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Michael E. Whitman Ph.D., CISM, CISSP

Herbert J. Mattord Ph.D., CISM, CISSP

Andrew Green MSIS Kennesaw State University

Principles of Incident Response and Disaster Recovery Second Edition

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Principles of Incident Response & Disaster Recovery, Second Edition

Michael E. Whitman, Herbert J. Mattord, Andrew Green

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Brief Contents

PREFACE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv

CHAPTER 1 An Overview of Information Security and Risk Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

CHAPTER 2 Planning for Organizational Readiness. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

CHAPTER 3 Contingency Strategies for IR/DR/BC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

CHAPTER 4 Incident Response: Planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

CHAPTER 5 Incident Response: Detection and Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165

CHAPTER 6 Incident Response: Organizing and Preparing the CSIRT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231

CHAPTER 7 Incident Response: Response Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267

CHAPTER 8 Incident Response: Recovery and Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313

CHAPTER 9 Disaster Recovery: Preparation and Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369

CHAPTER 10 Disaster Recovery: Operation and Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409

CHAPTER 11 Business Continuity Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437

CHAPTER 12 Crisis Management and International Standards inIR/DR/BC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 477

APPENDIX A Sample Business Continuity Plan for ABC Co. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 529

APPENDIX B Contingency Plan Template from the Computer Security Resource Center at the National Institute of Standards and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 537

APPENDIX C Sample Crisis Management Plan for Hierarchical Access, Ltd.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 565

GLOSSARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577

INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583

Table of Contents

PREFACE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv

CHAPTER 1 An Overview of Information Security and Risk Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Opening Case Scenario: Pernicious Proxy Probing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Information Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Key Information Security Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Overview of Risk Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Know Yourself. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Know the Enemy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Risk Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Risk Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Risk Control Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Contingency Planning and Its Components. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Business Impact Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Incident Response Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Disaster Recovery Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Business Continuity Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Contingency Planning Timeline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Role of Information Security Policy in Developing Contingency Plans. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Key Policy Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Enterprise Information Security Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Issue-Specific Security Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Systems-Specific Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Policy Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Virtualization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Ethical Considerations in the Use of Information Security Tools. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

Closing Case Scenario: Pondering People . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

CHAPTER 2 Planning for Organizational Readiness. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Opening Case Scenario: Proper Planning Prevents Problems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Beginning the Contingency Planning Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Commitment and Support of Senior Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Elements Required to Begin Contingency Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Contingency Planning Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

A Sample Generic Policy and High-Level Procedures for Contingency Plans . . . . . . . . . . . . . . . . . . . . . . . . . . 55

vii

Business Impact Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 Determine Mission/Business Processes and Recovery Criticality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 Identify Resource Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 Identify System Resource Recovery Priorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

BIA Data Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 Online Questionnaires . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 Facilitated Data-Gathering Sessions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 Process Flows and Interdependency Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 Risk Assessment Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 IT Application or System Logs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 Financial Reports and Departmental Budgets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 Audit Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Production Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76

Budgeting for Contingency Operations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Incident Response Budgeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Disaster Recovery Budgeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 Business Continuity Budgeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Crisis Management Budgeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Closing Case Scenario: Outrageously Odd Outages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

CHAPTER 3 Contingency Strategies for IR/DR/BC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

Opening Scenario: Panicking over Powder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

Data and Application Resumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 Online Backups and the Cloud . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 Disk to Disk to Other: Delayed Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 Redundancy-Based Backup and Recovery Using RAID . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 Database Backups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 Application Backups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 Backup and Recovery Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 Real-Time Protection, Server Recovery, and Application Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

Site Resumption Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 Exclusive Site Resumption Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 Shared-Site Resumption Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 Service Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123 Hands-On Project 3-1: Command-line Backup Using rdiff-backup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 Hands-On Project 3-2: Copying Virtual Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126

Closing Case Scenario: Disaster Denied . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129

viii Table of Contents

CHAPTER 4 Incident Response: Planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

Opening Case Scenario: DDoS Dilemma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133

The IR Planning Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Forming the IR Planning Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

Developing the Incident Response Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 Building the Computer Security Incident Response Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138

Incident Response Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138

Information for attack success end case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 Planning for the Response During the Incident . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 Planning for “After the Incident”. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142

Reaction!. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 Planning for “Before the Incident” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144

The CCDC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147

Assembling and Maintaining the Final IR Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156

Closing Case Scenario: The Never-Ending Story . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

CHAPTER 5 Incident Response: Detection and Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165

Opening Case Scenario: Oodles of Open Source Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167

Detecting Incidents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 Possible Indicators of an Incident. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 Probable Indicators of an Incident . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169

Technical Details: Rootkits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170 Definite Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 Identifying Real Incidents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173

Intrusion Detection and Prevention Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174

Technical Details: Processes and Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 IDPS Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Why Use an IDPS? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185 IDPS Network Placement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188

Technical Details: Ports and Port Scanning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 IDPS Detection Approaches. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204 Automated Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206

Incident Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 Collection of Data to Aid in Detecting Incidents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 Challenges in Intrusion Detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217

Table of Contents ix

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219

Closing Case Scenario: Jokes with JJ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227

CHAPTER 6 Incident Response: Organizing and Preparing the CSIRT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231

Opening Case Scenario: Trouble in Tuscaloosa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233

Building the CSIRT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 Step 1: Obtaining Management Support and Buy-In . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234 Step 2: Determining the CSIRT Strategic Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234 Step 3: Gathering Relevant Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240 Step 4: Designing the CSIRT Vision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240

A Sample Generic Policy and High-Level Procedures for Contingency Plans . . . . . . . . . . . . . . . . . . . . . . . . . 243 Step 5: Communicating the CSIRT’s Vision and Operational Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249 Step 6: Beginning CSIRT Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249 Step 7: Announce the operational CSIRT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250 Step 8: Evaluating CSIRT Effectiveness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250 Final Thoughts on CSIRT Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252

Outsourcing Incident Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252 Current and Future Quality of Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252 Division of Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 Sensitive Information Revealed to the Contractor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 Lack of Organization-Specific Knowledge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 Lack of Correlation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254 Handling Incidents at Multiple Locations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254 Maintaining IR Skills In-House . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257

Closing Case Scenario: Proud to Participate in Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264

CHAPTER 7 Incident Response: Response Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267

Opening Case Scenario: Viral Vandal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

IR Response Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 Response Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 Incident Containment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270

The Cuckoo’s Egg . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 Incident Eradication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 Incident Recovery. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274

Incident Containment and Eradication Strategies for Specific Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275

Egghead . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 Handling Denial of Service (DoS) Incidents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278

x Table of Contents

Malware . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282 Unauthorized Access. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287 Inappropriate Use. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295 Hybrid or Multicomponent Incidents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299

Automated IR Response Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304

Closing Case Scenario: Worrisome Worms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310

CHAPTER 8 Incident Response: Recovery and Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313

Opening Case Scenario: Wily Worms Wake Workers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314

Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315 Identify and Resolve Vulnerabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315 Restore Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316 Restore Services and Processes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316 Restore Confidence across the Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317

Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317 After-Action Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317 Plan Review and Maintenance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318 Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Rehearsal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Law Enforcement Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Reporting to Upper Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321 Loss Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321

Sample Impact Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322

Incident Forensics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322 Legal Issues in Digital Forensics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323 Digital Forensics Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324

Technical Details . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325 Digital Forensics Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335

eDiscovery and Anti-Forensics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359

Closing Case Scenario: Bureaucratic Blamestorms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365

CHAPTER 9 Disaster Recovery: Preparation and Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369

Opening Case Scenario: Flames Force Fan Fury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370

Disaster Classifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371

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Forming the Disaster Recovery Team. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373 Organization of the DR Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373 Special Documentation and Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376

Disaster Recovery Planning Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377 Develop the DR Planning Policy Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378 Review the Business Impact Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382 Identify Preventive Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382 Develop Recovery Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382 Develop the DR Plan Document . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383 Plan Testing, Training, and Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386 Plan Maintenance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387

Information Technology Contingency Planning Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 Client/Server Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388 Data Communications Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389 Mainframe Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390

Sample Disaster Recovery Plans. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391 The Business Resumption Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393

The DR Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396

Closing Case Scenario: Proactively Pondering Potential Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407

CHAPTER 10 Disaster Recovery: Operation and Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409

Opening Case Scenario: Dastardly Disaster Drives Dialing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411

Facing Key Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411

Preparation: Training the DR Team and the Users . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412 Plan Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413 Plan Triggers and Notification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414 Disaster Recovery Planning as Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414 DR Training and Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417 DR Plan Testing and Rehearsal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421 Rehearsal and Testing of the Alert Roster. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422

Disaster Response Phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423

Recovery Phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424

Resumption Phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424

Restoration Phase. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425 Repair or Replacement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425 Restoration of the Primary Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 426 Relocation from Temporary Offices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 426 Resumption at the Primary Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427 Standing Down and the After-Action Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429

xii Table of Contents

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430

Closing Case Scenario: Smart Susan Starts Studying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 436

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 436

CHAPTER 11 Business Continuity Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437

Opening Case Scenario: Lovely Local Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 439

Business Continuity Team. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440 BC Team Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 441 Special Documentation and Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442

Business Continuity Policy and Plan Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443 Develop the BC Planning Policy Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 444 Review the BIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448 Identify Preventive Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448 Create BC Contingency (Relocation) Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448 Develop the BC Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449 Ensure BC Plan Testing, Training, and Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453 Ensure BC Plan Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453 Sample Business Continuity Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453

Implementing the BC Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453 Preparation for BC Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454 Returning to a Primary Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457 BC After-Action Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459

Continuous Improvement of the BC Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459 Improving the BC Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459 Improving the BC Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 463

Maintaining the BC Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465 Periodic BC Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465 BC Plan Archivist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 467

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 468

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 469

Closing Case Scenario: Exciting Emergency Environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475

CHAPTER 12 Crisis Management and International Standards inIR/DR/BC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 477

Opening Case Scenario: Terrible Tragedy Today . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 478

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 478

Crisis Management in the Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479 Crisis Terms and Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479 Crisis Misconceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 481

Preparing for Crisis Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 482 General Preparation Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 482 Organizing the Crisis Management Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 483

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Crisis Management Critical Success Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485 Developing the Crisis Management Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487 Crisis Management Training and Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 490

Ongoing Case: Alert Roster Test at HAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 491

Post-crisis Trauma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 494 Posttraumatic Stress Disorder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 494 Employee Assistance Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495 Immediately after the Crisis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495

Getting People Back to Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496 Dealing with Loss. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496

Law Enforcement Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 497 Federal Agencies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 498 Local Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502

Managing Crisis Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502 Crisis Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502

The 11 Steps Of Crisis Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 503 Avoiding Unnecessary Blame . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508

Succession Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 509 Elements of Succession Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510 Succession Planning Approaches for Crisis Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 512

International Standards in IR/DR/BC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513 NIST Standards and Publications in IR/DR/BC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513 ISO Standards and Publications in IR/DR/BC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513 Other Standards and Publications in IR/DR/BC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515

Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517

Review Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519

Real-World Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519

Hands-On Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520

Closing Case Scenario: Boorish Board Behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525

Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525

APPENDIX A Sample Business Continuity Plan for ABC Co. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 529

APPENDIX C Sample Crisis Management Plan for Hierarchical Access, Ltd. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 565

GLOSSARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577

INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583

xiv Table of Contents

Preface

As global networks expand the interconnection of the world’s technically complex infra- structure, communication and computing systems gain added importance. Information secu- rity has gained in importance as a professional practice, and information security has emerged as an academic discipline. Recent events, such as malware attacks and successful hacking efforts, have pointed out the weaknesses inherent in unprotected systems and exposed the need for heightened security of these systems. In order to secure technologically advanced systems and networks, both education and the infrastructure to deliver that educa- tion are needed to prepare the next generation of information technology and information security professionals to develop a more secure and ethical computing environment. There- fore, improved tools and more sophisticated techniques are needed to prepare students to recognize the threats and vulnerabilities present in existing systems and to design and develop the secure systems needed in the near future. Many years have passed since the need for improved information security education has been recognized, and as Dr. Ernest McDuffie of NIST points out:

While there is no doubt that technology has changed the way we live, work, and play, there are very real threats associated with the increased use of technology and our growing dependence on cyberspace….

Education can prepare the general public to identify and avoid risks in cyber- space; education will ready the cybersecurity workforce of tomorrow; and

education can keep today’s cybersecurity professionals at the leading edge of the latest technology and mitigation strategies.

Source: NIST

The need for improvements in information security education is so great that the U.S. National Secu- rity Agency (NSA) has established Centers of Academic Excellence in Information Assurance, as described in Presidential Decision Directive 63, “The Policy on Critical Infrastructure Protection,” May 1998:

The program goal is to reduce vulnerabilities in our National Information Infrastructure by promoting higher education in information assurance, and producing a growing num- ber of professionals with IA expertise in various disciplines.

Source: National Security Agency

The technical nature of the dominant texts on the market does not meet the needs of students who have a major other than computer science, computer engineering, or electronic engineering. This is a key concern for academics who wish to focus on delivering skilled undergraduates to the commer- cial information technology (IT) sector. Specifically, there is a clear need for information security, information systems, criminal justice, political science, and accounting information systems students to gain a clear understanding of the foundations of information security.

Approach This book provides an overview of contingency operations and its components as well as a thorough treatment of the administration of the planning process for incident response, disaster recovery, and business continuity. It can be used to support course delivery for information-security-driven programs targeted at information technology students, as well as IT management and technology management curricula aimed at business or technical management students.

Learning Support—Each chapter includes a Chapter Summary and a set of open-ended Review Questions. These are used to reinforce learning of the subject matter presented in the chapter.

Chapter Scenarios—Each chapter opens and closes with a case scenario that follows the same fic- tional company as it encounters various contingency planning or operational issues. The closing sce- nario also includes a few discussion questions. These questions give the student and the instructor an opportunity to discuss the issues that underlie the content.

Hands-On Learning—At the end of each chapter, Real-World Exercises and Hands-On Projects are provided. These give students the opportunity to examine the contingency planning arena outside the classroom. Using these exercises, students can pursue the learning objectives listed at the begin- ning of each chapter and deepen their understanding of the text material.

Boxed Examples—These supplemental sections, which feature examples not associated with the ongoing case study, are included to illustrate key learning objectives or extend the coverage of plans and policies.

New to This Edition This edition provides a greater level of detail than the previous edition, specifically in the examination of incident response activities. It incorporates new approaches and methods that have been developed at NIST. Although the material on disaster recovery, business continuity, and crisis management has not

xvi Preface

been reduced, the text’s focus now follows that of the IT industry in shifting to the prevention, detection, reaction to, and recovery from computer-based incidents and avoidance of threats to the security of infor- mation. We are fortunate to have had the assistance of a reviewer who worked as a contributing author for NIST, ensuring alignment between this text and the methods recommended by NIST.

Author Team Long-time college professors and information security professionals Michael Whitman and Herbert Mattord have jointly developed this text to merge knowledge from the world of academic study with practical experience from the business world. Professor Andrew Green has been added to this proven team to add a new dimension of practical experience.

Michael Whitman, Ph.D., CISM, CISSP Michael Whitman is a professor of information security and assurance in the Information Systems Department, Michael J. Coles College of Business at Ken- nesaw State University, Kennesaw, Georgia, where he is the director of the KSU Center for Informa- tion Security Education (infosec.kennesaw.edu). Dr. Whitman has over 20 years of experience in higher education, with over 12 years of experience in designing and teaching information security courses. He is an active researcher in information security, fair and responsible use policies, and computer-use ethics. He currently teaches graduate and undergraduate courses in information secu- rity. He has published articles in the top journals in his field, including Information Systems Research, Communications of the ACM, Information and Management, Journal of International Business Studies, and Journal of Computer Information Systems. He is a member of the Association for Computing Machinery and the Association for Information Systems. Under Dr. Whitman’s lead- ership, Kennesaw State University has been recognized by the National Security Agency and the Department of Homeland Security as a National Center of Academic Excellence in Information Assurance Education three times; the university’s coursework has been reviewed by national-level information assurance subject matter experts and determined to meet the national training standard for information systems security professionals. Dr. Whitman is also the coauthor of Principles of Information Security, 4th edition; Management of Information Security, 4th edition; Readings and Cases in the Management of Information Security; Readings and Cases in Information Security: Law and Ethics; The Hands-On Information Security Lab Manual, 3rd edition; Roadmap to the Management of Information Security for IT and Information Security Professionals; Guide to Fire- walls and VPNs, 3rd edition; Guide to Firewalls and Network Security, 2nd edition; and Guide to Network Security, all published by Course Technology. In 2012, Dr. Whitman was selected by the Colloquium for Information Systems Security Education as the recipient of the 2012 Information Assurance Educator of the Year award.

Herbert Mattord, Ph.D. CISM, CISSP Herbert Mattord completed 24 years of IT industry experi- ence as an application developer, database administrator, project manager, and information security practitioner before joining the faculty of Kennesaw State University in 2002. Dr. Mattord is an assistant professor of information security and assurance and the coordinator for the Bachelor of Business Administration in Information Security and Assurance program. He is the operations man- ager of the KSU Center for Information Security Education and Awareness (infosec.kennesaw.edu) as well as the coordinator for the KSU certificate in Information Security and Assurance. During his career as an IT practitioner, Dr. Mattord has been an adjunct professor at: Kennesaw State Uni- versity; Southern Polytechnic State University in Marietta, Georgia; Austin Community College in Austin, Texas; and Texas State University: San Marcos. He currently teaches undergraduate courses in information security, data communications, local area networks, database technology, project management, systems analysis and design, and information resources management and policy. He

Preface xvii

was formerly the manager of corporate information technology security at Georgia-Pacific Corpora- tion, where much of the practical knowledge found in this textbook was acquired. Professor Mat- tord is also the coauthor of Principles of Information Security, 4th edition; Management of Informa- tion Security, 4th edition; Readings and Cases in the Management of Information Security; Readings and Cases in Information Security: Law and Ethics; The Hands-On Information Security Lab Man- ual, 3rd edition; Roadmap to the Management of Information Security for IT and Information Security Professionals; Guide to Firewalls and VPNs, 3rd edition; Guide to Firewalls and Network Security, 2nd edition; and Guide to Network Security, all published by Course Technology.

Andrew Green, MSIS Andrew Green is a lecturer of information security and assurance in the Informa- tion Systems Department, Michael J. Coles College of Business at Kennesaw State University, Kennesaw, Georgia. Mr. Green has over a decade of experience in information security. Prior to entering academia full time, he worked as an information security consultant, focusing primarily on the needs of small and medium-sized businesses. Prior to that, he worked in the healthcare IT field, where he developed and supported transcription interfaces for medical facilities throughout the United States. Mr. Green is also a full-time Ph.D. student at Nova Southeastern University, where he is studying information systems with a concentration in information security. He is the coauthor of Guide to Firewalls and VPNs, 3rd edition andGuide to Network Security, both published by Course Technology.

Structure The textbook is organized into 12 chapters and 3 appendices. Here are summaries of each chapter’s contents:

Chapter 1. An Overview of Information Security and Risk Management This chapter defines the concepts of information security and risk management and explains how they are integral to the management processes used for incident response and contingency planning.

Chapter 2. Planning for Organizational Readiness The focus of this chapter is on how an organiza- tion can plan for and develop organizational processes and staffing appointments needed for suc- cessful incident response and contingency plans.

Chapter 3. Contingency Strategies for IR/DR/BC This chapter explores the relationships between contingency planning and the subordinate elements of incident response, business resumption, disas- ter recovery, and business continuity planning. It also explains the techniques used for data and application backup and recovery.

Chapter 4. Incident Response: Planning This chapter expands on the incident response planning process to include processes and activities that are needed as well as the skills and techniques used to develop such plans.

Chapter 5. Incident Response: Detection and Decision Making This chapter describes how incidents are detected and how decision making regarding incident escalation and plan activation occur.

Chapter 6. Incident Response: Organizing and Preparing the CSIRT This chapter presents the details of the actions that the CSIRT performs and how they are designed and developed.

Chapter 7. Incident Response: Response Strategies This chapter describes IR reaction strategies and how they are applied to incidents.

xviii Preface

Chapter 8. Incident Response: Recovery and Maintenance This chapter describes how an organiza- tion plans for and executes the recovery process when an incident occurs; it also expands on the steps involved in the ongoing maintenance of the IR plan.

Chapter 9. Disaster Recovery: Preparation and Implementation This chapter explores how organi- zations prepare for disasters and recovery from disasters.

Chapter 10. Disaster Recovery: Operation and Maintenance This chapter presents the challenges an organization faces when engaged in DR operations and how such challenges are met.

Chapter 11. Business Continuity Planning This chapter covers how organizations ensure continu- ous operations even when the primary facilities used by the organization are not available.

Chapter 12. Crisis Management and International Standards in IR/DR/BC This chapter covers the role of crisis management and recommends the elements of a plan to prepare for crisis response. The chapter also covers the key international standards that affect IR, DR, and BC.

Appendices. The three appendices present sample BC and crisis management plans and templates.

Text and Graphic Conventions Wherever appropriate, additional information and exercises have been added to this book to help you better understand what is being discussed in the chapter. Icons throughout the text alert you to additional materials. The icons used in this textbook are described here:

Notes present additional helpful material related to the subject being described.

Offline boxes offer material that expands on the chapter’s contents but that may not be central to the learning objectives of the chapter.

Technical Details boxes provide additional technical information on informa- tion security topics.

Real World Exercises are structured activities to allow students to enrich their understanding of selected topics presented in the chapter by exploring Web- based or other widely available resources.

Hands-On Projects offer students the chance to explore the technical aspects of the theories presented in the chapter.

Preface xix

Instructor’s Materials The following supplemental materials are available for use in a classroom setting. All the supple- ments available with this book are provided to the instructor on a single CD-ROM (ISBN: 9781111138066) and online at the textbook’s Web site.

Please visit login.cengage.com and log in to access instructor-specific resources.

To access additional course materials, please visit www.cengagebrain.com. At the CengageBrain.com home page, search for the ISBN of your title (from the back cover of your book) using the search box at the top of the page. This will take you to the product page, where these resources can be found.

Additional materials designed especially for you might be available for your course online. Go to www.cengage.com/coursetechnology and search for this book title periodically for more details.

Electronic Instructor’s Manual—The Instructor’s Manual that accompanies this textbook includes additional instructional material to assist in class preparation, including suggestions for classroom activities, discussion topics, and additional projects.

Solution Files—The Solution Files include answers to selected end-of-chapter materials, including the Review Questions and some of the Hands-On Projects.

ExamView—This textbook is accompanied by ExamView, a powerful testing software package that allows instructors to create and administer printed, computer (LAN-based), and Internet exams. ExamView includes hundreds of questions that correspond to the topics covered in this text, enabling students to generate detailed study guides that include page references for further review. The computer-based and Internet testing components allow students to take exams at their compu- ters, and also save the instructor time by grading each exam automatically.

PowerPoint Presentations—This book comes with Microsoft PowerPoint slides for each chapter. These are included as a teaching aid for classroom presentation. They can also be made available to students on the network for chapter review, or they can be printed for classroom distribution. Instruc- tors, feel free to add your own slides for additional topics you introduce to the class.

Information Security Community Site—Stay Secure with the Information Security Community Site! Connect with students, professors, and professionals from around the world, and stay on top of this ever-changing field.

● Visit www.cengage.com/community/infosec. ● Download resources such as instructional videos and labs. ● Ask authors, professors, and students the questions that are on your mind in our Discussion

Forums. ● See up-to-date news, videos, and articles. ● Read author blogs. ● Listen to podcasts on the latest Information Security topics.

Acknowledgments The authors would like to thank their families for their support and understanding for the many hours dedicated to this project, hours taken in many cases from family activities. Special thanks to Karen Scarfone, coauthor of several NIST SPs. Her reviews and suggestions resulted in a more read- able manuscript. Additionally, the authors would like to thank Doug Burks, primary developer of

xx Preface

the Security Onion project used in this textbook. Doug’s insight and suggestions for the Hands-On Projects helped make them more robust and practical for students to use.

Reviewers We are indebted to the following individuals for their respective contributions of perceptive feed- back on the initial proposal, the project outline, and the individual chapters of the text:

Karen Scarfone, Scarfone Cybersecurity Gary Kessler, Embry-Riddle Aeronautical University

Special Thanks The authors wish to thank the editorial and production teams at Course Technology. Their diligent and professional efforts greatly enhanced the final product:

Michelle Ruelos Cannistraci, Senior Product Manager

Kent Williams, Developmental Editor

Nick Lombardi, Acquisitions Editor

Andrea Majot, Senior Content Project Manager

Nicole Ashton Spoto, Technical Editor

In addition, several professional and commercial organizations and individuals have aided the development of the textbook by providing information and inspiration, and the authors wish to acknowledge their contribution:

Bernstein Crisis Management

Continuity Central

Information Systems Security Associations

Institute for Crisis Management

National Institute of Standards and Technology

Oracle, Inc.

Purdue University

Rothstein Associates, Inc.

SunGard

Our colleagues in the Department of Information Systems and the Michael J. Coles College of Business, Kennesaw State University

Dr. Amy Woszczynski, Interim Chair of the Department of Information Systems, Michael J. Coles College of Business, Kennesaw State University

Dr. Kathy Schwaig, Dean of the Michael J. Coles College of Business, Kennesaw State University

Our Commitment The authors are committed to serving the needs of the adopters and readers. We would be pleased and honored to receive feedback on the textbook and its supporting materials. You can contact us through Course Technology.

Preface xxi

chapter1

An Overview of Information Security and Risk Management

An ounce of prevention is worth a pound of cure. —Benjamin Franklin

Upon completion of this material, you should be able to: ● Define and explain information security ● Identify and explain the basic concepts of risk management ● List and discuss the components of contingency planning ● Describe the role of information security policy in the development of contingency plans

Introduction This book is about being prepared for the unexpected, being ready for such events as incidents and disasters. We call this contingency planning, and the sad fact is that most organizations don’t incorporate it into their day-to-day business activities. Such organi- zations are often not well prepared to offer the proper response to a disaster or security incident. By July 2012, Internet World Stats estimated that there were over 2.4 billion people online,1 representing one third of the world’s 6.9 billion population. Each one of those online users is a potential threat to any online system. The vast majority of Inter- net users will not intentionally probe, monitor, attack, or attempt to access an organiza- tion’s information without authorization; however, that potential does exist. If even less than 1/10 of 1 percent of online users make the effort, the result would be almost two and a half million potential attackers.

Paul Alexander and his boss Amanda Wilson were sitting in Amanda’s office discussing the coming year’s budget when they heard a commotion in the hall. Hearing his name mentioned, Paul stuck his head out the door and saw Jonathon Jasper (“JJ” to his friends) walking quickly toward him.

“Paul!” JJ called again, relieved to see Paul waiting in Amanda’s office. “Hi, Amanda,” JJ said, then, looking at Paul, he added, “We have a problem.” JJ was

one of the systems administrators at Hierarchical Access LTD (HAL), a Georgia-based Internet service provider that serves the northwest region of metropolitan Atlanta.

Paul stepped out into the hall, closing Amanda’s door behind him. “What’s up, JJ?” “I think we’ve got someone sniffing around the e-mail server,” JJ replied. “I just

looked at the log files, and there is an unusual number of failed login attempts on accounts that normally just don’t have that many, like yours!”

Paul paused a moment. “But the e-mail server’s proxied,” he finally said to JJ, “which means it must be an

internal probe.” “Yeah, that’s why it’s a problem,” JJ replied. “We haven’t gotten this kind of thing

since we installed the proxy and moved the Web and e-mail servers inside the DMZ. It’s got to be someone in-house.”

JJ looked exasperated. “And after all that time I spent conducting awareness training!” “Don’t worry just yet,” Paul told him. “Let’s make a few calls, and then we’ll go

from there. Grab your incident response book and meet me in the conference room in 10 minutes. Grab Tina in network operations on the way.”

Opening Case Scenario: Pernicious Proxy Probing

2 Chapter 1 An Overview of Information Security and Risk Management

1 In the weeks that followed the September 11, 2001 attacks in New York, Pennsylvania, and Washington D.C., the media reported on the disastrous losses that various organizations were suffering. Still, many organizations were able to continue conducting business. Why? The reason is that those organizations were prepared for unexpected events. The cataclysm in 2001 was not the first attack on the World Trade Center (WTC). On February 26, 1993, a car bomb exploded beneath one of the WTC towers, killing 6 and injuring over 1000. The attack was limited in its devastation only because the attackers weren’t able to acquire all the components for a coordinated bomb and cyanide gas attack.2

Still, this attack was a wake-up call for the hundreds of organizations that conducted business in the WTC. Many began asking the question, “What would we have done if the attack had been more successful?” As a direct result, many of the organizations occupying the WTC on September 11, 2001 had developed contingency plans. Although thousands of people lost their lives in the attack, many were able to evacuate, and many organizations were prepared to resume their businesses in the aftermath of the devastation.

A 2008 Gartner report found that two out of three organizations surveyed had to invoke their disaster recovery or business continuity plans in the two years preceding the study.3 Consider- ing that nearly 80 percent of businesses affected by a disaster either never reopen or close within 18 months of the event, having a disaster recovery and business continuity plan is vital to sustaining operations when disasters strike.4 Considering the risks, it is imperative that management teams create, implement, and test effective plans to deal with incidents and disasters. For this reason, the field of information security has been steadily growing and is taken seriously by more and more organizations, not only in the United States but throughout the world.

Before we can discuss contingency planning in detail, we must introduce some critical con- cepts of which contingency planning is an integral part. The first of these, which serves as the overall disciplinary umbrella, is information security. This refers to many interlinked programs and activities that work together to ensure the confidentiality, integrity, and availability of the information used by organizations. This includes steps to ensure the protection of organiza- tional information systems, specifically during incidents and disasters. Because information security is a complex subject, which includes risk management as well as information security policy, it is important to have an overview of that broad field and an understanding of these major components. Contingency planning is an important element of information security, but before management can plan for contingencies, it should have an overall strategic plan for information security in place, including risk management processes to guide the appropriate managerial and technical controls. This chapter serves as an overview of information security, with special consideration given to risk management and the role that contingency planning plays in (1) information security in general and (2) risk management in particular.

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