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<article xmlns:xlink="http://www.w3.org/1999/xlink">
  <front>
    <journal-meta />
    <article-meta>
      <article-id pub-id-type="doi">10.11591/ijeecs.v32.i2.pp1022-1030</article-id>
      <title-group>
        <article-title>Assessing the level of security of enterprise information systems</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Viktoriia Hrechko</string-name>
          <xref ref-type="aff" rid="aff2">2</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Tetiana Babenko</string-name>
          <email>babenko.tetiana.v@gmail.com</email>
          <xref ref-type="aff" rid="aff1">1</xref>
          <xref ref-type="aff" rid="aff2">2</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Hryhorii Hnatiienko</string-name>
          <xref ref-type="aff" rid="aff2">2</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Larysa Myrutenko</string-name>
          <email>myrutenko.lara@gmail.com</email>
          <xref ref-type="aff" rid="aff2">2</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Andrii Bigdan</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff2">2</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Blekinge Tekniska Högskola</institution>
          ,
          <addr-line>371 79 Karlskrona</addr-line>
          ,
          <country country="SE">Sweden</country>
        </aff>
        <aff id="aff1">
          <label>1</label>
          <institution>International Information Technology University</institution>
          ,
          <addr-line>34/1 Manas St., Almaty, 050000</addr-line>
          ,
          <country country="KZ">Kazakhstan</country>
        </aff>
        <aff id="aff2">
          <label>2</label>
          <institution>Taras Shevchenko National University of Kyiv</institution>
          ,
          <addr-line>64/13 Volodymyrska Street, Kyiv, 01601</addr-line>
          ,
          <country country="UA">Ukraine</country>
        </aff>
      </contrib-group>
      <pub-date>
        <year>2013</year>
      </pub-date>
      <volume>32</volume>
      <issue>2</issue>
      <fpage>3</fpage>
      <lpage>9</lpage>
      <abstract>
        <p>This study presents the development and implementation of an intelligent model for assessing the level of maturity of information security processes for enterprise management systems and justifies the universality for organizations of various types. The objective of the developed model is to comprehensively support information security specialists and auditors in assessing the levels of maturity of information security processes of management systems. The model was developed using a feedforward neural network based on the ISO 27000 / NIST 800 family of standards security controls. The model allows an accuracy of 96-99% to assess the level of maturity of information security processes in the enterprise. The methodology described in the document can be extended to enterprises with different functions and different forms of ownership. The possibility of assessing the level of security (implementation of controls) based on assessing the maturity of information security processes is investigated. The article evaluates and justifies the universality of the proposed solutions based on the maturity assessment of information security processes built based on 800 standards. The developed model can be used as part of a decision support system to help specialists identify the strengths and weaknesses of existing information security management processes, choose risk treatment approaches to ensure business continuity in a hostile cyber environment, improve the information security management system, which will affect the use of enterprise resources.</p>
      </abstract>
      <kwd-group>
        <kwd>information security</kwd>
        <kwd>security assessment</kwd>
        <kwd>maturity model</kwd>
        <kwd>neural network</kwd>
        <kwd>risk management</kwd>
        <kwd>decision support system</kwd>
        <kwd>information security management system</kwd>
        <kwd>countermeasures</kwd>
        <kwd>assessing the security of information systems</kwd>
        <kwd>network security</kwd>
      </kwd-group>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>1. Introduction</title>
      <p>
        The activity of any enterprise is aimed primarily at meeting the needs of stakeholders. Main business
processes are focused on achieving this goal. Therefore, the management of the enterprise is
interested in that the processes within the organization were under control, and functioned as
intended, and the number of threats and errors was minimal. Otherwise, successful threat execution
can lead to data leaks, damage, or unauthorized modification of the information that causes financial
and reputational losses. By threats, we mean a potential threat to information or a system [
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]. The
Myrutenko)
Various types of countermeasures have their own goals. Some of them intend to restrict physical
access. They include password access systems, retinal or fingerprint scans, and security guards [
        <xref ref-type="bibr" rid="ref3">3</xref>
        ]:
 password access systems;
 scanning of the retina or fingerprints;
 security, etc.
      </p>
      <p>Others set to block access and/or maintain data confidentiality across the organization networks:



firewalls;
means of data encryption;
antiviruses and spyware scanners.</p>
      <p>
        In addition, some countermeasures have been developed to quickly restore in the event of a
successful intrusion, such as backup. To improve the efficiency of operational and strategic
management of the development of information systems, a specialized analytical apparatus is needed
for making managerial decisions [
        <xref ref-type="bibr" rid="ref4">4</xref>
        ]. A feature of the subject area of this problem is the complexity of
its formalization, the presence of uncertainties associated with the incompleteness of data, the
periodicity, and seasonality of the processes under study, the presence of a significant number of
interconnected, not only quantitative but also qualitative indicators that characterize them [
        <xref ref-type="bibr" rid="ref5">5</xref>
        ]. A
maturity model is a tool for assessing the effectiveness of implementing business processes in an
organization and allows management to effectively track progress [
        <xref ref-type="bibr" rid="ref6">6</xref>
        ], and determine their strengths
and weaknesses. Typically, an information security maturity model describes a set of characteristics
that include the following features [
        <xref ref-type="bibr" rid="ref6">6</xref>
        ]:



effective leadership and management,
information security risk management processes,
used a set of technologies.
      </p>
      <p>Thus, to provide information resources, it is also necessary to develop information security
management systems (ISMS). Since the objects of management are rather complex organizational
and technical structures that operate under conditions of uncertainty, for the effective management
of such systems, it is advisable to use information decision support systems (DSS) based on intelligent
information technologies.</p>
      <p>The object of the study is the process of classifying the level of security maturity of information
systems using a model synthesized based on neural networks using the backpropagation learning
method.</p>
      <p>The study aims to develop a model for classifying security process maturity levels and to present a
software tool for conducting the audit process.</p>
      <p>As part of this study, the following steps are to be carried out:
1.
2.
3.
4.
5.</p>
      <p>The accumulation of input data is a collection of elements that describe the characteristics of
the available security-related processes.</p>
      <p>We are obtaining and processing data to perform simulations.</p>
      <p>Synthesis of a neural network.</p>
      <p>Neural network training.</p>
      <p>Assessment of the adequacy of the synthesized model.</p>
    </sec>
    <sec id="sec-2">
      <title>2. Literature review</title>
      <p>
        An overview of the maturity models of information security management processes or processes in
various areas [
        <xref ref-type="bibr" rid="ref7">7</xref>
        ]. A review article by Portuguese authors D. Proença, J. Borbinh [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ] collected and
analyzed the current practice of maturity models.
      </p>
      <p>
        A study by Faith-Michael E. Uzoka [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ] shows that 77% of organizations (using the example of
Botswana) spend heavily on the development of their IT services, but some of them remain at a low
level according to the CMM. The staged CMM structure that was used in this study is based on the
principles of product quality supported by Schuart and Deming (1939). Organizations find this model
costly and prefer to invest in other businesses. Despite not using the CMM, many organizations have
reached a high level of maturity. A significant 49.4% of organizations have reached maturity level 5,
and 7.4% are at maturity level 4. The results show that a total of 56.8% of organizations are at higher
maturity levels. Reasons for low maturity include [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ]:





low level of training and qualification of employees,
poor working conditions and incentives for employees,
poor documentation of software and architecture requirements, integration of software
components,
low use of appropriate technology,
low management culture, etc.
      </p>
      <p>An article by Chinese researchers Wei Han, Xiu-Yan Sun et al. [10] explores methods for using
data in the field of network security. The authors have classified semantic relationships between
network security resource classes, subclasses, and different data types. As a result, better network
data security was created due to a single standard for the transmission of an information resource,
and a data exchange platform was developed that applies the above metadata standards.</p>
      <p>A joint article by Chinese and American researchers Wangshu Li, Wenhao Yan, et al. [11]
considers the mathematical apparatus used to protect the information in information systems. In
particular, a discrete method for a continuous chaotic system is introduced and the Euler stability
principle for a discrete system is obtained. The authors have developed three methods for realizing
the synchronization of a discrete chaotic system.</p>
      <p>The ISO/IEC 27001 standard aims to create an information security management system in a
company [12]. For example, in the ISO 27001:2013 standard, there are requirements for the existence
of a risk analysis procedure in an organization. The question always arises: how to meet these
requirements, to what extent, and at what level of detail for companies of different sizes. Very often
information security managers pay attention to the size of the organization and rarely to the level of
its organizational and technological development.</p>
      <p>The answer to this question will help to give a maturity model based on an assessment of the level
of maturity of the information security processes of enterprises [13].</p>
      <p>
        The process of collecting data from different sources, and pre-processing for use in an analytical
model, is described in [
        <xref ref-type="bibr" rid="ref5">5,14,15</xref>
        ]. At the end of this process, a numerical dataset is obtained, which will
become the basis for training, testing, and evaluating the model. The data collection process for
assessing the maturity of an information system and a questionnaire prepared to take into account 11
areas of the ISO/IEC 27001 standard are given in the work of V. Hrechko, T. Babenko, and H.
Hnatiienko [16]. However, there are no open datasets for assessing the maturity of information
systems. The reason for this is the confidentiality and ethics of corporate data.
      </p>
    </sec>
    <sec id="sec-3">
      <title>3. Materials and methods</title>
      <sec id="sec-3-1">
        <title>3.1. The structure of the information security maturity assessment model for enterprise management systems</title>
        <p>The maturity model can be considered as a structured set of elements detailing the features of
effective ISMS processes, then the number of nodes at the input level is equal to the number of
ISO/IEC 27002:2013 controls, and the input data for each node is the calculated value for specific
security control, respectively [14].</p>
        <p>Thus, the input vector can be defined as in (1):</p>
        <p>X T =[ x1 x2 · · · xn] , xi∈ I ={0 , . . . , 5 },
(1)
where x1 , x2 , · · · , xn denote the score for ith security control and n is the number of nodes in the
input layer.</p>
        <p>The output layer of the model consists of 6 nodes representing the level of maturity of information
security management processes, as described earlier [14]. The number of neurons in the hidden layer
is determined according to best practices since the arithmetic means between the number of nodes in
the input and output layers is 60.</p>
      </sec>
      <sec id="sec-3-2">
        <title>3.2. Using maturity models in assessing the security level of information systems</title>
        <p>To determine the stage of organizational and technological development of the organization the
concept of the maturity model was created [16]. There are many maturity models across different
fields, including cybersecurity. Global practice shows that often those models are developed by
government agencies for specified tasks to achieve national or international standard status. The
Cybersecurity Capability Maturity Model enables organizations to evaluate the current level of
capability of their practices, processes, and methods and prioritize actions and investments to
improve cybersecurity [17]. The base of the Capability Maturity Model is a process-oriented
approach. One of the first models of this type was the Maturity Model designed by the Software
Engineering Institute (SEI) in the mid-1980th. An overview of information system maturity models,
including their origin, is given in [18].</p>
        <p>Information security capability maturity models are broadly classified as follows:


</p>
        <p>Fields: how are general concepts of organizational processes connected?
Goals and measures: goals mean the desired values of indicators that should be acquired in
each of the model areas, and indicators help visualize progress toward achieving goals.
Maturity levels: it is the result of assessing the implementation of goals and measuring
indicators in the areas of the organization.</p>
        <p>The value of maturity ranges from the initial level, when the organization may have just begun to
consider cybersecurity, to a dynamic comparison, when the organization can adapt quickly to
changes in cybersecurity on threats, vulnerabilities, risks, economic strategy, or change needs.</p>
        <p>The value of maturity ranges from entry-level, when an organization may have just begun to
think about information security, to dynamic comparison, when an organization can quickly adapt to
changes in information security in terms of threats, vulnerabilities, risks, economic strategy, or
changing needs. As a result of a literature review on the topic, the most popular (based on the citation
index of publications on this topic according to the Scopus scientometric database) maturity models
were identified: SSE-CMM (System Security Maturity Model – Capability Maturity Model) [19,20],
C2M2 (Cybersecurity Capabilities Maturity Model) [17,20], CCSMM (Community Cyber Security
Maturity Model) [17,21], and NICE (National Initiative for Cyber Security Education – Capability
Maturity Model) [21]. A comparative analysis of maturity models in the field of information security
is given in Table 1.
Defining roles and responsibilities</p>
        <p>There are significant similarities between information security capability maturity models. The
main difference lies in the area they target and the level of best practices that should be applied. C2M2
is the only mature, cybersecurity-centric information security capability model that is updated and
focused on the entire organization. All information security capability maturity models are based on
information security risk management, but only SSE-CMM and C2M2 measure risk management in a
more specific way.</p>
        <p>
          Other information security capability maturity models include ISM3 [
          <xref ref-type="bibr" rid="ref5">5,22</xref>
          ] and COBIT [22,23]
(Table 2). ISM3 is a model that manages information security metrics that help an organization
maintain an acceptable level of risk, even if tailored to specific needs. The model focuses on
information security rather than cybersecurity. The last three versions of COBIT (since 2005) focus
on IT leadership and governance. Similarly, models not used in the studies or not mentioned were
included.
        </p>
        <p>A new maturity model should be developed if no existing model can solve the identified problem.
The developed maturity model of ISMS presented in Table 3 adopts the established structural
elements, scopes, and functions of the best practices found in ISO/IEC 27001. An iterative process (in
general, two iterations) was established for the evolvement of the specified maturity model, the
design process of the model is shown below.</p>
        <p>In the first iteration, the characteristics and structure of the maturity model were determined. Five
levels of maturity have been proposed: initial, managed, defined, quantitatively managed, and
optimized. The first iteration focused on only the planning phase of the ISO/IEC 27001 ISMS process.
2
2
2
4
3
3
3
4
2
2
2
4
4
4
3
4
2
4
2.6
2.8
3.5
3.0</p>
        <p>Level 2:
Implementing</p>
        <sec id="sec-3-2-1">
          <title>Level 3: Monitoring</title>
        </sec>
        <sec id="sec-3-2-2">
          <title>Level 4:</title>
          <p>Improving</p>
        </sec>
        <sec id="sec-3-2-3">
          <title>Drawing up a risk treatment plan</title>
          <p>Implementation of a risk treatment plan</p>
          <p>Implementation of selected control.</p>
          <p>Defining measures of the implemented controls’ effectiveness
Implementation of training and awareness programs</p>
          <p>Management of ISMS operation</p>
          <p>Management of ISMS resources
Implementation of procedures and other controls to promptly identify
security events and respond to security incidents</p>
        </sec>
        <sec id="sec-3-2-4">
          <title>Monitoring and reviewing procedures and other controls Conduction of regular reviews of ISMS effectiveness Measuring the effectiveness of controls Reviewing the risk assessment</title>
          <p>Reviewing the residual risks
Reviewing the identified acceptable risk levels
Conduction of regular internal audits</p>
          <p>Reviewing ISMS</p>
          <p>Updating security plans</p>
          <p>Logging actions and events</p>
        </sec>
        <sec id="sec-3-2-5">
          <title>Implementation of defined improvements in ISMS Taking appropriate remedial and preventive actions Informing all interested parties about actions and improvements in ISMS</title>
          <p>Ensuring that improvements achieve their intended objectives
For each criterion of the maturity model, it was simulated how this criterion manifested itself at
different levels of maturity.</p>
          <p>In the second iteration, the definition of maturity levels was completely revised, proposing five
new levels of maturity: initial, planning, implementing, monitoring, and improving. These maturity
levels are based on the PDCA (Plan/Do/Check/Act) cycle used in ISO/IEC 27001. Table 3 describes the
controls on which the proposed maturity model is based. It makes it easier for users familiar with
ISO/IEC 27001 to understand this maturity model and trace the relationship between what is required
in each assessment criterion and the requirements specified in ISO/IEC 27001.</p>
          <p>Model tuning is usually superimposed on the model training phase. Some parameters determine
how the model performs at a high level (learning function or modality) and cannot be learned from
the input. These hyperparameters must be tuned manually, but sometimes they can be tuned
automatically by searching the model parameter space – hyperparametric optimization [24]. It is
often performed using classical optimization methods: grid search, random search, and Bayesian
optimization. The following hyperparameters were used to train the model: a learning rate of 0.3, a
weight update rate of 0.2, and a training time of 50. The training data set consists of 10,800 maturity
assessment examples, randomized responses to an existing questionnaire, and no human
participants. The learning rate is the step size at each iteration that determines how quickly the
model adapts to the problem. Momentum is the rate at which the weight is updated. And the training
time is the number of epochs that need to be passed through the models [24].</p>
        </sec>
      </sec>
      <sec id="sec-3-3">
        <title>3.3 Development of a model for assessing the security of information systems</title>
      </sec>
      <sec id="sec-3-4">
        <title>3.3.1. Defining the base paradigm of the valuation model</title>
        <p>Methods and systems using artificial intelligence (AI) can lead to unexpected results and can be
modified to manipulate the expected results [25]. Therefore, the security of the AI itself is important.
In particular, it is important:




understand what needs to be protected (assets with specific AI threats),
understand relevant data management models (including the development, evaluation, and
protection of data and the learning process of AI systems),
comprehensively manage threats across a multi-stakeholder ecosystem using common
models and taxonomies,
develop special controls to ensure the security of the AI itself.</p>
        <p>
          For the correct formation of an intellectual system, it is important to follow a structural and
methodological approach to understanding its various aspects [14,16]. Machine learning (ML) is a
part of artificial intelligence. There are several learning models for ML algorithms: supervised,
unsupervised, reinforcement, and partially supervised. The purpose of the reference model is to
provide a conceptual framework that facilitates the allocation of ownership across different assets
and provides a structured way to analyze relevant security threats. Data is one of the most valuable
assets of artificial intelligence [
          <xref ref-type="bibr" rid="ref5">5,26</xref>
          ], therefore, before developing a model, it is important to fully
define the business context for using an AI system, and collect data for analysis, and define controls
[27]. The semi-supervised method is an average between supervised and unsupervised learning,
according to the authors of [28–30], it allows achieve greater accuracy of the models.
        </p>
        <p>In addition to choosing a model, we need to choose a training strategy for its modification and
increase in efficiency. There are many training algorithms for error minimization, most of which are
based on gradient descent. The backpropagation method is an iterative method based on the
algorithm for updating multilayer perceptron scales by calculating stochastic gradient descent
[31,32] to minimize neural network error. When this method is iterated, the error signals are
distributed from the outputs to the inputs of the network. However, this method requires the use of a
differentiated gear ratio. A cutting linear unit [33] or a rectified linear unit [34] (ReLU) is a
differentiated gear ratio (activation function), which is mathematically defined as follows (2):
f ( x )=max ( 0 , x ) ,
(2)
where x is the input value of the neuron.</p>
        <p>According to the circuitry, it is an analog of a semi-periodic rectifier. This gear ratio was
introduced for dynamic networks by Hahnloser and others in 2000 [35] with a biological basis and
mathematical justification. ReLU is often used in computer vision and speech recognition tasks.</p>
      </sec>
      <sec id="sec-3-5">
        <title>3.3.2. Data preconditioning for training</title>
        <p>The input data for our experiment was provided by one of the Ukrainian companies as part of a joint
research project with Taras Shevchenko National University of Kyiv. The data was generated by a
questionnaire based on the comparison of ISO 27000 standards and ISO 21827:2008 standards to
assess maturity for the specific purposes of this study.</p>
        <p>The international standard ISO/IEC 27002:2013 [36] provides recommendations for the
development and implementation of ISMS by organizations in terms of selecting and managing
controls, taking into account existing risks. Contains a complete description and recommendations
for implementing an ISMS (compared to ISO/IEC 27001:2013). The standard contains 14 clauses
containing 35 main categories of information security and 114 controls, a list of which is presented in
the ISO/IEC 27001 standard, Appendix A [37]. The order of the sections does not reflect their
importance to a particular organization. The questionnaire was prepared to take into account all
domains and controls of the ISO/IEC 27002:2013 standard. An example of the structure of ISO/IEC
27002:2013 controls is shown in Figure 3. A sample questionnaire (questionnaire fragment) is shown
in Figure 4.</p>
        <p>An expert (auditor) evaluates each specific security measure (columns 1-2) on a 6-point scale (0..5).
Let A j be an attribute that represents the evaluation of the jth security control. The attribute takes
values in the range from 0 to 5. Mathematically, it can be defined as follows (3):</p>
        <p>A j∈ I ={0 , . . . , 5 },
(3)
where A j is the maturity score of the jth security measure with thresholds: 0 is the lowest and 5 is
the highest maturity level. The number of attributes is equal to the number of corresponding security
controls from the ISO/IEC 27001:2013 standards (may vary in the range of 0…700). The maturity
mapping rule is described in Table 4.
The questionnaire has been prepared to consider the following 11 areas of ISO/IEC 27001, namely:
1. Information security policy
2. Organization of information security
3. Asset management
4. Security of human resources
5. Physical and environmental security
6. Communications and Operations Management
7. Access control
8. Acquisition, development, and maintenance of the information system
9. Information security incident management
10. Business continuity management
11. Compliance</p>
        <p>The dataset consists of 10831 instances. The data instance consists of two parts, a set of security
control scores (Vector 1 .. Vector 5) and an associated class. A fragment of the data set of the
enterprise under study for assessing security is shown in Table 5. Vectors 1-5 represent assessments
of the levels of maturity of information security processes. The rows of the table represent specific
information security measures following the standard ISO 27002. The last column "Data status" can
take one of 6 values (Table 4).</p>
        <p>A new class attribute has been added to the final data set to indicate that the control set meets a
certain level of maturity.</p>
        <p>An example of input data is shown in Table 6. The columns of the matrix contain the assessment
of the auditors for each security control. The data fragment of the input parameters of the model
includes:



</p>
        <p>Relations with suppliers (L1-L5)
Management of information security incidents (M1-M2)
Business continuity management (N1)</p>
        <p>Communication security (O1-O8</p>
      </sec>
      <sec id="sec-3-6">
        <title>3.4. Training process</title>
        <p>For the training process of the neural network to assess the information security maturity of the
system the application was developed using the WEKA (Waikato Knowledge Analysis Framework)
tool (Figure 5), and the requirements for the training parameters of the neural network to assess the
maturity of the information security of the system are in Table 7. To check the accuracy of the model,
the initial set was divided into smaller ones: 100 000, 250 000, 500 000, and 1 000 000 respectively.
Percentage size of the validation
set used to complete training
A value used to generate the
random number generator</p>
        <sec id="sec-3-6-1">
          <title>Number of hidden layers</title>
        </sec>
        <sec id="sec-3-6-2">
          <title>Required burst size for</title>
          <p>prediction
default is 500 (used 50 due to data redundancy)</p>
          <p>Value
0 to 1, the default is 0.3
0 to 1, the default is 0.2
0 to 100, default is 0</p>
          <p>≥0 and less long
comma separated list of natural numbers or letters ’a’
(attributes + classes) / 2, ’i’ - attributes, ’o’ - classes, ’t’
- attributes + classes. The default is ’a’
default is 100
A graphical representation of the frequency distribution of data instances in the set of training
materials is shown in Figure 6. The results are statistically processed, and the parameters are shown
in Table 8. Let’s check if the sample complies with the normal distribution law. As shown in Figure 6
(a) the incoming data sequence has the properties of a normal distribution. The histogram and the
normal distribution function built in the Excel package are shown in Figure 6: (b) shows the case for
N = 10910, (c) shows the case for N = 1049.</p>
        </sec>
      </sec>
      <sec id="sec-3-7">
        <title>3.5. Model implementation</title>
      </sec>
      <sec id="sec-3-8">
        <title>3.5.1. Synthesis of models</title>
        <p>For the above reasons, it was decided to build a maturity assessment model based on ANN (artificial
neural network) of forwarding signal propagation with error backpropagation, in particular, a
multilayer perceptron. A multilayer perceptron (MLP) is a type of organization of a neural network of
direct signal propagation [38]. The typical perception is that of a fully saturated network, which
means that each node in one layer has a certain weight concerning each node in the next layer.
Typically, it consists of an input layer, hidden layers, and an output layer, as shown in Figure 7.</p>
        <p>The model was synthesized based on an artificial neural network of forwarding propagation with
backpropagation, MLP, which consists of three layers of nodes: an input layer, a hidden layer, and an
output layer. The initial weights are arbitrary. The input layer for an artificial neural network
consists of the control objectives implemented in the organization. It is represented by input
variables. The output of an artificial neural network is the final value of the maturity level, that is, a
verdict or a prediction given the input data. Hidden layers perform certain transformations on the
input data. The node in the hidden layer uses a weighted linear sum and, in particular, an activation
function. The neural network consists of the management objectives implemented in the
organization.</p>
        <p>Except for the input nodes, each node is a neuron using a non-linear activation function. MLP uses
a supervised learning method called backpropagation for learning. ReLU is used as an activation
function, it is used to determine the output of the network. A maturity model can also be defined as a
structured set of elements that describe the characteristics of efficient processes or products [28].
Thus, the information security maturity level (ISML) will be calculated according to the formula:
n
ISML=∑ W ( Ci ) ISML( Ci ),</p>
        <p>i=1
where W ( Ci ) is the weight of the ith control, n is the number of controls, ISML( Ci ) is defined
according to the rule described in Table 2.
(4)
(5)
(6)
Let the initial control weights be defined as:</p>
        <p>n
∑ W ( Ci )=1,
i=1</p>
        <p>The MLP algorithm is implemented in the open-source software WEKA [39], released under the
GNU General Public License. WEKA was developed at the University of Waikato (New Zealand) for
research purposes. It provides a set of machine learning tools and algorithms for data mining tasks. It
contains tools for data preprocessing, classification, regression, clustering, association extraction
rules, visualization, and implementation of several machine learning algorithms. WEKA is a free Java
class library. WEKA contains an API (Application Programming Interface) that implements existing
learning algorithms with minimal settings. So, the functions of the model generator are present in the
following code fragments (Figure 8).</p>
        <p>This software supports ARFF (Attribute Relationship File Format) data import, an ASCII text file
that describes a data model using attributes and data instances. ARFF files are ordered in the
following order: relation name, attribute list, and data instances presented line by line [39]. The
program has created a file with the model extension. The average model generation time for this data
set is 400 seconds. This file will be used to classify new data. The interface of the Weka system, which
demonstrates the process of training a neural network with a dataset of 1049 records, is shown in
Figure 9. The ReLU activation function is used to determine the output of the network.
3.5.2. Summary
Several studies [17,20–23,40–46] can be used to determine compliance with ISO/IEC 27001:2013.
However, no maturity model satisfies the requirements of ISO/IEC 27001. Accordingly, if existing
models fail to solve the problem, a new maturity model should be developed. First, the basic paradigm
of the maturity model was developed, as a result of which the apparatus of neural networks of
forwarding signal propagation and error backpropagation was chosen for model synthesis. In
addition, a list of requirements for each maturity level was prepared following the requirements of
ISO/IEC 27001 and ISO/IEC 27002 standards. For further training and solving the classification
problem, a supervised learning algorithm, backpropagation of errors to correct the internal
parameters of the model, and activation of ReLU functions. The next step was the development of an
algorithm for preliminary data preparation for training and data preparation itself. To do this, a
questionnaire was generated taking into account all domains and ISO/IEC 27002:2013 management
tools, and data was also generated.</p>
        <p>The last step was the synthesis and training of the model using the apparatus of neural networks.
In addition to the previously mentioned, the model has the following configuration (Table 9).</p>
      </sec>
    </sec>
    <sec id="sec-4">
      <title>4. Results</title>
      <sec id="sec-4-1">
        <title>4.1. Validating the adequacy of the model</title>
        <p>The adequacy analysis made it possible to check the degree of correspondence of the model to a real
system with a set of certain properties [47] and was carried out in several stages:
1. Evaluation of control coverage using ontological deficits by Wand and Weber [48].
2. Evaluate the coverage of controls and requirements of ISO/IEC 27001 by the ISMS maturity
model using the methodology used when comparing other models.</p>
      </sec>
      <sec id="sec-4-2">
        <title>4.2. Model adequacy analysis by Wand and Weber method</title>
        <p>Wand and Weber define the ontological evaluation of the method to identify four ontological flaws:
incompleteness, redundancy, excess, and overload. An ontological assessment of the scope of
ISO/IEC 27001 requirements of the proposed ISMS maturity model is presented in Table 10. Based on
the results of the analysis, the model is complete as it fully covers IEC 27001 controls. There is no
redundancy. However, the ISO/IEC 27001 requirement "4.2.3-d)" has been overloaded because we
believe it describes the requirements for three different activities. As a result, three different
evaluation criteria were created for this requirement. Finally, the ISMS maturity model covers all the
requirements detailed in clause 4 of ISO/IEC 27001, which means that the total score on the same
scale is 20.</p>
      </sec>
      <sec id="sec-4-3">
        <title>4.3. Model testing on 5 real organizations</title>
        <p>After the first two stages of evaluation, we evaluated five real organizations T( able 11). For each of
these five organizations, an ISMS maturity assessment was carried out and the result is shown in</p>
        <p>The left part of the table contains codes of control actions for implementation of the safety
measure (see Table 3). Table 12 shows that all safety measures are implemented only in Organization
1 (state administrative institution). The majority of measures (25 out of 30) were implemented in
Organization 4 (research institute), while the measures of Group 5 (Improving) were not
implemented at all. The smallest number of activities (14 out of 30) is realized in organization 3
(higher education institution), probably, it is connected with the large number of participants in the
process and premises and weak manageability of the enterprise.</p>
        <p>It can also be noted that the activities of Group 2 (Planning) are implemented at all 5 enterprises,
while the activities of Group 5 (Improving) are fully implemented at Enterprise 1 (governmental
institution) and partially at Enterprise 5 (software developer).</p>
        <p>To achieve a certain level of maturity, an organization must meet all the criteria for that particular
level and all levels below [14], for example, an organization at maturity level 3 meets all the criteria
for maturity levels 1, 2, and 3.
+</p>
      </sec>
      <sec id="sec-4-4">
        <title>4.4. Validating model accuracy using statistical methods</title>
      </sec>
      <sec id="sec-4-5">
        <title>4.4.1. Basic concepts for assessing the accuracy of the constructed model</title>
        <p>Accuracy (significance) is a statistical metric showing the percentage of positive results classified
correctly. The low accuracy value is usually associated with a large number of false positive
classifications [49]. In addition, the following statistical metrics are used to evaluate models: recall
(sensitivity), F-measure (takes values from 0 to 1), Matthew Correlation Coefficient (MCC), or Phi
coefficient is used in machine learning as an indicator of the quality of binary classifications,
performance receiver (ROC), accuracy-recall curve (PRC), kappa statistics (describes the accuracy of
the classifier) [49].
4.4.2.</p>
      </sec>
      <sec id="sec-4-6">
        <title>Model accuracy test results using statistical methods</title>
        <p>To test the accuracy of the model, the original set was divided into smaller parts: 70% for training, 15%
for the control set, and 15% for the test set. First, a cross-validation method was performed to
determine performance statistics for the model. The model was then trained again but used 100% of
the data set to get the most accurate model to get a robust classification model. A generalized error
matrix is shown in Table 13.</p>
        <p>The inconsistency matrix (Table 14) is used to evaluate the performance of the classification
model [49]. It provides information on classification inconsistencies, which can also be used to
identify a possible trend in existing errors. The accuracy of the estimate is given in Table 15.</p>
        <p>So, the trained model successfully classified 99.649% of the dataset, the reliability of the classifier is
0.9949, which can be interpreted as almost perfect data agreement, and the root means the square
relative error is 9.748%. Other model results include true positive rate – 0.996, false-positive rate –
0.001, accuracy – 0.996, completeness – 0.996, f-measure – 0.996, Matthew’s correlation coefficient –
0.962–1, ROC area – 0.998, PRC area – 0.995.
+
+
+
3
Test 5
2000</p>
        <p>Level 0
208
6
0
0
0
0</p>
      </sec>
    </sec>
    <sec id="sec-5">
      <title>Discussion and perspectives</title>
      <p>We assessed the performance of each of the evaluation controls, which in turn allowed us to
determine the level of maturity of the ISMS for each of the five organizations. The results of the
assessment in Table 12 showed that the maturity model correctly identified the level of maturity, and
they are consistent with the perception of the maturity of the ISMS implemented in the organization.
The results were used by organizations to create improvement plans specifically tailored to their
organizational context. The disparity matrix in Table 14 shows that there are misclassifications for
the first three classes, which can be caused by an insufficiently balanced dataset. This means that this
dataset should be adjusted to achieve better results in future studies. The given values in Table 15
indicate that the trained model describes a real manual process for assessing the maturity of
information security at an acceptable level, and it can be recommended for usage in the process of a
real ISMS audit.</p>
      <p>Thus, a maturity model of ISMS processes has been developed under the requirements and
recommendations of ISO/IEC 27001:2013 and ISO/IEC 27002:2013 using the apparatus of neural
networks of forwarding propagation of signals and backpropagation of errors. The practical
significance of the work lies in the fact that the results can be applied in the activities of a particular
institution to improve the system for assessing the security of information systems. The proposed
method makes it possible to automate the solution of tasks assigned to an expert: assessing the
compliance of information systems with security requirements and making a decision on their use.</p>
      <p>Moreover, this approach will be very useful when using other security frameworks, such as NIST
(National Institute of Standards and Technology) SP (Special Publication) 800 series and, in
particular, NIST SP 800-53 [50]. There are many requirements and a rich set of controls to consider.
Therefore, the application of the developed model can significantly reduce the time spent by experts.
For a deeper analysis of the usefulness of the maturity model and its improvement, it is proposed to
evaluate the use of the ISMS maturity model in various industries. This will lead to a more general
and objective validation of the model and will allow for cross-industry benchmarking.</p>
    </sec>
    <sec id="sec-6">
      <title>Conclusions</title>
      <p>None of the existing maturity models satisfactorily take into account the requirements of ISO/IEC
27001 [37]. Accordingly, it was decided to develop a new maturity model using forward signal
propagation and error backpropagation neural networks. The list of requirements for each maturity
level has been prepared following the requirements of ISO/IEC 27001 and ISO/IEC 27002.</p>
      <p>For further training and solving the classification problem, a supervised learning algorithm, error
backpropagation to correct the internal parameters of the model, and the ReLU activation function
were chosen. The effectiveness of this model of using artificial neural networks for solving the
problem is substantiated. The ISMS maturity model was assessed by a multi-aspect method and
statistical means. The proposed model is found to be complete as it fully covers IEC 27001 controls.
There is no redundancy or redundancy. The trained model describes a real non-automated process
of assessing the maturity of information systems at an acceptable level of security and can be
recommended for use in the process of a real ISMS audit.</p>
      <p>The model developed from this study can be used as part of a decision support system to enable
cybersecurity decision-makers to:
1. Make informed decisions, choosing the best option to mitigate certain vulnerabilities/threats
and maintain business continuity.
2. Analyze the strengths and weaknesses of the ISMS processes.
3. Develop a strategy for the evolutionary improvement of the capabilities, efficiency, and
effectiveness of the ISMS [16,26].</p>
      <p>As a result, it will also help to reduce the time and financial resources for assessing the security of
enterprises.</p>
    </sec>
    <sec id="sec-7">
      <title>Declaration on Generative AI</title>
      <p>The authors have not employed any Generative AI tools.
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