104/22/23 1

Instructor: Suprakash Datta (datta[at]cse.yorku.ca) ext 77875

Lectures: Tues (CB 122), 7–10 PM

Office hours: Wed 3-5 pm (CSEB 3043), or by appointment.

Textbooks: 1. "Management of Information Security", M. E. Whitman, H. J.

Mattord, Nelson Education / CENGAGE Learning, 2011, 3rd Edition 2. "Guide to Computer Forensics and Investigations", B. Nelson, A. Phillips, F. Enfinger, C. Steuart, Nelson Education / CENGAGE

Learning, 2010, 4th Edition.

CSE 4482: Computer Security Management: Assessment and Forensics

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Expected learning outcomes

• Upon completion, you should be able to:– Identify the roles in organizations that are active in

the planning process– Explain the principal components of information

security system implementation planning in the organizational planning scheme

– Differentiate between strategic organizational InfoSec and specialized contingency planning

– Describe the unique considerations and relationships between strategic and contingency plans

Management of Information Security, 3rd Edition

Many of these slides are adapted from the authors

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Planning

• Computing a path towards a goal

• Resemblance with game-playing

• Plan for expected and unlikely scenarios

• Risk assessment and management is a big part of security management planning (ch 8,9,10)

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Figure 2-1 Information Security and Planning

Source: Course Technology/Cengage Learning

Introduction

Management of Information Security, 3rd Edition

High-level view of planning

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The Role of Planning

• Successful organizations utilize planning

• Planning involves– Employees– Management– Stockholders– Other outside stakeholders– The physical and technological environment– The political and legal environment– The competitive environment

Management of Information Security, 3rd Edition

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The Role of Planning (cont’d.)

• Strategic planning includes:– Vision statement– Mission statement– Strategy– Coordinated plans for sub units

• Knowing how the general organizational planning process works helps in the information security planning process

Management of Information Security, 3rd Edition

Why are these needed?

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Values Statement

• Establishes organizational principles– Makes organization’s conduct standards clear

• RWW values commitment, honesty, integrity and social responsibility among its employees, and is committed to providing its services in harmony with its corporate, social, legal and natural environments

• The values, vision, and mission statements together provide the foundation for planning

Management of Information Security, 3rd Edition

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Vision Statement

• The vision statement expresses what the organization wants to become

• Vision statements should be ambitious(?)– Random Widget Works will be the preferred

manufacturer of choice for every business’s widget equipment needs, with an RWW widget in every machine they use

Management of Information Security, 3rd Edition

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Mission Statement

• Mission statement – Declares the business of the organization and

its intended areas of operations– Explains what the organization does and for

whom– Random Widget Works, Inc. designs and

manufactures quality widgets and associated equipment and supplies for use in modern business environments

Management of Information Security, 3rd Edition

10Figure 2-2 Microsoft’s Mission and Values Statement

Source: Course Technology/Cengage LearningManagement of Information Security, 3rd Edition

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Strategic Planning (Ch 2)

• Strategy is the basis for long-term direction

• Strategic planning guides organizational efforts– Focuses resources on clearly defined goals– “… strategic planning is a disciplined

effort to produce fundamental decisions and actions that shape and guide what an organization is, what it does, and why it does it, with a focus on the future.”

Management of Information Security, 3rd Edition

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Creating a Strategic Plan

• An organization develops a general strategy– Then creates specific strategic plans for major

divisions– Each level or division translates those

objectives into more specific objectives for the level below

• In order to execute this broad strategy executives must define individual managerial responsibilities

Management of Information Security, 3rd Edition

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Top-down vs bottom-up

• Top down advantages– Management support, funding– Better coordination and cohesion– accountability

• Bottom-up advantages– Comes from technical people

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Top-down vs bottom-up contd.

Figure 2-9 Approaches to security implementation

Source: Course Technology/Cengage learningManagement of Information Security, 3rd Edition

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Planning Levels

• Strategic goals are translated into tasks

• Objectives should be specific, measurable, achievable, reasonably high and time-bound (SMART)

• Strategic planning then begins a transformation from general to specific objectives

Management of Information Security, 3rd Edition

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Planning Levels (cont’d.)

Figure 2-4 Planning Levels

Source: Course Technology/Cengage LearningManagement of Information Security, 3rd Edition

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Planning Levels (cont’d.)

• Tactical Planning– Has a shorter focus than strategic planning– Usually one to three years– Breaks applicable strategic goals into a

series of incremental objectives

Management of Information Security, 3rd Edition

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Planning Levels (cont’d.)

• Operational Planning– Used by managers and employees to organize

the ongoing, day-to-day performance of tasks– Includes clearly identified coordination

activities across department boundaries such as:

• Communications requirements• Weekly meetings• Summaries• Progress reports

Management of Information Security, 3rd Edition

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Information Security Governance

• Governance of information security is a strategic planning responsibility – Importance has grown in recent years

• Information security objectives must be addressed at the highest levels of an organization's management team– To be effective and offer a sustainable

approach

Management of Information Security, 3rd Edition

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Implementing Information Security Governance

Figure 2-6 General Governance Framework

Source: IDEAL is a service mark of Carnegie Mellon UniversityManagement of Information Security, 3rd Edition

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Implementing Information Security Governance (cont’d.)

Figure 2-7 The IDEAL model governance framework

Source: IDEAL is a service mark of Carnegie Mellon UniversityManagement of Information Security, 3rd Edition

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Planning For Information Security Implementation

• CISO Job Description– Creates a strategic information security plan

with a vision for the future of information security

– Understands the fundamental business activities and suggests appropriate information security solutions to protect these activities

– Develops action plans, schedules, budgets, and status reports

Management of Information Security, 3rd Edition

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Security Systems Development Life Cycle

• An SDLC is a methodology for the design and implementation of an information system

• SDLC-based projects may be initiated by events or planned

• At the end of each phase, a review occurs to determine if the project should be continued, discontinued, outsourced, or postponed

Management of Information Security, 3rd Edition

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Introduction to SecSDLC• SecSDLC methodology is similar to SDLC

– Identification of specific threats and associated risks – Design and implementation of specific controls to

counter those threats and manage risks posed to the organization

Management of Information Security, 3rd Edition

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• Investigation– directive from management specifying the process,

outcomes, and goals of the project and its budget – Teams assembled to analyze problems, define scope,

specify goals and identify constraints – Feasibility analysis: resources, commitment

• Analysis – existing security policies and programs, known threats

and current controls– relevant legal issues that could affect the design of the

security solution

Introduction to the SecSDLC - contd.

Management of Information Security, 3rd Edition

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Introduction to the SecSDLC - contd.

Management of Information Security, 3rd Edition

• Analysis (cont’d.)– Risk management

• identifying, assessing, and evaluating the levels of risk facing the organization, specifically the threats to the information stored and processed by the organization

• A threat is an object, person, or other entity that represents a constant danger to an asset

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Risks

Management of Information Security, 3rd Edition

•An attack –A deliberate act that exploits a vulnerability to achieve the compromise of a controlled system–Accomplished by a threat agent that damages or steals an organization’s information or physical assets

•An exploit–A technique or mechanism used to compromise a system

•A vulnerability –An identified weakness of a controlled system in which necessary controls that are not present or are no longer effective

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Table 2-1 Threats to Information Security

Threat types.)

Source: Course Technology/Cengage Learning (adapted from Whitman, 2003)Management of Information Security, 3rd Edition

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Common Attacks

• Malicious code (viruses, worms, Trojan horses, spyware, bots, adware)

• Back doors• Password crack (Brute force, Dictionary)

• Denial-of-service (DoS) and distributed denial-of-service (DDoS) (zombie)

• Social engineering (phishing)

• Buffer overflow• DNS cache poisoning (pharming)

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Common Attacks - contd

• Spoofing (ingress filtering, egress filtering)

• Man-in-the-middle (TCP hijacking)

• Spam

• Mail bombing

• Sniffer

• Timing

• Hoaxes

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Planning to protect against attacks

• Prioritize the risk posed by each category of threat

• Identify and assess the value of your information assets– Assign a comparative risk rating or score to

each specific information asset

• Design and implementation of SecSDLC : read on your own

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Maintaining Security

Figure 2-11 Maintenance model

Source: Course Technology/Cengage learning

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Summary

• Introduction

• Components of organizational planning

• Information security governance

• Planning for information security implementation

• Introduction to the security systemsdevelopment life cycle

Management of Information Security, 3rd Edition

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Ch 3: Contingency planning

• Plan for unexpected scenarios– When the use of technology is disrupted and

business operations come close to a standstill– Procedures are required to permit the organization

to continue essential functions if information technology support is interrupted

– Over 40% of businesses that don't have a disaster plan go out of business after a major loss

• What scenarios should a company plan for?

Management of Information Security, 3rd Edition

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Objectives

• Upon completion of this material, you should be able to:– Recognize the need for contingency planning– Describe the major components of contingency

planning– Create a simple set of contingency plans, using

business impact analysis– Prepare and execute a test of contingency plans– Explain the combined contingency plan approach

Management of Information Security, 3rd ed.

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Contingency Planning fundamentals

• Contingency planning (CP)– The overall planning for unexpected events– preparing for, detecting, reacting to, and recovering

from events that threaten the security of information resources and assets

• Main goal – The restoration to normal modes of operation with

minimum cost and disruption to normal business activities after an unexpected event

Management of Information Security, 3rd ed.

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Components of Contingency Planning

Figure 3-1 Contingency planning hierarchiesSource: Course Technology/Cengage LearningManagement of Information Security, 3rd ed.

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• Incident response planning (IRP)– immediate response

• Disaster recovery planning (DRP) – restoring operations at the primary site after disasters

• Business continuity planning (BCP) – establishment of operations at an alternate site

• To ensure continuity planners should– Identify the mission- or business-critical functions and

the resources that support them– Select contingency planning strategies– Implement the selected strategy– Test and revise contingency plans

Contingency Planning

Management of Information Security, 3rd ed.

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Contingency Planning - contd

• the contingency planning policy statementProvides the authority and guidance necessary to

develop an effective contingency plan

• Conduct the BIA identify and prioritize critical IT systems and components

• Identify preventive controlsMeasures taken to reduce the effects of system

disruptions can increase system availability and reduce contingency life cycle costs

• Develop recovery strategies– Ensure that the system may be recovered quickly and

effectively following a disruption

Management of Information Security, 3rd ed.

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Contingency Planning - contd

• Develop an IT contingency plan– detailed guidance and procedures for restoring a

damaged system

• Plan testing, training, and exercises– Testing the plan identifies planning gaps– Training prepares recovery personnel for plan

activation – Both activities improve plan effectiveness and overall

agency preparedness

• Plan maintenance– The plan should be updated regularly to remain

current with system enhancements

Management of Information Security, 3rd ed.

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Business Impact Analysis (BIA)

• Provides the CP team with information about systems and the threats they face– A crucial component of the initial planning stages– Provides detailed scenarios of each potential attack’s

impact

• BIA is not risk management (which focuses on identifying threats, vulnerabilities, and attacks to determine controls)

• BIA assumes controls have been bypassed or are ineffective, and attack was successful

Management of Information Security, 3rd ed.

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Business Impact Analysis (cont’d.)

Figure 3-2 Major tasks in contingency planning

Source: Course Technology/Cengage LearningManagement of Information Security, 3rd ed.

43Table 3-1 Example attack profile

Source: Course Technology/Cengage LearningManagement of Information Security 3rd ed.

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Business Impact Analysis• Create a series of scenarios depicting impact of

successful attack on each functional area• Attack profiles should include scenarios depicting

typical attack including:– Methodology– Indicators– Broad consequences

• List outcomes (Best case, worst case, and most likely)

• Estimate the cost of each of these outcomes – By preparing an attack scenario end case– Allows identification of what must be done to recover

from each possible case

Management of Information Security, 3rd ed.

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Incident Response Plan• A detailed set of processes and procedures that

anticipate, detect, and mitigate the impact of an unexpected event that might compromise information resources and assets– Procedures commence when an incident is detected

• When a threat becomes a valid attack, it is classified as an information security incident if: – It is directed against information assets– It has a realistic chance of success– It threatens the confidentiality, integrity, or availability

of information assets

• Incident response is a reactive measure, not a preventative one

Management of Information Security, 3rd ed.

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• Develop procedures for tasks that must be performed in advance of the incident– Details of data backup schedules– Disaster recovery preparation– Training schedules– Testing plans– Copies of service agreements– Business continuity plans

Incident Response Plan details

Management of Information Security, 3rd ed.

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Incident Response Plan (contd.)

Figure 3-3 Incident response planning

Source: Course Technology/Cengage LearningManagement of Information Security, 3rd ed.

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• Incident classification – Determine whether an event is an actual

incident– May be challenging– Uses initial reports from end users, intrusion

detection systems, host- and network-based virus detection software, and systems administrators

– Careful training allows everyone to relay vital information to the IR team

Incident Response Plan (contd.)

Management of Information Security, 3rd ed.

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Incident Response Plan (contd.)• Possible indicators

– Presence of unfamiliar files– Presence or execution of unknown programs or processes– Unusual consumption of computing resources– Unusual system crashes

• Probable indicators– Activities at unexpected times– Presence of new accounts– Reported attacks– Notification from IDS

• Definite indicators– Use of dormant accounts– Changes to logs– Presence of hacker tools– Notifications by partner or peer– Notification by hacker

Management of Information Security, 3rd ed.

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Incident Response Plan (contd.)• Occurrences of actual incidents

– When these occur, the corresponding IR must be immediately activated

• Loss of availability• Loss of integrity• Loss of confidentiality• Violation of policy• Violation of law

• The essential task of IR is to stop the incident or contain its impact

• Incident containment strategies focus – Stopping the incident– Recovering control of the systems

Management of Information Security, 3rd ed.

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Containment strategies

• Disconnect the affected communication circuits• Dynamically apply filtering rules to limit certain

types of network access• Disabling compromised user accounts • Reconfiguring firewalls to block the problem

traffic• Temporarily disabling the compromised process

or service • Taking down the conduit application or server• Stopping all computers and network devices

Management of Information Security, 3rd ed.

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Containment strategies (contd.)

• An incident may increase in scope or severity to the point that the IRP cannot adequately contain the incident– Each organization will have to determine,

during the business impact analysis, the point at which the incident becomes a disaster

• The organization must also document when to involve outside response

Management of Information Security, 3rd ed.

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Containment strategies (contd.)

• Once contained and system control regained, incident recovery can begin– The IR team must assess the full extent of the

damage in order to determine what must be done to restore the systems

• Incident damage assessment– Determination of the scope of the breach of

confidentiality, integrity, and availability of information and information assets

• Those who document the damage must be trained to collect and preserve evidence, in case the incident is part of a crime or results in a civil action

Management of Information Security, 3rd ed.

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Recovery process– Identify the vulnerabilities that allowed the incident to

occur and spread and resolve them– Address the safeguards that failed to stop or limit the

incident, or were missing from the system; install, replace or upgrade them

– Evaluate existing monitoring capabilities, install new monitoring capabilities

– Restore the data from backups as needed– Restore the services and processes in use where

compromised (and interrupted) services and processes must be examined, cleaned, and then restored

– Continuously monitor the system– Restore the confidence of the members of the

organization’s communities of interest

Management of Information Security, 3rd ed.

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Recovery process (contd.)

• Before returning to routine duties, the IR team must conduct an after-action review (AAR) – A detailed examination of the events that occurred – All team members review their actions during the

incident and identify areas where the IR plan worked, didn’t work, or should improve

• When an incident violates civil or criminal law, it is the organization’s responsibility to notify the proper authorities– Selecting the appropriate law enforcement agency

depends on the type of crime committed: Federal, State, or local

Management of Information Security, 3rd ed.

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Disaster Recovery Plan• The preparation for and recovery from a disaster,

whether natural or man made• In general, an incident is a disaster when:

– The organization is unable to contain or control the impact of an incident, or

– The level of damage or destruction from an incident is so severe the organization is unable to quickly recover

• The key role of a DRP is defining how to reestablish operations at the location where the organization is usually located

Management of Information Security, 3rd ed.

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Disaster Recovery Plan (cont’d.)

• Key points in the DRP– Clear delegation of roles and responsibilities– Execution of the alert roster and notification of

key personnel– Clear establishment of priorities– Documentation of the disaster– Action steps to mitigate the impact – Alternative implementations for the various

systems components

Management of Information Security, 3rd ed.

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Disaster Recovery Plan (cont’d.)

• classify disasters as– natural disasters vs man-made disasters– Rapid onset disasters vs slow onset disasters

• Scenario development and impact analysis– Used to categorize the level of threat of each

potential disaster

• DRP must be tested regularly

Management of Information Security, 3rd ed.

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Business Continuity Plan• Ensures critical business functions can continue

in a disaster • Managed by CEO of the organization• Activated and executed concurrently with the

DRP when needed – While BCP reestablishes critical functions at alternate

site, DRP focuses on reestablishment at the primary site

• Relies on identification of critical business functions and the resources to support them

Management of Information Security, 3rd ed.

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Business Continuity Strategies

• Exclusive-use options: hot, warm and cold sites• Hot Sites: Fully configured computer facility with

all services• Warm Sites: Like hot site, but software

applications not kept fully prepared• Cold Sites: Only rudimentary services and

facilities kept ready• Shared-use options: timeshare, service bureaus,

mutual agreements• Determining factor is usually cost

Management of Information Security, 3rd ed.

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Business Continuity Strategies - 2

• Timeshares– Like an exclusive use site but leased

• Service bureaus– Agency that provides physical facilities

• Mutual agreements– Contract between two organizations to assist

• Specialized alternatives– Rolling mobile site – Externally stored resources

Management of Information Security, 3rd ed.

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Data recovery

• To get any BCP site running quickly organization must be able to recover data

• Options include:– Electronic vaulting

• Bulk batch-transfer of data to an off-site facility

– Remote journaling• Transfer of live transactions to an off-site facility

– Database shadowing• Storage of duplicate online transaction data

Management of Information Security, 3rd ed.

Each option adds different risks

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Timing and Sequence of CP Elements

Figure 3-4 Incident response and disaster recovery

Source: Course Technology/Cengage LearningManagement of Information Security, 3rd ed.

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Timing and Sequence of CP Elements (cont’d.)

Figure 3-5 Disaster recovery and business continuity planning

Source: Course Technology/Cengage LearningManagement of Information Security, 3rd ed.

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Timing and Sequence of CP Elements (cont’d.)

Figure 3-6 Contingency planning implementation timeline

Source: Course Technology/Cengage LearningManagement of Information Security, 3rd ed.

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Crisis Management• A set of focused steps that deal primarily with the

people involved during and after a disaster• Crisis management team actions

– Supporting personnel and their loved ones during the crisis

– Determining the event's impact on normal business operations

– Making a disaster declaration– Keeping the public informed about the event – Communicating with outside parties

• Key tasks of the crisis management team– Verifying personnel status– Activating the alert roster

Management of Information Security, 3rd ed.

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Business Resumption Planning

• Because the DRP and BCP are closely related, most organizations prepare them concurrently

• Components of a simple disaster recovery plan – Name of agency, Date of completion – Agency staff to be called in the event of a disaster – Emergency services to be called (if needed) – Locations of in-house emergency equipment, supplies– Sources of off-site equipment and supplies– Salvage priority list– Agency disaster recovery procedures– Follow-up assessment

Management of Information Security, 3rd ed.

68Source: (http://csrc.nist.gov/fasp/FASPDocs/contingency-plan/contingencyplan-template.doc)

Table 3-3Contingency plan template

Management of Information Security, 3rd ed.

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Testing Contingency Plans

• Problems are identified during testing– Improvements can be made, resulting in a

reliable plan

• Contingency plan testing strategies– Desk check– Structured walkthrough – Simulation – Parallel testing– Full interruption testing

Management of Information Security, 3rd ed.

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Contingency Planning: Final Thoughts

• Iteration results in improvement

• A formal implementation of this methodology is a process known as continuous process improvement (CPI)

• Each time the plan is rehearsed it should be improved

• Constant evaluation and improvement lead to an improved outcome

Management of Information Security, 3rd ed.

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Summary

• Introduction

• What Is Contingency Planning?

• Components of Contingency Planning

• Putting a Contingency Plan Together

• Testing Contingency Plans

• A Single Continuity Plan

Management of Information Security, 3rd ed.