................................................................. 17
12.0. Public Records Exceptions .................................................................................................... 17
13.0. Definitions.................................................................................................................................... 17

ii
 Program Management Policy and Procedures (PM-1)

1.0. Purpose
The purpose of this policy is to provide oversight for organization-wide information
security programs to help ensure the confidentiality, integrity, and availability of
information processed, stored, and transmitted by State of Maine information
systems. The Program Management family provides security controls at the
organizational level rather than at the information system (see Definitions) level.
This corresponds to the Program Management (PM) Control Family of the National
Institute of Standards and Technology (NIST) Special Publication 800-53 (Rev. 4). 1

2.0. Scope
2.1. This document applies to:
2.1.1. All State of Maine personnel, both employees and contractors;
2.1.2. Executive Branch agency information assets, irrespective of location; and
2.1.3. Information assets from other State government branches that use the State
network.

3.0. Conflict
If this document conflicts with any law or union contract in effect, the terms of the
existing law or contract prevail.

4.0. Roles and Responsibilities

4.1. Agency Business Partners
4.1.1. Complete Federal regulatory reporting requirements as required.
4.1.2. Implement and enforce the standards for the technical, physical, personnel
and cyber-physical aspects of information security for their agency.
4.1.3. Are responsible for the Confidentiality, integrity, and availability of entrusted
federal and State of Maine data.

4.2. Chief Information Officer (CIO)

4.2.1. Enables the vision, goals, funding, and strategic plan for the Executive Branch
of Maine State Government through the thorough and diligent administration
of technology.
4.2.2. Implements and enforces the standards for the technical, physical, personnel
and cyber-physical aspects of information security for OIT.
4.2.3. Allocates the appropriate amount of resources to the information security
program.
4.2.4. Is responsible for the confidentiality, integrity, and availability of State of
Maine information systems.

4.3. Chief Information Security Officer (CISO)

1
https://csrc.nist.gov/publications/detail/sp/800-53/rev-4/final

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 Program Management Policy and Procedures (PM-1)

4.3.1. Establishes and maintains the enterprise vision, strategy, and program to
ensure information assets and technologies are adequately protected.
4.3.2. Establishes and enforces the standards for the technical, physical, personnel
and cyber-physical aspects of information security.
4.3.3. Coordinates, develops, implements, and maintains a State of Maine Executive
Branch information security program.
4.3.4. Owns, executes, and enforces this Policy.
4.3.5. Informs involved and affected parties in the event of non-compliance with
information security policies.

4.4. The Information Security Office

4.4.1. Works with CISO to manage and implement the information security
program.

4.5. OIT Information Asset Owners

4.5.1. Provide reports or access to information technology tools that detail
security metrics to the Information Security Office.
4.5.2. Implement and enforce the standards for the technical, physical, personnel
and cyber-physical aspects of information security for their respective
assets.
4.5.3. Take appropriate action to secure technology as specified in shared
intelligence reports.
4.5.4. In collaboration with Agency Business Partners, hold all vendors/partners
for externally-hosted information assets accountable to this Policy and
Procedures, within the vendor/partner’s span-of-control.

4.6. IT Procurement
4.6.1. With support from OIT Information Asset Owners, ensures vendor contracts
contain appropriate security requirement and risk management language.

4.7. The Architecture and Policy Team

4.7.1. In collaboration with the Information Security Office, develops and maintains
Plans of Actions and Milestones (POA&Ms).
4.7.2. In collaboration with the Information Security Office, develops and maintains
policy and procedures that detail the security controls required of the
security program.

5.0. Management Commitment

The State of Maine is committed to following this document.

6.0. Coordination Among Agency Entities

The Office of Information Technology (OIT) coordinates program management with
agencies to ensure the security of State of Maine information assets in accordance

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 Program Management Policy and Procedures (PM-1)

with Executive Order 2014-003 2 and Title 5, Chapter 163 §1971-1985. 3 Agencies
and the Office of Information Technology coordinate to meet all state and Federal
audit documentation and reporting compliance requirements. Roles and
responsibilities in this document establish further coordination of the technical,
physical, personnel and cyber-physical aspects of information security.

7.0. Compliance
7.1. For State of Maine employees, failure to comply with this document may result in
progressive discipline, up to and including, dismissal.
7.2. For State of Maine contractors and non-State of Maine personnel, failure to comply
may result in removal of the individual’s ability to access, and use, State of Maine
data and systems. Employers of contractors will be notified of any violations.
7.3. Personnel are also subject to any applicable penalties for statutory requirements
compliance violations. Depending on the requirement, and the nature of the
violation, penalties could include fines and/or criminal charges.

8.0. Procedures
8.1. The following procedures are designed to satisfy the security control requirements
of this Policy (Program Management) as outlined in NIST Special Publication 800-53
(Rev. 4), 4 Internal Revenue Service Publication 1075, 5 Centers for Medicare &
Medicaid Services Minimum Acceptable Risk Standards for Exchanges 2.0, 6 Criminal
Justice Information Services Security Policy, 7 Health Insurance Portability and
Accountability Act Security Rule, 8 and to satisfy Federal law.

8.2. Chief Information Security Officer (PM-2)

8.2.1. The CIO designates a CISO who has the explicit authority, mission, and
resources to coordinate, develop, implement, and maintain an organization-
wide information security program and requirements for the Executive
Branch of Maine State government.

8.2.2. The CIO ensures the CISO:

8.2.2.1. Possesses training and experience required to administer the CISO
function;
8.2.2.2. Has authority for information security for the Executive Branch of
Maine State government; and
8.2.2.3. Has information security duties as the primary job function.

2
http://www.maine.gov/tools/whatsnew/attach.php?id=626944&an=1
3
https://legislature.maine.gov/statutes/5/title5ch163sec0.html
4
https://csrc.nist.gov/publications/detail/sp/800-53/rev-4/final
5
https://www.irs.gov/pub/irs-pdf/p1075.pdf
6
https://www.cms.gov/CCIIO/Resources/Regulations-and-Guidance/#MinimumAcceptableRiskStandards
7
https://www.fbi.gov/services/cjis/cjis-security-policy-resource-center
8
https://www.hhs.gov/hipaa/for-professionals/security/index.html

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 Program Management Policy and Procedures (PM-1)

8.2.3. The CISO:

8.2.3.1. Establishes and reviews annually the information security strategy
(i.e., program plan) for the Executive Branch of the State of Maine.
8.2.3.2. Develops and maintains information security policies and
procedures that address known and potential security risks;
8.2.3.3. Works with customers and technical resources to ensure that
controls to address information security risks are utilized; and
8.2.3.4. Provides guidance to Executive Branch officials, information system
owners, information custodians, and information users concerning
their responsibilities.

8.3. Information Security Resources (PM-3)

8.3.1. OIT conducts information technology security planning in conjunction with
the biennial budget process. The Information Security Office formulates its
budget request by calculating the number of resources and security services
it provides to the agencies.
8.3.1.1. The services are consumed through internal service rates by the
agencies.
8.3.1.2. Once approved by the CIO, the budget request is sent to the
Department of Administrative and Financial Services for evaluation
and approval. The State budget is the shared responsibility of the
Legislature and the Governor.

8.3.2. Significant security purchases comply with the justification and

documentation requirements set forth by the Division of Procurement
Services within the Department of Administrative and Financial Services.

8.3.3. The CISO ensures that security resources are available for expenditure as
planned.

8.4. Plan of Action and Milestone Process (PM-4)

8.4.1. POA&Ms for the security program are developed and maintained by the
Information Security Office and Architecture and Policy team. POA&Ms
associated with organizational information systems that contain actions and
milestones necessary to meet compliance and security requirements are
developed and maintained by their respective agencies with support from
the Information Security Office (see Security Assessment and Authorization
Policy and Procedures (CA-1)). 9
8.4.1.1. The POA&Ms are developed and maintained to document actions,
priorities, objectives, tasks, resources, success criteria, and
responsibilities to adequately respond to risks to State of Maine
operations and assets, individuals, and other organizations.

9
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 Program Management Policy and Procedures (PM-1)

8.4.1.2. State agencies administering select Federal programs report

POA&Ms in accordance with the Federal Information Security
Modernization Act 10 reporting requirements; and
8.4.1.3. The CISO reviews and approves POA&Ms for consistency with the
Information Security Office risk management strategy and priorities
for risk response actions.
8.4.1.4. Updates to the POA&Ms are based on findings from security control
assessments, audits, and continuous monitoring activities.

8.5. Information System Inventory (PM-5)

8.5.1. OIT Enterprise Data Services maintains an inventory of information systems
(see Configuration Management Policy and Procedures (CM-8)). 11

8.6. Information Security Measures of Performance (PM-6)

8.6.1. The CISO develops, monitors, and reports on the results of information
security measures of performance through:
8.6.1.1. Dashboards provided by security tools used by the Information
Security Office and other Information Asset Owners;
8.6.1.2. Metric reporting of audits outlined in Security Assessment and
Authorization Policy and Procedures (CA-1); 12
8.6.1.3. Metrics provided by third party reports (e.g., Multi-State Information
Sharing and Analysis Center);
8.6.1.4. Self-assessment results as a part of the Nationwide Cybersecurity
Review (NCSR);
8.6.1.5. Comparative analysis results from surveys submitted by the
Information Security Office (e.g., Nationwide Cybersecurity Review,
Deloitte-NASCIO Cybersecurity Study Survey 2020) or OIT (e.g.,
Digital States Survey); and
8.6.1.6. Ad hoc reports as requested by the CISO of the Information Security
Office.

8.7. Enterprise Architecture (PM-7, related to PL-8)

8.7.1. OIT, in its General Architecture Principles, 13 outlines guidance to aid in
everyday decision-making that:
8.7.1.1. Describes the overall philosophy, requirements, and approach to be
taken with regards to protecting the confidentiality, integrity, and
availability of information;
8.7.1.1.1. One of the eight principles established is that “Security
and Privacy are foundational to everything else.” The
State implements security and privacy best practices at all

10
https://www.whitehouse.gov/wp-content/uploads/2019/11/M-20-04.pdf
11
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/configuration-management-policy.pdf
12
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-assessment-authorization-policy.pdf
13
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/general-architecture-principles_1.pdf

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 Program Management Policy and Procedures (PM-1)

levels of government to ensure the confidentiality,

integrity, and availability of its information assets.
8.7.1.2. Describes how the information security architecture is integrated
into and supports the enterprise architecture;
8.7.1.2.1. OIT describes security in the General Architecture
Principles as foundational. Additionally, security is core to
the mission of OIT.
8.7.1.3. Describes any information security assumptions about, and
dependencies on, external services.
8.7.1.3.1. Another principle is that “The State is a single, unified
enterprise.” This principle is used to maximize resources
and as a basis for effective disaster recovery.
8.7.1.3.2. The principle to “First reuse; then buy; then build”,
“Centralize Authentication; Federate Authorization”, and
“Be Cloud Smart” describe interdependency
considerations. The principle of “Choose new products
carefully” states that one of the top product selection
criteria is cybersecurity, privacy, and accessibility.

8.7.2. Information security architecture is designed using a defense-in-depth

approach which strategically allocates safeguards that operate in a
coordinated and mutually reinforcing manner so that adversaries have to
overcome multiple safeguards to achieve their objective.
8.7.2.1. Security architecture for information systems is consistent with the
enterprise information security plans, policies, and procedures
found here 14 with select security control families on the intranet.
These documents establish the minimum benchmark and
implements controls to protect State information assets from
unauthorized use, disclosure, modification, and destruction, and to
ensure the confidentiality, integrity, and availability of information
assets.
8.7.2.2. OIT adopts a NIST security control framework, with which the
security architecture of information systems is compliant.
8.7.2.1. Other policies, including but not limited to the Network Device
Management Policy, 15 the Remote Hosting Policy, 16 the User Device
and Commodity Application Policy, 17 the OIT Application
Deployment Certification Policy, 18 the OIT Infrastructure
Deployment Certification Policy, 19 and the Mobile Device Policy, 20
ensure the security of State information assets. All public OIT
14
https://www.maine.gov/oit/policies-standards
15
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/network-device-management-policy.pdf
16
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/remote-hosting-policy.pdf
17
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/user-device-commodity-app-policy.pdf
18
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/application-deployment-certification_0.pdf
19
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/infrastructure-deployment-certification.pdf
20
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/mobile-device-policy.pdf

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 Program Management Policy and Procedures (PM-1)

policies can be found at https://www.maine.gov/oit/policies-

standards/.
8.7.2.2. Any information system which is not compliant with OIT policies
must go through a rigorous waiver process, which is managed by the
Architecture and Policy Team and the Information Security Office
and includes other relevant subject matter experts, in order to
ensure the presence of compensating controls and confirm that that
information system as well as all State of Maine information assets
are secure and protected. See the Waiver Policy 21 for more
information.

8.7.3. The Architecture and Policy Team, in collaboration with the Information
Security Office, the OIT Compliance Officer, IT Procurement, and other
relevant parties, coordinates a review of and vets all proposed new
technologies and technology solutions presented by OIT or Agency Business
Partners to ensure that new products and technologies align with the State of
Maine’s overall security architecture.

8.7.4. IT Procurement, in collaboration with the Architecture and Policy Team, the
Information Security Office, the OIT Compliance Officer, and other relevant
parties, vets all technology related procurement contracts – both new and
renewed – through contract review to ensure that contracts align with the
State of Maine’s overall security architecture.

8.7.5. Information security architecture is updated as needed to reflect changes in

enterprise architecture.

8.7.6. Acquisition-related documents and security plans are updated as needed to

reflect changes in information security architecture.

8.8. Critical Infrastructure Plan (PM-8)

8.8.1. Homeland Security Presidential Directive 7 22 establishes a national policy for
Federal departments and agencies to identify and prioritize critical
infrastructure and to protect them from terrorist attacks. The Maine
Emergency Management Agency (MEMA) is the lead agency to coordinate
State of Maine efforts in support of the Critical Infrastructure Protection
Program. 23

8.8.2. The Maine Information Analysis Center (MIAC) 24 also plays a role in critical
infrastructure planning. A program of the Maine Department of Public Safety,
the MIAC is Maine's designated fusion center (see Definitions). The MIAC's

21
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/waiver.pdf
22
https://www.cisa.gov/homeland-security-presidential-directive-7
23
https://www.maine.gov/mema/homeland-security/critical-infrastructure-protection
24
https://www.maine.gov/dps/msp/specialty-units/MIAC

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 Program Management Policy and Procedures (PM-1)

mission is to collect, analyze, and appropriately share intelligence between

the Federal government and the State of Maine.

8.8.3. The CISO supports the protection of Critical Infrastructure Planning by:
8.8.3.1. Supporting MEMA planning efforts (e.g., Comprehensive Emergency
Management Plan);
8.8.3.2. Maintaining a formalized relationship with the MIAC (i.e.,
Memorandum of Understanding) to increase collaboration,
information sharing, and support for Federal, State, and county
stakeholders; and
8.8.3.3. Performing its day-to-day information security mission to include
the development contingency plans related to improving business
resiliency.

8.9. Risk Management Strategy (PM-9)

8.9.1. For OIT-hosted information assets:
8.9.1.1. OIT works with agencies to classify data based on risk, so that data
may be used and protected appropriately. OIT has adopted the
Traffic Light Protocol (see Definitions) described in the Data
Exchange Policy 25 for this purpose.
8.9.1.2. As part of the risk management strategy, risk is managed
throughout the system development lifecycle in accordance with the
following policies:
8.9.1.2.1. OIT Application Deployment Certification Policy 26
8.9.1.2.2. OIT Application Deployment Certification Handbook 27
8.9.1.2.3. OIT Infrastructure Deployment Certification Policy 28
8.9.1.2.4. OIT Software Development Lifecycle Procedure 29
8.9.1.2.5. OIT Software Development Lifecycle Policy 30
8.9.1.3. OIT manages risk to information assets by proactively scanning and
addressing discovered vulnerabilities in a timely fashion, in
accordance with the Vulnerability Scanning Procedure (RA-5). 31
8.9.1.4. Risk assessment is carried out in accordance with the OIT Risk
Assessment Policy and Procedure (RA-1). 32
8.9.1.5. Based on the data that resides on OIT systems, and the regulatory
regime they are subjected to, risk levels are routinely audited by
external partners (usually Federal regulatory agencies) (see OIT

25
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/data-exchange-policy.pdf
26
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/application-deployment-certification_0.pdf
27
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/application-deployment-certification-
guidelines_1.pdf
28
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/infrastructure-deployment-certification.pdf
29
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/sdlc-procedure.pdf
30
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/sdlc-policy.pdf
31
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/vulnerablity-scanning-procedure.pdf
32
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/risk-assessment-policy-procedure.pdf

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 Program Management Policy and Procedures (PM-1)

Security Assessment and Authorization Policy and Procedures (CA-

1)). 33
8.9.1.6. OIT also hires third party vendors to conduct independent risk
assessments. These vendors are required to produce reports
including the likelihood and magnitude of harm, from the
unauthorized access, use, disclosure, disruption, modification, or
destruction of the in-scope information system, and the information
it processes, stores, or transmits. These reports are maintained by
the OIT Information Security Office. OIT shares risk assessment
results to affected stakeholders on a need-to-know basis.
8.9.1.7. OIT reviews and updates the risk management strategy and all
applicable risk management policies on an annual basis or as
required to address organizational changes.

8.9.2. For remote-hosted information assets, the Hosting Partner is responsible for
risk management, with oversight from OIT Application Development Teams
in collaboration with IT Procurement and Agency Business Partners, in
accordance with the Remote Hosting Policy. 34

8.10. Security Authorization Process (PM-10)

8.10.1. The CIO is the senior-level executive, head of OIT, who serves as the
authorizing official for applications and computer infrastructure for State of
Maine agencies. The CIO and the CISO delegate as they see fit to other
participants of the Information Security Office.

8.10.2. OIT works with agencies to complete security assessments to fulfill Federal
regulatory requirements or as otherwise required in accordance with the
Security Assessment and Authorization Policy and Procedures (CA-1). 35

8.10.3. Security authorization (see Definitions) occurs as part of deployment

certification and as part of change management (see Change Management
Policy and Procedures). 36
8.10.3.1. OIT manages, documents, tracks, and reports on the security state of
information systems and the environments in which those systems
operate through security authorization processes.

8.10.4. Prior to deployment, infrastructure, systems, and applications are subject to

the following policies and procedures:
8.10.4.1. OIT Application Deployment Certification Policy 37

33
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-assessment-authorization-policy.pdf
34
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/remote-hosting-policy.pdf
35
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-assessment-authorization-policy.pdf
36
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/change-management-policy.pdf
37
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/application-deployment-certification_0.pdf

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 Program Management Policy and Procedures (PM-1)

8.10.4.2. OIT Application Deployment Certification Handbook 38

8.10.4.3. OIT Infrastructure Deployment Certification Policy 39
8.10.4.4. OIT Software Development Lifecycle Procedure 40
8.10.4.5. OIT Software Development Lifecycle Policy 41

8.10.5. Routine scans of information assets are carried out in accordance with the
Vulnerability Scanning Procedure (RA-5). 42

8.10.6. Continuous monitoring of information assets is carried out in accordance

with the Security Assessment and Authorization Policy and Procedures (CA-
1). 43

8.10.7. Results of security assessments as well as deployment certification tests,

Software Development Lifecycle tests, and routine scans are documented in
Footprints or Jira.

8.10.8. The security assessment and authorization process is part of the

organizational risk management program.

8.11. Mission/Business Process Definition (PM-11)

8.11.1. As defined by statute, the mission of the Office of Information Technology
includes providing high-quality, responsive, cost-effective information
technology services to the agencies, instrumentalities, and political
subdivisions of State Government. Additionally, the CIO is responsible for
setting security standards for the use of information and telecommunications
technologies, and the CIO and OIT are responsible for the protection of data
files (Title 5, Chapter 163: Office of Information Technology ). 44 Therefore,
OIT has established the Information Security Office and made security
foundational to everything else to protect State and citizen data (see General
Architecture Principles). 45

8.11.2. Additionally, OIT is subject to Federal audits, and part of OIT’s business
process is to meet these Federal audit requirements, which also ensures
strong security and privacy for State and citizen data.

38
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/application-deployment-certification-
guidelines_1.pdf
39
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/infrastructure-deployment-certification.pdf
40
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/sdlc-procedure.pdf
41
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/sdlc-policy.pdf
42
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/vulnerablity-scanning-procedure.pdf
43
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-assessment-authorization-policy.pdf
44
https://legislature.maine.gov/statutes/5/title5ch163sec0.html
45
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/general-architecture-principles_1.pdf

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 Program Management Policy and Procedures (PM-1)

8.11.3. The Information Security Office works with agencies and subject matter
experts to implement appropriate measures for information protection (see
OIT Risk Assessment Policy and Procedure (RA-1). 46

8.12. Insider Threat Program (PM-12)

8.12.1. The insider threat (see Definitions) program includes:
8.12.1.1. Conducting select background checks for personnel for review by
the Bureau of Human Resources.
8.12.1.2. Administering required insider threat security awareness training
as part of initial training for new users, when required by
information system changes, and at least annually, in accordance
with the Security Awareness Training Policy (AT-1). 47
8.12.1.3. Implementing security controls to prevent malicious insider user
activity, including:
8.12.1.3.1. Employing the principle of least privilege (see Access
Control Procedures for Users); 48
8.12.1.3.2. Generating audit records, reviewing audit records for
indications of malicious insider activity, employing non-
repudiation mechanisms, and monitoring for evidence
of unauthorized disclosure of State information (see
Audit and Accountability Policy and Procedures, coming
soon);
8.12.1.3.3. Employing continuous monitoring for information
systems (see Security Assessment and Authorization
Policy and Procedures (CA-5)); 49
8.12.1.3.4. Managing information system identifiers (see
Identification and Authentication Policy and Procedures
(IA-1), 50 intranet only);
8.12.1.3.5. Prohibiting the use of personally owned, non-State
controlled media and devices with State information
assets (see Rules of Behavior); 51
8.12.1.3.6. Issuing physical access authorization only to authorized
individuals (see Physical and Environmental Security
Policy and Procedures, upon publication);
8.12.1.3.7. Revoking authenticators/credentials, disabling
information system access, and retrieving security-
related information system-related property for
terminated personnel, and, as needed, transferred

46
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/risk-assessment-policy-procedure.pdf
47
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-awareness-training-policy.pdf
48
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/access-control-procedures-for-users.pdf
49
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-assessment-authorization-policy.pdf
50
http://inet.state.me.us/oit/policies/documents/IdentificationAuthenticationPolicy.pdf
51
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/RulesofBehavior.pdf

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 Program Management Policy and Procedures (PM-1)

personnel (see Personnel Security Policy and

Procedures, coming soon);
8.12.1.3.8. Implementing boundary protection and operations
security; and
8.12.1.3.9. Monitoring information systems to detect unauthorized
use and connections (see System and Information
Integrity Policy and Procedures (SI-1)). 52
8.12.1.4.Conducting threat response and mitigation including insider threats,
detailed in the Cyber Incident Response Plan (IR-8) 53 (intranet only)
and the Cyber Incident Response Policy and Procedures (IR-1) 54
(intranet only).

8.13. Information Security Workforce (PM-13)

8.13.1. The OIT information security workforce operates under the direction and
supervision of the CISO.

8.13.2. The knowledge and skill levels to perform information security duties and
tasks are outlined in the job description and requirements of positions with
information security duties and tasks.

8.13.3. Individual development plans for personnel with information security duties
and tasks are developed in collaboration between the employee and manager
during the annual performance review process. These also ensure that
personnel obtain and maintain certification and training on an ongoing basis.

8.13.4. The annual performance review process ensures information security

workforce personnel obtain and continue to meet individual qualification
standards for their assigned information security roles.

8.13.5. OIT offers a training stipend for certain job classifications, tuition
reimbursement for relevant courses, certificates, degree programs, and
employee access to online learning platforms in order to encourage growth
and develop a strong information security workforce.

8.13.6. As risks, threats, and the organization itself changes, workforce knowledge
and skills are re-evaluated and remediated using the above-mentioned
employee development tools.

8.13.7. Security awareness training is required for all employees at least annually
(see Security Awareness Training Policy (AT-1)). 55 Role-based security
awareness training is administered within OIT in accordance with

52
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/system-information-integrity-policy.pdf
53
http://inet.state.me.us/oit/policies/documents/IncidentResponsePlan.pdf
54
http://inet.state.me.us/oit/policies/documents/IncidentResponsePolicy.pdf
55
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-awareness-training-policy.pdf

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 Program Management Policy and Procedures (PM-1)

Contingency Plan Training, Testing, and Exercise Procedures (intranet

only). 56

8.14. Testing, Training, and Monitoring (PM-14)

8.14.1. The procedures for security testing are detailed in Security Assessment and
Authorization Policy and Procedures (CA-1); 57
8.14.1.1. This policy is reviewed and updated as required, and at least
annually, to reflect an evolving information security environment
and to ensure consistency with the organizational risk management
strategy and priorities for risk response actions.
8.14.1.2. The Information Security Office, in collaboration with Agency
Business Partners and other units within OIT, ensures that testing
procedures are executed in a timely manner.
8.14.1.3. Information assets undergo routine scans.

8.14.2. The procedures for testing contingency plans and incident response plans
are detailed in Contingency Plan Training, Testing, and Exercise Procedures
(intranet only). 58
8.14.2.1. This policy is reviewed and updated as required, and at least
annually, to reflect an evolving information security environment
and to ensure consistency with the organizational risk management
strategy and priorities for risk response actions.
8.14.2.2.The Information Security Office ensures that testing procedures are
executed in a timely manner.
8.14.2.2.1. Exercises to test security incident response capabilities
are conducted periodically, and at least annually.

8.14.3. The procedures for security training are detailed in the Security Awareness
Training Policy (AT-1). 59 The plan for contingency plan training is detailed in
Contingency Plan Training, Testing, and Exercise Procedures (intranet
only). 60
8.14.3.1. These policies are reviewed and updated as required, and at least
annually, to reflect an evolving information security environment
and to ensure consistency with the organizational risk management
strategy and priorities for risk response actions.
8.14.3.2. The Information Security Office and Agency Business Partners share
the responsibility for ensuring training plans are executed in a
timely manner.

56
http://inet.state.me.us/oit/policies/documents/TrainingTestingExercises.pdf
57
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-assessment-authorization-policy.pdf
58
http://inet.state.me.us/oit/policies/documents/TrainingTestingExercises.pdf
59
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-awareness-training-policy.pdf
60
http://inet.state.me.us/oit/policies/documents/TrainingTestingExercises.pdf

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 Program Management Policy and Procedures (PM-1)

8.14.4. The procedures for information system monitoring are detailed in System
and Information Integrity Policy and Procedures (SI-1). 61 The plan for
continuous monitoring is detailed in Security Assessment and Authorization
Policy and Procedures (CA-1); 62
8.14.4.1. These policies are reviewed and updated as required, and at least
annually, to reflect an evolving information security environment
and to ensure consistency with the organizational risk management
strategy and priorities for risk response actions.
8.14.4.2. The Information Security Office is responsible for ensuring these
monitoring procedures are executed in a timely manner.

8.15. Contacts with Security Groups and Associations (PM-15)

8.15.1. The Office of Information Technology has established institutional contacts
with Federal, State, and private companies within the security community.
These entities OIT contacts routinely are the same entities OIT contacts as a
part of cyber incident response procedures detailed in the Cyber Incident
Response Plan (IR-8) 63 (intranet only).

8.15.2. Conferences, research, publications, and information exchanges provided by

institutional contacts facilitates ongoing security education and training for
Information Security Office personnel.

8.16. Threat Awareness Program (PM-16)

8.16.1. The Office of Information Technology’s threat awareness program includes
cross-organizational information sharing with organizations as described in
8.15.1.

8.16.2. Information shared with the Information Security Office is further shared
with the impacted Information Asset Owners and Agency Business Partners
for action as required.

8.16.3. Annual security awareness training as part of initial training for new users,
when required by information system changes, and at least annually is
another component of the Threat Awareness Program.

8.16.4. The Information Security Office routinely conducts phishing exercises to

maintain employee vigilance on threats.

8.16.5. The Information Security Office provides additional threat awareness

training to Agency Business Partners through its support of National Cyber
Security Awareness Month in October and as required.

61
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/system-information-integrity-policy.pdf
62
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/security-assessment-authorization-policy.pdf
63
http://inet.state.me.us/oit/policies/documents/IncidentResponsePlan.pdf

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 Program Management Policy and Procedures (PM-1)

9.0. Document Details

9.1. Initial Issue Date: June 30, 2021
9.2. Latest Revision Date: January 28, 2022
9.3. Point of Contact: [email protected]
9.4. Approved by Chief Information Officer, OIT
9.5. Legal Citation Title 5, Chapter 163: Office of Information Technology 64
9.6. Waiver Process: Waiver Policy 65
9.7. Distribution: Internet 66

10.0. Review
This document will be reviewed annually, and when substantive changes are made
to Policies, Procedures, or other authoritative regulations affecting this document.

11.0. Records Management

Office of Information Technology security policies, plans, and procedures fall under
the Routine Administrative Policies and Procedures and Internal Control Policies and
Directives records management categories. They will be retained for three years,
and then destroyed in accordance with guidance provided by Maine State Archives.
Retention of these documents will be subject to any future State Archives General
Schedule revisions that cover these categories.

12.0. Public Records Exceptions

Under the Maine Freedom of Access Act, certain public records exceptions may limit
disclosure of agency records related to information technology infrastructure and
systems, as well as security plans, procedures or risk assessments. Information
contained in these records may be disclosed to the Legislature, or, in the case of a
political or administrative subdivision, to municipal officials or board members
under conditions that protect the information from further disclosure. Any
aggrieved person seeking relief for an alleged violation of the FOAA may bring suit
in any Superior Court in the state.

13.0. Definitions
13.1. Information System: Used interchangeably with information asset. A discrete,
identifiable piece of information technology, including hardware, software,
firmware, systems, services, and related technology assets used to execute work on
behalf of OIT or another State agency.

13.2. Insider Threat: The potential for individuals (e.g., employees, contractors, former
employees) to use insider knowledge of sensitive agency information (e.g., security
practices, systems that hold sensitive data) to perform malicious actions, including

64
https://legislature.maine.gov/statutes/5/title5ch163sec0.html
65
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/waiver.pdf
66
https://www.maine.gov/oit/policies-standards

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 Program Management Policy and Procedures (PM-1)

unauthorized access or disclosure of Personally Identifiable Information (PII) (see

Definitions) or other sensitive information.

13.3. Fusion Center: Fusion Centers are state-owned and operated centers that serve as
focal points in states and major urban areas for the receipt, analysis, gathering and
sharing of threat-related information between State, Local, Tribal and Territorial,
Federal and private sector partners.
Source: the Department of Homeland Security. 67

13.4. Personally Identifiable Information (PII): Information that can be used to

distinguish or trace the identity of an individual (for example, name, social security
number, biometric records, and so on) alone, or when combined with other personal
or identifying information that is linked or linkable to a specific individual (such as
date and place of birth, mother’s maiden name, and so on). It also includes personal
information protected from disclosure under Federal or State privacy laws. 68

13.5. Security Authorization: The official management decision given by a senior official
to authorize operation of a system or the common controls inherited by designated
organization systems and to explicitly accept the risk to organizational operations
(including mission, functions, image, and reputation), organizational assets,
individuals, other organizations, and the Nation based on the implementation of an
agreed-upon set of security and privacy controls. Also known as authorization to
operate.

13.6. Traffic Light Protocol (TLP): The Cybersecurity and Infrastructure Security Agency
(CISA) Traffic Light Protocol (TLP) used by OIT for the classification of PII impact
level. OIT’s four data, communication, or network classification levels are Public
(TLP: White), Internal (TLP: Green), Sensitive (TLP: Amber), and Restricted (TLP:
Red) (See Data Exchange Policy). 69

14.0. Abbreviations
14.1. CIO: Chief Information Officer
14.2. CISO: Chief Information Security Officer
14.3. FISMA: The Federal Information Security Management Act. 70
14.4. MEMA: Maine Emergency Management Agency
14.5. MIAC: Maine Information Analysis Center
14.6. NCSR: Nationwide Cybersecurity Review
14.7. NIST: National Institute of Standards and Technology
14.8. OIT: Office of Information Technology
14.9. PII: Personally Identifiable Information
14.10. POA&M: Plan of Actions and Milestones

67
https://www.dhs.gov/fusion-centers
68
https://csrc.nist.gov/glossary/term/personally_identifiable_information
69
https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/risk-assessment-policy-procedure.pdf
70
https://www.congress.gov/bill/113th-congress/senate-bill/2521

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 Program Management Policy and Procedures (PM-1)

14.11. TLP: Traffic Light Protocol

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