1. Incident Response Process Forensics

2. Acknowledgments Material is sourced from:
CISA® Review Manual 2011, ©2010, ISACA. All rights reserved. Used by permission.
CISM® Review Manual 2012, ©2011, ISACA. All rights reserved. Used by permission.
Author: Susan J Lincke, PhD
Univ. of Wisconsin-Parkside
Reviewers/Contributors: Todd Burri, Kahili Cheng
Funded by National Science Foundation (NSF) Course, Curriculum and Laboratory Improvement (CCLI) grant : Information Security: Audit, Case Study, and Service Learning.
Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and/or source(s) and do not necessarily reflect the views of the National Science Foundation.
Slides are mainly taken from the CISM Manual, except where indicated by separate notes.

3. Objectives Students should be able to:
Define and describe an incident response plan and business continuity plan
Define recovery terms: interruption window, service delivery objective, maximum tolerable outage, alternate mode, acceptable interruption window
Describe incident management team, incident response team, proactive detection, triage
Define and describe computer forensics: authenticity, continuity, forensic copy, chain of custody, imaging, extraction, ingestion or normalization, case log, investigation report
Develop a high-level incident response plan

4. How to React to…? Fire! Stolen Laptop Social Engineering
Denial of Service
Accidents
Viruses
Stolen Laptop
Social Engineering
Theft of Proprietary Information
Any business wants to be able to plan for the future, which means they need a reasonable assurance about what to expect. Incident response is about planning for the unexpected.
System Failure
Hacker Intrusion
Lost Backup Tape
Fire!

5. Incident Response vs. Business Continuity
Incident Response Planning (IRP)
Security-related threats to systems, networks & data
Data confidentiality
Non-repudiable transactions
Business Continuity Planning
Disaster Recovery Plan
Continuity of Business Operations
IRP is part of BCP and can be *the first step*
Business continuity planning has broader scope than IRP; how will you continue to do business (and earn profits and pay your employees) after an incident that disrupts it? In addition to purely IT systems, ‘threats to systems..’ etc includes threats to infrastructure and personnel; physical storage, skill inventory and so on.
Incident Response – focuses on IT attacks and prevention
Business Continuity focuses on business, of which IT is an important part, but only a part of the story.

6. Recovery Terms
Interruption Window: Time duration organization can wait between point of failure and service resumption
Service Delivery Objective (SDO): Level of service in Alternate Mode
Maximum Tolerable Outage: Max time in Alternate Mode
Disaster
Recovery
Plan Implemented
Regular Service
Regular
Service
Alternate Mode
The interruption window is the time between failure and restoration of a minimal level of critical services – the minimum needed to carry on. The MTO is the acceptable time between failure and return to full operations.
Recovery time objective (RTO) is the maximum time between an incident and alternate mode becoming available; that is, the length of the acceptable interruption window.
SDO
Time…
Restoration
Plan Implemented
(Acceptable)
Interruption
Window
Interruption
Maximum Tolerable Outage

7. IRT: Incident Response Team
Vocabulary
IMT: Incident Management Team
IS Mgr leads, includes steering committee, IRT members
Develop strategies & design plan for Incident Response,
integrating business, IT, BCP, and risk management
Obtain funding, Review postmortems
Meet performance & reporting requirements
IRT: Incident Response Team
Handles the specific incident. Has specific knowledge relating to:
Security, network protocols, operating systems, physical
security issues, malicious code, etc.
Permanent (Full Time) Members: IT security specialists,
incident handlers, investigator
Virtual (Part Time) Members: Business (middle mgmt), legal,
public relations, human resources, physical security, risk, IT
The slide shows higher ranking positions on top, lower ranking on the bottom.

8. Incident Response Plan (IRP)
Preparation
Plan PRIOR to Incident
Identification
Determine what is/has happened
Containment
& Escalation
Limit incident
[If data breach]
Analysis &
Eradication
The next slides will go through these steps in detail.
Source:  CISM® Review Manual 2009, © 2008, ISACA. All rights reserved. Used by permission.
Determine and remove
root cause
Notification
Notify any data
breach victims
Return operations
to normal
Ex-Post
Response
Establish call center,
reparation activities
Recovery
Lessons
Learned
Process improvement:
Plan for the future

9. Stage 1: Preparation
What shall we do if different types of incidents occur? (BIA helps)
When is the incident management team called?
How can governmental agencies or law enforcement help?
When do we involve law enforcement?
What equipment do we need to handle an incident?
What shall we do to prevent or discourage incidents from occurring? (e.g. banners, policies)
Where on-site & off-site shall we keep the IRP?
A business impact assessment (BIA) should be conducted by each business process (department, whatever) to determine how an incident will affect it and what steps should be taken to mitigate or respond to it. This is part of risk management as well as incident response.
The incident response plan (IRP) is the document that contains procedures to follow in case of an emergency (see slide 11). It should be usable by someone who wasn’t involved in its creation, and needs to be accessible in unusual circumstances – if the only copy is in your desk drawer when a fire guts your office building, then you’re doing it wrong.
Bullet 3, 4: meet with government emergency management (law enforcement, etc) to learn what they are capable of and how they prefer to operate.

10. (1) Detection Technologies
Organization must have sufficient detection & monitoring capabilities to detect incidents in a timely manner
Proactive Detection includes:
Network Intrusion Detection/Prevention System (NIDS/NIPS)
Host Intrusion Detection/Prevention System (HIDS/HIPS)
Includes personal firewalls
Security Information and Event Management (Logs)
Vulnerability/audit testing
Centralized Incident Management System
Input: Server, system logs
Coordinates & co-relates logs from many systems
Tracks status of incidents to closure
Reactive Detection: Reports of unusual or suspicious activity
You can’t determine if an incident has occurred unless there are detection techniques. It makes sense that there is a detection technique and/or metric for each risk of concern. The above tools do not need to be implemented, depending on the decision of risk assessment. However, they are useful tools for detecting incidents.

11. (1) Management Participation
Management makes final decision
As always, senior management has to be convinced that this is worth the money.
Actual Costs: Ponemon Data Breach Study, 2013, Sponsored by Symantec
Expenses Following a Breach
Average Cost
Detection and Escalation: forensic investigation, audit, crisis mgmt., board of directors involvement
$400,000
Notification: legal expertise, contact database development, customer communications
$570,000
Post Breach Response: help desk and incoming communications, identity protection services, legal and regulatory expenses, special investigations
$1,410,000
Lost Business: abnormal customer churn, customer procurement, goodwill
$3,030,000
Redundancy costs are costs of alternate equipment/lines to deal with incidents. The cost of the redundancy and detection can be weighed against the Business Impact Analysis costs when incidents occur – and the impact of how loss of computing facilities might translate into lost income.

12. Workbook Incident Types
Description
Methods of Detection
Procedural Response
Intruder accesses internal network
Firewall, database, IDS, or server log indicates a probable intrusion.
Daily log evaluations,
high priority alerts
IT/Security addresses incident within 1 hour: Follow: Network Incident Procedure Section.
Break-in or theft
Computers, laptops or memory is stolen.
Security alarm set for off-hours; or employee reports missing device.
/call Management & IT immediately. Management calls police. Security initiates tracing of laptops via location software, writes Incident Report, evaluates if breach occurred.
Social Engineering
Suspicious social engineering attempt OR information was divulged later recognized as inappropriate.
Training of staff leads to report from staff
Report to Management & Security. Warn employees of attempt as added training.
Security evaluates if breach occurred, writes incident report.
This is in an abbreviated form to fit on a slide. The Method of Detection is how we will know if an incident occurs. There may be many methods. The procedural response can refer to another document, which has a more extensive description. (Short form shown here)

13. Stage 2: Identification
Triage: Categorize, prioritize and assign events and incidents
What type of incident just occurred?
What is the severity of the incident?
Severity may increase if recovery is delayed
Who should be called?
Establish chain of custody for evidence
You may remember from MASH (TV show and movie) that Triage is about stopping bleeding and prioritizing injuries to maximize the probability of survival. Same thing here: determining what is wrong and taking the correct first actions until the bleeding stops and the experts are ready to take over.
How to declare a disaster involves more than communication; it also means when to declare a disaster, as opposed to some lesser incident. You want your response to be proportional to the scale of the incident . If you overreact (shutting down the entire network over one unauthorized entry) you’ll waste a lot of time and money. If you underreact, the incident may become a lot worse than it already is.

14. (2) Triage
Snapshot of the known status of all reported incident activity
Sort, Categorize, Correlate, Prioritize & Assign
Categorize: DoS, Malicious code, Unauthorized access, Inappropriate usage, Multiple components
Prioritize: Limited resources requires prioritizing response to minimize impact
Assign: Who is free/on duty, competent in this area?
Triage happens at a hospital: When you come in you are asked questions to determine how long you can wait to see a doctor. (You get prioritized compared to the other emergency patients.) They may bandage you to stop any bleeding, but think military war zone: a full operation is not done.

15. (2) Chain of Custody
Evidence must follow Chain of Custody law to be admissible/acceptable in court
Include: specially trained staff, 3rd party specialist, law enforcement, security response team
System administrator can:
Retrieve info to confirm an incident
Identify scope and size of affected environment (system/network)
Determine degree of loss/alteration/damage
Identify possible path of attack
Chain of Custody will be necessary if anything will go to court. Need to be concerned with this right from the start, if a concern.
Chain of Custody requires that a witness be present for all actions taken, that a qualified ‘expert’ does the incident response and forensic work (or the work accomplished stands up in court as professional), that the original disk is not modified, and that the whereabouts of the disk is always secure from the point of the incident on – locked, limited key access, witnessed, etc.

16. Stage 3: Containment Activate Incident Response Team to contain threat
IT/security, public relations, mgmt, business
Isolate the problem
Take infected server off network
Change firewall configurations to stop attacker
Obtain & preserve evidence
Employees who are not directly involved in incident response still need to know their roles, even if its just to get out of the way and let the IRT work.
The proper actions are defined in the Incident Response plan, which should always be followed. For example, no one should be talking to the news accept public relations or top management.

17. (3) Containment - Response
Technical
Collect data
Analyze log files
Obtain further technical assistance
Deploy patches & workarounds
Managerial
Business impacts result in mgmt intervention, notification, escalation, approval
Legal
Issues related to: investigation, prosecution, liability, privacy, laws & regulation, nondisclosure
Issues may affect IT, management, and even legal, depending on the incident.

18. Stage 4: Analysis & Eradication
Determine how the attack occurred: who, when, how, and why?
What is impact & threat? What damage occurred?
Remove root cause:
Rebuild System
Talk to ISP to get more information
Perform vulnerability analysis
Improve defenses with enhanced protection techniques
Discuss recovery with management, who must make decisions on handling affecting other areas of business
Forensics can be a useful tool here.
Rebuilding may be necessary is someone attacked your computer – and entered as admin in particular. While some of the malware may be detected, it is possible that backdoors and rootkit parts may not be detected – including replaced OS software or new login/passwords added. So you may know part of what the attacker did, but not all. It would be best to rebuild the entire system, when in doubt, if security is a concern.

19. (4) Analysis What happened? Who was involved?
What was the reason for the attack?
Where did attack originate from?
When did the initial attack occur?
How did it happen?
What vulnerability enabled the attack?
Here it is time to determine the root of the problem and its effects.

20. (4) Remove root cause If Admin or Root compromised, rebuild system
Implement recent patches & recent antivirus
All passwords should be changed

21. Stage 5: Recovery Restore operations to normal
Ensure that restore is fully tested and operational

22. Workbook Incident Handling Response
Incident Type: Malware detected by Antivirus software
Contact Name & Information: Computer Technology Services Desk: (O)
Emergency Triage Procedure:
Disconnect computer from Internet/WLAN. Do not reconnect. Allow anti-virus to fix problem, if possible. Report to IT first thing during next business day.
Escalation Conditions and Steps:
If laptop contained confidential information, investigate malware to determine if intruder obtained entry. Determine if Breach Law applies.
Containment, Analysis & Eradication Procedure:
If confidential information was on the computer (even though encrypted), malware may have sent sensitive data across the internet; A forensic investigation is required.
Next, determine if virus=dangerous and user=admin:
Type A: return computer. (A=Virus not dangerous and user not admin.)
Type B: Rebuild computer. (B=Either virus was dangerous and/or user was admin)
Password is changed for all users on the computer.
Other Notes (Prevention techniques):
Note: Antivirus should record type of malware to log system.
This is an abbreviated form to fit on one page. Some incidents will be heavy in certain areas compared to others. In this case, emergency triage is not a big concern – only that the matter not become worse by continuing to allow the computer to be Internet-accessible.

23. Stage 6: Lessons Learned
Follow-up includes:
Writing an Incident Report
What went right or wrong in the incident response?
How can process improvement occur?
How much did the incident cost (in loss & handling & time)
Present report to relevant stakeholders
This slide refers mainly to the incident process itself and how to make it better for the next time. However it is also a good time to review preventative measures. Were they adequate (given that they failed) and was the cost of the incident high enough to justify spending more resources in order to avoid another?

24. Planning Processes Risk & Business Impact Assessment
Response & Recovery Strategy Definition
Document IRP and DRP
Train for response & recovery
Update IRP & DRP
Test response & recovery
Audit IRP & DRP
IRP=Incident Response Plan. - security incident
DRP=Disaster Response Plan - business incident affecting IT

25. Training Introductory Training: First day as IMT
Mentoring: Buddy system with longer-term member
Formal Training
On-the-job-training
Training due to changes in IRP/DRP
Everyone needs to know their roles in maintaining security. These are different methods of training.

26. Types of Penetration Tests
External Testing: Tests from outside network perimeter
Internal Testing: Tests from within network
Blind Testing: Penetration tester knows nothing in advance and must do web research on company
Double Blind Testing: System and security administrators also are not aware of test
Targeted Testing: Have internal information about a target. May have access to an account.
Written permission must always be obtained first
CISA Review Manual 2009

27. Incident Management Metrics
# of Reported Incidents
# of Detected Incidents
Average time to respond to incident
Average time to resolve an incident
Total number of incidents successfully resolved
Proactive & Preventative measures taken
Total damage from reported or detected incidents
Total damage if incidents had not been contained in a timely manner
Keep in mind, just because you don’t detect any incidents doesn’t mean there aren’t any.

28. Challenges
Management buy-in: Management does not allocate time/staff to develop IRP
Top reason for failure
Organization goals/structure mismatch: e.g., National scope for international organization
IMT Member Turnover
Communication problems: Too much or too little
Plan is to complex and wide

29. Question
The MAIN challenge in putting together an IRP is likely to be:
Getting management and department support
Understanding the requirements for chain of custody
Keeping the IRP up-to-date
Ensuring the IRP is correct 1

30. Question The PRIMARY reason for Triage is:
To coordinate limited resources
To disinfect a compromised system
To determine the reasons for the incident
To detect an incident 1

31. Question
When a system has been compromised at the administrator level, the MOST IMPORTANT action is:
Ensure patches and anti-virus are up-to-date
Change admin password
Request law enforcement assistance to investigate incident
Rebuild system
4, The system must be rebuilt. Concerning 2, all passwords should be changed. 1 must also be done, after the rebuild.

32. Question The BEST method of detecting an incident is:
Investigating reports of discrepancies
NIDS/HIDS technology
Regular vulnerability scans
Job rotation
2. This is proactive and is likely to detect incidents earlier than the other methods

33. Question
The person or group who develops strategies for incident response includes:
CISO
CRO
IRT
IMT
IMT: Incident Management Team -> 4= Correct Answer. Others participate, including:
CISO: Chief Info Security Officer
CRO: Chief Risk Officer
IRT: Incident Response Team

34. Question
The FIRST thing that should be done when you discover an intruder has hacked into your computer system is to:
Disconnect the computer facilities from the computer network to hopefully disconnect the attacker
Power down the server to prevent further loss of confidentiality and data integrity
Call the police
Follow the directions of the Incident Response Plan
The decision of what should occur is a business decision. Governance or Senior Business Management should decide and this decision should be documented in the Incident Response Plan.
By the way, you are right, this was not covered in the notes. CISA and CISM do the same thing. That is why it is important to use their test questions after you understand the material.

35. Computer Investigation and Forensics
Computer Crime Investigation
Chain of Command
Computer Forensics

36. Computer Crime Investigation
Analyze
copied
images
Call Police
Or Incident
Response
Evidence must be unaltered
Chain of custody
professionally maintained
Four considerations:
Identify evidence
Preserve evidence
Analyze copy of evidence
Present evidence
Take photos of
surrounding area
Copy memory,
processes
files, connections
In progress
Preserve
original system
In locked storage
w. min. access
The solid vertical line indicates that the processes to the right may happen in parallel (UML notation.)
Definitions of the four considerations in computer forensics:
Identify: Define information available from the incident that might serve as evidence.
Preserve: Retrieving information and preserving it. For example, copied images and chain-of custody. Its important to preserve all evidence after it is collected.
Analyze: Extracting, processing and interpreting the evidence. For example, analyzing the copied image, to figure out what should be used as evidence for the company.
Present: Presenting the evidence to management, attorneys, court and necessary people. After the conclusion of presenting the evidence, the evidence will be accepted or not, depending on the qualifications of the presenter, and credibility of the process used to preserve and analyze the presented evidence.
Source:  CISA® Review Manual 2011, © 2010, ISACA. All rights reserved. Used by permission
Power
down
Copy disk

37. Computer Forensics Did a crime occur? If so, what occurred?
Evidence must pass tests for:
Authenticity: Evidence is a true and faithful original of the crime scene
Computer Forensics does not destroy or alter the evidence
Continuity: “Chain of custody” assures that the evidence is intact.
In court it is likely that there may be a disagreement of the drives and connectors that were available on the computer(s). Therefore, a picture of the computers and site may be required to eliminate all ambiguous discussion in court.

38. Chain of Custody Who did what to evidence when? (Witness is required)
11:47-1:05
Disk
Copied
RFT & PKB
11:05-11:44
System copied
PKB & RFT
11:04
Inc. Resp. team arrives
Time
Line
10:53 AM
Attack
observed
Jan K
11:15
System
brought
Offline
RFT
11:45
System
Powered down
PKB & RFT
1:15
System locked in static-free bag
in storage room
RFT & PKB
Trained staff and witnesses must observe and record all events and specific times. Evidence must always remain locked and untouched after being claimed.
Source:  CISA® Review Manual 2009, © 2008, ISACA. All rights reserved. Used by permission.
Who did what to evidence when?
(Witness is required)

39. Preparing Evidence Work with police to AVOID:
Contaminating the evidence
Voiding the chain of custody
Evidence is not impure or tainted
Written documentation lists chain of custody: locations, persons in contact – time & place
Infringing on the rights of the suspect
Warrant required unless…
Company permission given; in plain site; communicated to third party; evidence in danger of being destroyed; or normal part of arrest; ...

40. Computer Forensics
The process of identifying preserving, analyzing and presenting digital evidence for a legal proceeding
Having professional tools and forensic experts are necessary to survive an attorney’s attack in court.
The original disk remains unused and safely locked away. Forensic work can occur on an identical copy.
Source:  CISA® Review Manual 2009, © 2008, ISACA. All rights reserved. Used by permission.

41. Creating a Forensic Copy
2) Accuracy Feature:
Tool is accepted as accurate by the scientific community:
Original
Mirror
Image
4) One-way Copy:
Cannot modify
original
5) Bit-by-Bit Copy:
Mirror image
This shows the steps of taking a Forensic Copy of a disk.
Message digest (MD): a cryptographic hash function used to verify that no changes are made to the data being copied. The data is hashed, then copied. The copy process must not change the original data in any way – small changes in the original may create large changes in the MD. The copy should be precise (bit-by-bit) and must not be corrupted by anything on the copy medium. When the copy is complete it gets hashed too, and the two are compared. A complete and correct copy will produce an identical message digest. MDs can be faked, so chain of custody is still important.
The copy is used for forensic analysis, the original is kept safe as evidence for court.
3) Forensically Sterile:
Wipes existing data;
Records sterility
1) & 6) Calculate Message Digest:
Before and after copy
7) Calculate Message Digest
Validate correctness of copy

42. Computer Forensics
Data Protection: Notify people that evidence cannot be modified
Data Acquisition: Transfer data to controlled location
Copy volatile data
Interview witnesses
Write-protect devices
Imaging: Bit-for-bit copy of data
Extraction: Select data from image (logs, processes, deleted files)
Interrogation: Obtain info of parties from data (phone/IP address)
Ingestion/Normalization: Convert data to an understood format (ASCII, graphs, …)
Reporting: Complete report to withstand legal process
Source:  CISA® Review Manual 2009, © 2008, ISACA. All rights reserved. Used by permission.

43. Legal Report Describe incident details accurately
Be understandable and unambiguous
Offer valid conclusions, opinions, or recommendations
Fully describe how conclusion is reached
Withstand legal scrutiny
Be created in timely manner
Be easily referenced
Things to keep in mind while writing a report that may be used for legal purposes.
Source:  CISA® Review Manual 2009, © 2008, ISACA. All rights reserved. Used by permission.

44. Forensics: Chain of Custody Forms
Chain of Custody Form: Tracks where & how evidence was handled. Includes:
Name & Contact info of custodians
Detailed identification of evidence (e.g, model, serial #)
When, why, and by whom evidence was acquired or moved
Where stored
When/if returned
Detailed Activity Logs
Checklists for acquiring technicians
Signed non-disclosure forms
The purpose of the (basic) Chain of Custody form is to track where and how the evidence has been handled.
However, other forms also are types of Chain of Custody forms.

45. Forensics: Case Log Case log includes: Case number
Case basic notes, requirements, procedures
Dates when requests were received
Dates investigations were assigned to investigators
Date completed
Name and contact information for investigator and requestor
The purpose of the Case Log is to track all investigative assignments and activities.

46. Forensics: Investigation Report
Name and contact info for investigators
Case number
Dates of investigation
Details of interviews or communications
Details of devices or data acquired (model, serial #)
Details of software/hardware tools used (must be reputable in law)
Details of findings, including actual data
Signature of investigator

47. Question Authenticity requires: Chain of custody forms are completed
The original equipment is not touched during the investigation
Law enforcement assists in investigating evidence
The data is a true and faithful copy of the crime scene 4

48. Question
You are developing an Incident Response Plan. An executive order is that the network shall remain up, and intruders are to be pursued. Your first step is to…
Use commands off the local disk to record what is in memory
Use commands off of a memory stick to record what is in memory
Find a witness and log times of events
Call your manager and a lawyer in that order
Steps 2, 3, 4 are good selections, but 3 is your first responsibility.

49. Question What is NOT TRUE about forensic disk copies?
The first step in a copy is to calculate the message digest
Extraction and analysis for presentation in court should always occur on the original disk
Normalization is a forensics stage which converts raw data to an understood format (e.g., ASCII, graphs, …)
Forensic copies requires a bit-by-bit copy

50. Reference Slide # Slide Title Source of Information 6 Recovery Terms
CISM: page 230 8
Incident Response Plan (IRP)
CISM: page 221, 222 9
Stage 1: Preparation
CISM: page 221, 223 10
(1) Detection Technologies
CISM: page 222 14
Stage 2: Identification
CISM: page 222, 223 15
(2) Triage 17
Stage 3: Containment
CISM: page 223 18
(3) Containment – Response 19
Stage 4: Analysis & Eradication
CISM: page223 , 224 22
Stage 5: Recovery
CISM: page 224 24
Stage 6: Lessons Learned 25
Planning Processes
CISM: page 228 26
Training
CISM: page 227 27
Type of Penetration Tests
CISA: page 378 28
Incident Management Metrics
CISM: page 220 29
Challenges 37
Computer Crime Investigation
CISA: page 380 39
Chain of Custody 43
Computer Forensics
CISA: page 380, 381 44
Legal Report
CISA: page 381 45
Forensics: Chain of Custody Forms
CISA: page 375 and CISM: page 239 46
Forensics: Case Log
CISM: page 239 47
Forensics: Investigation Report