The CISSP Prep Guide, Second Edition Mastering the CISSP and ISSEP Exams phần 1 potx

xxiii 1 Part I: Focused Review of the CISSP Ten Domains Chapter 1: Security Management Practices.. Contents xv 485 Part II: The Information Systems Security Engineering Professional IS

The CISSP ®

Prep Guide, Second Edition: Mastering the

CISSP and

Ronald L Krutz and Russell Dean Vines

The CISSP ®

Prep Guide, Second Edition: Mastering the

CISSP and

Ronald L Krutz and Russell Dean Vines

The CISSP Prep Guide, Second Edition

Copyright © 2004 by Wiley Publishing, Inc., Indianapolis, Indiana All rights reserved

Published simultaneously in Canada

No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600 Requests to the Publisher for permission should be addressed to the Legal Department, Wiley Publishing, Inc., 10475 Crosspoint Blvd., Indianapolis, IN 46256, (317) 572-3447, fax (317) 572-4447, E-mail:

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LIMIT OF LIABILITY/DISCLAIMER OF WARRANTY: THE PUBLISHER AND THE AUTHOR MAKE NO REPRESENTATIONS OR WARRANTIES WITH RESPECT TO THE ACCURACY OR COMPLETENESS OF THE CONTENTS OF THIS WORK AND SPECIFICALLY DISCLAIM ALL WARRANTIES, INCLUDING WITHOUT LIMITATION WARRANTIES OF FITNESS FOR A PARTICULAR PURPOSE NO WARRANTY MAY BE CREATED OR EXTENDED BY SALES OR PROMOTIONAL MATERIALS THE ADVICE AND STRATEGIES CONTAINED HEREIN MAY NOT BE SUITABLE FOR EVERY SITUATION THIS WORK IS SOLD WITH THE UNDERSTANDING THAT THE PUBLISHER IS NOT ENGAGED IN RENDERING LEGAL, ACCOUNTING, OR OTHER PROFESSIONAL SERVICES IF PROFESSIONAL ASSISTANCE IS REQUIRED, THE SERVICES OF A COMPETENT PROFESSIONAL PERSON SHOULD BE SOUGHT NEITHER THE PUBLISHER NOR THE AUTHOR SHALL BE LIABLE FOR DAMAGES ARISING HEREFROM THE FACT THAT AN ORGANIZATION OR WEBSITE IS REFERRED TO IN THIS WORK AS

A CITATION AND/OR A POTENTIAL SOURCE OF FURTHER INFORMATION DOES NOT MEAN THAT THE AUTHOR OR THE PUBLISHER ENDORSES THE INFORMATION THE ORGANIZATION OR WEBSITE MAY PROVIDE OR RECOMMENDATIONS

IT MAY MAKE FURTHER, READERS SHOULD BE AWARE THAT INTERNET WEBSITES LISTED IN THIS WORK MAY HAVE CHANGED OR DISAPPEARED BETWEEN WHEN THIS WORK WAS WRITTEN AND WHEN IT IS READ

To Jean Vines, in memory of her son, Denny Jones — RDV

To each of my loved ones always keep a happy heart — RLK

Vice President and Executive Group Publisher

Text Design and Composition

Wiley Composition Services

Acknowledgments xix

Introduction xxiii

Preface to the 2nd Edition xxxi

Part I: Focused Review of the CISSP Ten Domains 1

Chapter 1: Security Management Practices 3

Chapter 2: Access Control Systems 45

Chapter 3: Telecommunications and Network Security 79

Chapter 4: Cryptography 203

Chapter 5: Security Architecture and Models 263

Chapter 6: Operations Security 301

Chapter 7: Applications and Systems Development 343

Chapter 9: Law, Investigation, and Ethics 411

Chapter 10: Physical Security 451

Professional (ISSEP) Concentration 485

Chapter 11: Systems Security Engineering 487

Chapter 12: Certification and Accreditation (C&A) 551

Chapter 13: Technical Management 589

Chapter 14: U.S Government Information Assurance (IA) Regulations 623

Part III: Appendices 649

Appendix A: Answers to Assessment Questions 651

Appendix B: Glossary of Terms and Acronyms 807

Appendix C: Sample SSAA 865

Appendix D: Excerpts from the Common Criteria 869

Appendix E: The Cost Analysis Process 907

Appendix F: National Information Assurance (IA) Glossary 931

Appendix G: What’s on the CD-ROM 987

End-User License Agreement 991

Index 993

Acknowledgments xix

Introduction xxiii

1 Part I: Focused Review of the CISSP Ten Domains Chapter 1: Security Management Practices 3

Domain Definition 4

Management Concepts 4

System Security Life Cycle 4

The Big Three 5

Other Important Concepts 6

Objectives of Security Controls 8

Information Classification Process 10

Information Classification Objectives 10

Information Classification Concepts 11

Information Classification Roles 14

Security Policy Implementation 18

Policies, Standards, Guidelines, and Procedures 18

Roles and Responsibilities 23

Risk Management 24

Principles of Risk Management 24

Overview of Risk Analysis 27

Security Awareness 34

Awareness 35

Training and Education 37

Assessment Questions 38

Chapter 2: Access Control Systems 45

Rationale 45

Controls 46

Models for Controlling Access 47

Access Control Attacks 50

Back Door 51

Spoofing 51

Man-in-the-Middle 51

Replay 52

TCP Hijacking 52

Social Engineering 52

Dumpster Diving 53

Password Guessing 53

Brute Force 53

Dictionary Attack 53

Software Exploitation 54

Trojan Horses 54

System Scanning 54

Penetration Testing 56

Identification and Authentication 57

Passwords 57

Biometrics 58

Single Sign-On (SSO) 60

Kerberos 61

Kerberos Operation 63

Client-TGS Server: Initial Exchange 63

Client to TGS Server: Request for Service 64

TGS Server to Client: Issuing of Ticket for Service 64

of Service 64

Kerberos Vulnerabilities 64

SESAME 65

KryptoKnight 65

Access Control Methodologies 65

Centralized Access Control 66

Decentralized/Distributed Access Control 66

Relational Database Security 66

Entity and Referential Integrity 68

Relational Database Operations 68

Data Normalization 69

SQL 70

Intrusion Detection 70

Assessment Questions 73

Contents

Domain Definition 80

The C.I.A Triad 80

Protocols 82

The Layered Architecture Concept 82

Open Systems Interconnect (OSI) Model 83

Transmission Control Protocol/Internet Protocol (TCP/IP) 87

LAN Technologies 93

Ethernet 94

ARCnet 95

Token Ring 95

Fiber Distributed Data Interface (FDDI) 95

Cabling Types 96

Coaxial Cable (Coax) 96

Twisted Pair 97

Fiber-Optic Cable 98

Cabling Vulnerabilities 99

Transmission Types 100

Network Topologies 101

BUS 101

RING 101

STAR 102

TREE 102

MESH 104

LAN Transmission Protocols 104

Carrier-Sense Multiple Access (CSMA) 104

Polling 105

Token-Passing 105

Networking Devices 106

Hubs and Repeaters 106

Bridges 107

Switches 108

Routers 109

VLANs 111

Gateways 113

LAN Extenders 113

Firewall Types 114

Packet Filtering Firewalls 114

Application Level Firewalls 115

Circuit Level Firewalls 115

Stateful Inspection Firewalls 115

Firewall Architectures 116

Packet-Filtering Routers 116

Screened-Host Firewalls 116

Dual-Homed Host Firewalls 117

Screened-Subnet Firewalls 118

SOCKS 119

Common Data Network Services 120

File Transfer Services 120

SFTP 121

SSH/SSH-2 122

TFTP 122

Data Network Types 122

Wide Area Networks 123

Internet 123

Intranet 124

Extranet 124

WAN Technologies 124

Dedicated Lines 125

WAN Switching 125

Circuit-Switched Networks 126

Packet-Switched Networks 126

Other WAN Protocols 128

Common WAN Devices 128

Network Address Translation (NAT) 130

Remote Access Technologies 131

Remote Access Types 131

Remote Access Security Methods 132

Virtual Private Networking (VPN) 133

RADIUS and TACACS 141

Network Availability 143

RAID 143

High Availability and Fault Tolerance 146

Backup Concepts 147

Wireless Technologies 150

IEEE Wireless Standards 150

Wireless Application Protocol (WAP) 155

Wireless Security 158

Wireless Transport Layer Security Protocol 158

WEP Encryption 159

Wireless Vulnerabilities 159

Intrusion Detection and Response 166

Types of ID Systems 166

IDS Approaches 167

Honey Pots 168

Computer Incident Response Team 169

IDS and a Layered Security Approach 170

IDS and Switches 171

IDS Performance 172

Network Attacks and Abuses 172

Logon Abuse 173

Inappropriate System Use 173

Eavesdropping 173

Network Intrusion 174

Denial of Service (DoS) Attacks 174

Contents

Session Hijacking Attacks 174

Fragmentation Attacks 175

Dial-Up Attacks 176

Probing and Scanning 176

Vulnerability Scanning 176

Port Scanning 177

Issues with Vulnerability Scanning 183

Malicious Code 183

Viruses 184

Trojan Horses 186

Logic Bombs 186

Worms 186

Malicious Code Prevention 187

Web Security 187

SSL/TLS 188

S-HTTP 189

Instant Messaging 190

8.3 Naming Conventions 192

Assessment Questions 193

Introduction 203

Definitions 204

Background 208

Cryptographic Technologies 210

Classical Ciphers 210

Secret Key Cryptography (Symmetric Key) 215

Data Encryption Standard (DES) 216

Triple DES 220

The Advanced Encryption Standard (AES) 220

The Twofish Algorithm 222

The IDEA Cipher 223

RC5 224

Public (Asymmetric) Key Cryptosystems 224

One-Way Functions 224

Public Key Algorithms 225

El Gamal 227

Merkle-Hellman Knapsack 227

Elliptic Curve (EC) 228

Public Key Cryptosystems Algorithm Categories 228

Digital Signatures 229

(SHS) 230

MD5 231

Sending a Message with a Digital Signature 231

Hashed Message Authentication Code (HMAC) 232

Hash Function Characteristics 232

Cryptographic Attacks 233

Public Key Certification Systems 234

Digital Certificates 234

Public Key Infrastructure (PKI) 235

Approaches to Escrowed Encryption 242

The Escrowed Encryption Standard 242

Identity-Based Encryption 244

Quantum Computing 245

Email Security Issues and Approaches 246

Secure Multi-purpose Internet Mail Extensions (S/MIME) 246

MIME Object Security Services (MOSS) 246

Privacy Enhanced Mail (PEM) 247

Pretty Good Privacy (PGP) 247

Internet Security Applications 248

Message Authentication Standard (FIMAS) 248

Secure Electronic Transaction (SET) 248

Internet Open Trading Protocol (IOTP) 249

MONDEX 249

IPSec 249

Secure Hypertext Transfer Protocol (S-HTTP) 250

Secure Shell (SSH-2) 251

Wireless Security 251

Wireless Application Protocol (WAP) 251

The IEEE 802.11 Wireless Standard 253

Assessment Questions 256

Computer Architecture 264

Memory 265

Instruction Execution Cycle 267

Input/Output Structures 270

Software 271

Open and Closed Systems 272

Distributed Architecture 273

Protection Mechanisms 274

Rings 275

Security Labels 276

Security Modes 276

Additional Security Considerations 277

Recovery Procedures 278

Assurance 278

Evaluation Criteria 278

Certification and Accreditation 280

Model (SSE-CMM) 282

Contents

Information Security Models 285

Access Control Models 286

Integrity Models 290

Information Flow Models 292

Assessment Questions 294

Domain Definition 301

Triples 302

C.I.A 302

Controls and Protections 302

Categories of Controls 303

Orange Book Controls 304

Operations Controls 319

Monitoring and Auditing 326

Monitoring 326

Auditing 329

Threats and Vulnerabilities 333

Threats 333

Vulnerabilities and Attacks 334

Assessment Questions 336

Systems Engineering 343

The Software Life Cycle Development Process 345

The Waterfall Model 346

The Spiral Model 348

Cost Estimation Models 351

Information Security and the Life Cycle Model 352

Testing Issues 353

Configuration Management 354

The Software Capability Maturity Model (CMM) 355

Object-Oriented Systems 357

Artificial Intelligence Systems 361

Expert Systems 361

Neural Networks 363

Genetic Algorithms 364

Database Systems 364

Database Security Issues 365

Data Warehouse and Data Mining 365

Data Dictionaries 366

Application Controls 366

Distributed Systems 368

Centralized Architecture 369

Real-Time Systems 369

Assessment Questions 370

Domain Definition 377

Business Continuity Planning 378

Continuity Disruptive Events 379

The Four Prime Elements of BCP 380

Disaster Recovery Planning (DRP) 389

Goals and Objectives of DRP 389

The Disaster Recovery Planning Process 389

Testing the Disaster Recovery Plan 396

Disaster Recovery Procedures 399

Other Recovery Issues 402

Assessment Questions 404

Types of Computer Crime 411

Examples of Computer Crime 413

Law 414

Example: The United States 414

Common Law System Categories 415

Computer Security, Privacy, and Crime Laws 425

Investigation 431

Computer Investigation Issues 431

Searching and Seizing Computers 434

Export Issues and Technology 435

Liability 437

Ethics 439

(ISC)2Code of Ethics 439

of Computer Ethics 440

the Internet (RFC 1087) 440

of Fair Information Practices 441

Development (OECD) 442

Assessment Questions 444

Domain Definition 451

Threats to Physical Security 452

Controls for Physical Security 454

Administrative Controls 454

Environmental and Life Safety Controls 458

Physical and Technical Controls 467

Assessment Questions 479

Contents xv

485

Part II: The Information Systems Security Engineering Professional (ISSEP) Concentration

The Information Assurance Technical Framework Forum 487

The Information Assurance Technical Framework 487

Organization of IATF Document, Release 3.1 488

Specific Requirements of the ISSEP Candidate 489

System Security Engineering 490

The Systems Engineering Process 492

The Information Systems Security Engineering Process 496

Activities 508

Principles of Defense in Depth 511

Types and Classes of Attack 512

The Defense in Depth Strategy 513

Sample U.S Government User Environments 518

Information Technology 520

Technology Security 522

The System Life Cycle Phases 523

Life Cycle 524

System Development Cycle 525

Risk Management and the System Development Life Cycle 531

The Risk Assessment Process 533

Risk Mitigation 539

Risk Management Summary 544

Assessment Questions 545

What Is C&A? 551

Process (NIACAP) 552

NIACAP Roles 552

System Security Authorization Agreement (SSAA) 555

NIACAP Phases 556

Process (DITSCAP) 569

DITSCAP Phases 571

DITSCAP Roles 575

Other Assessment Methodologies 575

Federal Information Processing Standard (FIPS) 102 576

INFOSEC Assessment Methodology (IAM) 576

(OCTAVE) 578

(FITSAF) 578

C&A — Government Agency Applicability 580

OMB A-130 581

Assessment Questions 582

Capability Maturity Models (CMMs) 589

Systems Engineering CMM (SE-CMM) 591

Model (SSE-CMM) 592

The IDEAL Model 602

Planning and Managing the Technical Effort 605

Program Manager Responsibilities 606

Program Management Plan (PMP) 606

Systems Engineering Management Plan (SEMP) 606

Work Breakdown Structure (WBS) 609

Outsourcing 611

System Design Testing 611

Assessment Questions 616

Chapter 14: U.S Government Information Assurance (IA) Specific Requirements of the ISSEP Candidate 623

Common U.S Government Information Assurance Terminology 623

Important Government IA Definitions 624

U.S National Policies 630

Agency Policies 631

Additional Agency Policy Guidance 635

Department of Defense Policies 636

Assessment Questions 640

Contents xvii

649 Part III: Appendices

Appendix C: Sample SSAA 865 Appendix D: Excerpts from the Common Criteria 869

Index 993

The authors would like to thank those who contributed changes, updates, cor­

rections, and ideas for this second edition and especially Carol Long, Wiley Executive Editor, Angela Smith, Senior Production Editor, and Sharon Nash, Wiley Developmental Editor

Again, I want to thank my wife, Hilda, for her continuing support and encourage­ment during this project

I, also, want to express my thanks to Russell Dean Vines for the opportunity to work with him in developing our texts Russ is a true professional and valued friend

—RLK

Thanks to all of my friends, family, and associates who supported me throughout the process of producing this book I would especially like to thank Lance Kostrobala and Howard Weiner; Jonathan Krim; Diane Moser; Dom Moio; Sid Jacobs; Fred, Phyllis, and Ben Stimler; Lena Kolb; John Mueller and Sheila Roman; and Elzy Kolb, Irene Cornell Meenan, and the rest of the Roundup Grrls

—RDV

The authors would also like to thank Barry C Stauffer for contributing the Foreword to this edition

Special Thanks

We would also like to include a special thank you to Benjamin S Blanchard for

allowing us to include an appendix from his title, System Engineering Management,

3rd Edition (Wiley, ISBN: 0-471-29176-5), as our Appendix E, “The Cost Analysis Process.”

The advent of the computer age brought us the ability to gather and process

large quantities of information in ever decreasing time Unfortunately, this new age also arrived with a host of new challenges First Grace Hooper identified the first computer bug, and, I might add, successfully repaired the problem Then soon afterward we discovered that some users had learned to use the computer systems

to exploit the information to their own desires Similarly we discovered that other well-meaning users and information system managers had inadvertently caused equally challenging problems Thus we learned to develop methods and procedures

to preserve the confidentiality of the information, maintain the integrity of the data, ensure the availability of the information systems, and to enforce the accountability

of the users and processes A cadre of information systems security professionals quickly rose to the challenge and began to identify and then attempt to solve the security issues

Our early attempts first sought to identify the threats, vulnerabilities, and risk through risk assessments, certification and accreditation, vulnerability testing, pen­etration testing, red and black teams and a host of other methods to identify the security issues Then like our medieval kings we built fortresses (firewalls) to pro­tect our enclaves by walling off our information and systems from outside intrud­ers However, like the medieval leaders that too late discovered the fundamental management error in allowing the first Trojan Horse into their enclave, our IT man­agement professionals continue to be faced with challenging issues While some of the security community advocates new technology as the solution to all security, others continue to advocate the timeless process of security evaluations and assessments Neither by themselves will be sufficient We certainly need the tech­nological advances of intrusion detection and prevention systems, security opera­tions centers, and incident response tools, but this technology does not hold all the answers Similarly we must learn to conduct the proper evaluations and assess­ments in a manner that not just produces a report but also instead leads to action­able recommendations The security problem has raised to the attention of both industry and government leaders The U.S Congress has mandated that govern­ment leaders address, and report, their progress on resolving the security issues The U.S government is also searching for ways to successfully motivate industry leaders to the security challenges in the private sector

Today’s Information Technology managers are faced with ever increasing issues Many have hundreds, and some tens of thousands, of systems and applications Yet many of us as security professionals continue to attack the issues on a system-by-system basis with the same tools we have always used Instead we must address the hard management issues of developing enterprise level security architectures,

configuration control, patch management, user management, and user training The challenge facing us as security professionals is now to bring both the technology and management processes to bear on the security problems in a synergistic approach by providing security solutions, not more system-level assessments

Our IT managers have long recognized the need for more experienced and rounded security professionals Thus the need arose for a method to identify quali­fied security professionals At one level this rests with qualifications such as the Certified Information Systems Security Professional (CISSP) and now at the next level for the government with the Information System Security Engineering Professional (ISSEP) certification Our new ISSEPs will be knowledgeable of the U.S government information assurance regulations, practices, and procedures as well

well-as the latest security technology These qualifications provide one path for man­agers to identify those security professionals that have taken the initiative to advance their careers with independent study and have proven themselves with their certifications

I wish each of you the best success as you move forward in your security career

Barry C Stauffer

December 2003

Mr Stauffer is the Chief Information Assurance Officer of BAE SYSTEMS and the founder and former CEO of Corbett Technologies, Inc In 1981 Mr Stauffer entered the security community as a Naval Officer on the Department of Defense Joint Staff Since that time he has been involved in both industry and government in the development of security practices, procedures and management approaches He led the development

of the DITSCAP and NIACAP and has been directly involved in the certification and accreditation of numerous systems and the development of large-scale Government security programs

The need to protect information resources has produced a demand for informa­

tion systems security professionals Along with this demand came a need to ensure that these professionals possess the knowledge to perform the required job functions To address this need, the Certified Information Systems Security

Professional (CISSP) certification emerged This certification guarantees to all par­ties that the certified individual meets the standard criteria of knowledge and con­tinues to upgrade that knowledge in the field of information systems security The CISSP initiative also serves to enhance the recognition and reputation of the field of information security

For the CISSP who wishes to concentrate in information systems security for U.S federal information systems, the CISSP Information System Security Engineering Professional (ISSEP) concentration certification has been established This certifi­cation is particularly relevant for efforts in conjunction with the National Security Agency (NSA) and with other U.S government agencies

The (ISC)2 Organization

The CISSP certification is the result of cooperation among a number of North American professional societies in establishing the International Information Systems Security Certification Consortium (ISC)2 in 1989 The (ISC)2 is a nonprofit corporation whose sole function is to develop and administer the certification pro­gram The organization defined a common body of knowledge (CBK) that defines a common set of terms for information security professionals to use to communicate with each other and to establish a dialogue in the field This guide was created based on the most recent CBK and skills, as described by (ISC)2 for security profes­sionals At this time, the domains in alphabetical order are as follows:

✦ Access Control Systems and Methodology

✦ Application and Systems Development Security

✦ Business Continuity and Disaster Recovery Planning

✦ Cryptography

✦ Law, Investigation, and Ethics

✦ Operations Security

✦ Physical Security

✦ Security Architecture and Models

✦ Security Management Practices

✦ Telecommunications and Networking Security

The ISSEP concentration address four additional areas related to U.S government information assurance, particularly NSA information assurance These four areas are:

✦ Systems Security Engineering

✦ Certification and Accreditation

✦ Technical Management

✦ U.S Government Information Assurance Regulations The (ISC)2 conducts review seminars and administers examinations for information security practitioners who seek the CISSP and ISSEP certifications Candidates for the CISSP examination must attest that they have three to five years’ experience

in the information security field and that they subscribe to the (ISC)2 Code of Ethics The seminars cover the CBK from which the examination questions origi­nate The seminars are not intended to teach the examination

A candidate for the ISSEP examination must have the CISSP certification as a pre­requisite

New Candidate CISSP Requirements

Beginning June 1, 2002, the (ISC)2 has divided the credentialing process into two steps: examination and certification Once a CISSP candidate has been notified of passing the examination, he or she must have the application endorsed by a quali­fied third party before the CISSP credential is awarded Another CISSP, the candi-date’s employer, or any licensed, certified, or commissioned professional can endorse a CISSP candidate

After the examination scoring and the candidate receiving a passing grade, a notifi­cation letter advises the candidate of his or her status The candidate has 90 days from the date of the letter to submit an endorsement form If the endorsement form

is not received before the 90-day period expires, the application is void and the can­didate must resubmit to the entire process Also, a percentage of the candidates who pass the examination and submit endorsements are randomly subjected to audit and are required to submit a resume for formal review and investigation

You can find more information regarding this process at www.isc2.org

The CISSP Examination

The examination questions are from the CBK and aim at the level of a year practitioner in the field The examination consists of 250 English language questions, of which 25 are not counted The 25 are trial questions that might be used on future exams The 25 are not identified, so there is no way to tell which questions they are The questions are not ordered according to domain but are ran­domly arranged There is no penalty for candidates answering questions of which they are unsure Candidates have six hours for the examination

ing in the field Most professionals are not usually involved with all 10 domains in their work, however It is uncommon for an information security practitioner to work in all the diverse areas that the CBK covers For example, specialists in physi­

cal security might not be required to work in depth in the areas of computer law or cryptography as part of their job descriptions The examination questions also do not refer to any specific products or companies Approximately 70 percent of the people taking the examination score a passing grade

The ISSEP Concentration Examination

The ISSEP examination is similar in format to that of the CISSP examination The questions are also multiple choice with the examinee being asked to select the best answer of four possible answers

The examination comprises 150 questions, 25 of which are experimental questions that are not counted The candidate is allotted 3 hours to complete the examination

The Approach of This Book

Based on the experience of the authors, who have both taken and passed the CISSP examination and one who has taken and passed the ISSEP examination, there is a need for a single, high-quality reference source that the candidate can use to pre­

pare for the CISSP and ISSEP examinations This text is also useful if the candidate

is taking the (ISC)2 CISSP or ISSEP training seminars Prior to this text, the date’s choices were the following:

candi-1 To buy numerous expensive texts and use a small portion of each in order to

cover the breadth of the 10 CISSP domains and 4 ISSEP domains

2 Acquire and attempt to digest the myriad of NIST, NSA, and U.S government

standards applicable to the ISSEP concentration

Chapters 11 through 14 emphasize material that is directly relevant to the ISSEP certification examination In addition, the authors have used an ISSEP icon in the margin of the updated and enhanced CISSP 10-domain material to indicate content that is directly applicable to the ISSEP certification examination

Organization of the Book

We organize the text into the following parts:

Part I: Focused Review of the CISSP Ten Domains

Chapter 1: Security Management Practices Chapter 2: Access Control Systems Chapter 3: Telecommunications and Network Security Chapter 4: Cryptography

Chapter 5: Security Architecture and Models Chapter 6: Operations Security

Chapter 7: Applications and Systems Development Chapter 8: Business Continuity Planning and Disaster Recovery Planning Chapter 9: Law, Investigation, and Ethics

Chapter 10: Physical Security

Part II: The Information Systems Security Engineering Professional (ISSEP) Concentration

Chapter 11: Systems Security Engineering Chapter 12: Certification and Accreditation (C&A) Chapter 13: Technical Management

Chapter 14: U.S Government Information Assurance (IA) Regulations

Part III: Appendices

Introduction xxvii

ISSEP

CD-ROM

For details about the CD-ROM accompanying this title, please refer to Appendix G

What the Icons Mean

Throughout this book, you will find icons in the margins that highlight special or important information Keep an eye out for the following icons:

A Note icon highlights interesting or supplementary information and often contains extra bits of technical information about a subject

The ISSEP icon highlights important information about ISSEP topics The informa­

tion is not separated from the regular text as with Note icons

Who Should Read This Book?

There are three main categories of readers for this comprehensive guide:

1 Candidates for the CISSP or ISSEP examinations who are studying on their

own or those who are taking the CISSP or ISSEP review seminars will find this text a valuable aid in their preparation plan The guide provides a no-

nonsense way of obtaining the information needed without having to sort through numerous books covering portions of the CBK or U.S government information assurance domains and then filtering their content to acquire the fundamental knowledge needed for the exam The assessment questions pro­

vided will acclimate the reader to the type of questions that he or she will encounter on the exams, and the answers serve to cement and reinforce the candidate’s knowledge

2 Candidates with the CISSP certification that will be working on information

assurance with U.S federal government agencies and in particular, with the NSA

3 Students attending information system security certification programs offered

in many of the major universities will find this text a valuable addition to their reference library For the same reasons cited for the candidate preparing for the CISSP or ISSEP exam, this book is a single-source repository of fundamen­

tal and emerging information security knowledge It presents the information

at the level of the experienced information security professional and thus is commensurate with the standards that universities require for their certifi­

cate offerings

The material contained in this book is of practical value to information secu­

rity professionals in performing their job functions The professional, certified

or not, will refer to the text as a refresher for information security basics as well as for a guide to the application of emerging methodologies

Summary

The authors sincerely believe that this text will provide a cost-effective and time­saving means of preparing for the CISSP and ISSEP certification examinations By using this reference, the candidate can focus on the fundamentals of the material instead of spending time deciding upon and acquiring numerous expensive texts and the overwhelming number of U.S government information assurance publica­tions It also provides the breadth and depth of coverage to avoid gaps in the CBK and U.S government information assurance requirements that are present in other

“single” references

We present the information security material in the text in an organized, profes­sional manner that is a primary source of information for students in the informa­tion security field as well as for practicing professionals

New Material for the Second Edition

We’ve made extensive additions and revisions for this Second Edition of the CISSP Prep Guide In addition to corrections and updates, we include new security infor­mation — especially in the areas of law, cryptography, U.S government information assurance topics, and wireless technology

Also, the ISSEP assessment questions will be particularly helpful to all readers of this text, and the new, focused appendices will help the reader expand his or her comfort with the material

RONALD L KRUTZ, Ph.D., P.E., CISSP, ISSEP Dr Krutz is a Senior Information

Security Researcher in the Advanced Technology Research Center of Sytex, Inc In this capacity, he works with a team responsible for advancing the state of the art in information systems security He has more than 40 years of experience in dis­tributed computing systems, computer architectures, real-time systems, informa­tion assurance methodologies, and information security training

He has been an information security consultant at REALTECH Systems Corporation and BAE Systems, an associate director of the Carnegie Mellon Research Institute (CMRI), and a professor in the Carnegie Mellon University Department of Electrical and Computer Engineering Dr Krutz founded the CMRI Cybersecurity Center and was founder and director of the CMRI Computer, Automation, and Robotics Group

He is a former lead instructor for the (ISC)2 CISSP Common Body of Knowledge review seminars Dr Krutz is also a Distinguished Special Lecturer in the Center for Forensic Computer Investigation at the University of New Haven, a part-time instructor in the University of Pittsburgh Department of Electrical and Computer Engineering, and a Registered Professional Engineer

Dr Krutz is the author of five best-selling publications in the area of information systems security and is a consulting editor for John Wiley & Sons for its information security book series Dr Krutz holds B.S., M.S., and Ph.D degrees in Electrical and Computer Engineering

RUSSELL DEAN VINES, CISSP, CISM, Security +, CCNA, MCSE, MCNE Mr Vines is

president and founder of The RDV Group Inc (www.rdvgroup.com), a New York– based security consulting services firm He has been active in the prevention, detection, and remediation of security vulnerabilities for international corpora­tions, including government, finance, and new media organizations, for many years

Mr Vines is a specialist in cybercounterterrorism, recently focusing on energy and telecommunications vulnerabilities in New York State

He holds high-level certifications in Cisco, 3Com, Ascend, Microsoft, and Novell technologies and is trained in the National Security Agency’s ISSO Information Assessment Methodology He has headed computer security departments and man­aged worldwide information systems networks for prominent technology, entertain­ment, and nonprofit corporations based in New York He is the author of six best-selling information system security publications and is a consulting editor for John Wiley & Sons for its information security book series

Mr Vines’ early professional years were illuminated not by the flicker of a computer monitor but by the bright lights of Nevada casino show rooms After receiving a

Down Beat magazine scholarship to Boston’s Berklee College of Music, he per­

formed as a sideman for a variety of well-known entertainers, including George Benson, John Denver, Sammy Davis Jr., and Dean Martin Mr Vines composed and arranged hundreds of pieces of jazz and contemporary music recorded and per­formed by his own big band and others He also founded and managed a scholastic

music publishing company and worked as an artist-in-residence for the National

Endowment for the Arts (NEA) in communities throughout the West He still per­

forms and teaches music in the New York City area and is a member of the American Federation of Musicians Local #802

When I met Ron Krutz at a security seminar in Brooklyn, N.Y., in December

1999, neither of us had any idea what was ahead of us

We became friendly enough to lunch together at Junior’s, a long-time NYC land­mark, renowned for its New York–style cheesecake When the class was done, we returned to our respective home bases and kept in touch

Ron and I had discussed writing a book that would aid CISSP candidates in scaling the huge mountain of study material required to prepare for the CISSP exam, and with the help and patience of Carol Long the “CISSP Prep Guide” came to fruition

During those months of writing the text, we never imagined the impact this book would have When the book was published in August 2001, it immediately became a nonfiction bestseller It stayed on the Amazon Hot 100 list for more than four months and was the top-selling computer book of the year

The information systems security community’s endorsement of the book was heart­ening, and we were very pleased to receive feedback from readers, that ran along the lines of:

“ this book is the key to the kingdom.”

“ is exactly what CISSP candidates need to prepare for the exam.”

“I’ve been teaching the CISSP material for some time now and will make this our new text This is a GREAT book - must have”

“This book is a great review book It’s easy-to-read.”

“ very detailed, more organized, and overall a better preparation for the exam than [another] book.”

“The authors got right to the point, which when studying for this test can save you hours upon hours.”

“ written in a very clear style that flows well.”

“ the additional information provided in each appendix make this not only

a required study tool, but also a ‘must have’ reference.”

“Consider it required reading.”

“I passed the test the first time and I attribute that fact to this book.”

The “Prep Guide” has spawned a raft of information systems security material including six additional books between us; translations of these books into Korean, Finnish, Japanese, two Chinese dialects, and other languages; the creation of Wiley’s popular security certification book series; and the development of our new security certification training seminars (for more information see www.rdvgroup.com)

But since that time, some things have endured and flourished, not the least being

my continuing friendship with Ron Krutz His professionalism and integrity have been an example for me, especially through the dark days after 9/11 and into our continuing work combating cyberterrorism

But the most important thing we have recognized is this: The fundamental tenets of computer security must be understood by everyone who works in information technology, not just those with a security background We feel genuine satisfaction that we’re helping others learn how to protect computing infrastructure globally

Through the “CISSP Prep Guide,” a computer professional can get his or her feet wet in the many disparate domains that comprise the world of information systems security We’re happy to have played a part

And we’re still crazy about Junior’s cheesecake

Russell Dean Vines

December 15, 2003

Chapter 2

Access Control Systems

Chapter 3

Telecommunications and Network Security

Chapter 4

Cryptography

Chapter 5

Security Architecture and Models

Chapter 6

Operations Security

Chapter 7

Applications and Systems Development

Chapter 8

Business Continuity Planning and Disaster Recovery Planning

Chapter 9

Law, Investigation, and Ethics

Chapter 10

Physical Security

✦ ✦ ✦ ✦

Management ✦ ✦ ✦ ✦ Practices

In our first chapter, we enter the domain of Security

Management Throughout this book, you will see that many

Information Systems Security domains have several elements

and concepts that overlap Although all other security

domains are clearly focused, this domain introduces concepts

that we extensively touch upon in both the Operations

Security (Chapter 6) and Physical Security (Chapter 10)

domains A CISSP professional will be expected to know the

following:

✦ Basic security management concepts

✦ The difference between policies, standards, guidelines,

and procedures

✦ Security awareness concepts

✦ Risk management (RM) practices

✦ Data classification levels

We will examine the InfoSec domain of Security Management

by using the following elements:

✦ Concepts of Information Security Management

✦ The Information Classification process

✦ Security Policy implementation

✦ The roles and responsibilities of Security Administration

✦ Risk Management Assessment tools

✦ Security Awareness training

Throughout the book we have footnotes that will help direct the reader to addi­tional study sources

Domain Definition

The InfoSec domain of Security Management incorporates the identification of infor­mation data assets with the development and implementation of policies, stan­dards, guidelines, and procedures It defines the management practices of data classification and risk management It also addresses confidentiality, integrity, and availability by identifying threats, classifying the organization’s assets, and rating their vulnerabilities so that effective security controls can be implemented

Management Concepts

Under the heading of Information Security Management concepts, we will discuss the following:

✦ The big three: Confidentiality, Integrity, and Availability

✦ The concepts of identification, authentication, accountability, authorization, and privacy

✦ The objective of security controls (to reduce the impact of threats and the likelihood of their occurrence)

System Security Life Cycle

Security, like other aspects of an IT system, is best managed if planned for through­out the IT system life cycle There are many models for the IT system life cycle, but most contain five basic phases: initiation, development/acquisition, implementa­tion, operation, and disposal

Chapter 11 in the ISSEP study section describes systems security engineering in more detail, but let’s get to know the basic steps of the system security life cycle The order of these phases is*:

1 Initiation phase During the initiation phase, the need for a system is

expressed and the purpose of the system is documented

2 Development/acquisition phase During this phase, the system is designed,

purchased, programmed, developed, or otherwise constructed

3 Implementation phase During implementation, the system is tested and

installed or fielded

*Source: NIST Special Publication 800-14, “Generally Accepted Principles and Practices for Securing Information Technology Systems.”

5

Chapter 1 ✦ Security Management Practices

4 Operation/maintenance phase During this phase, the system performs its

work The system is almost always being continuously modified by the addi­

tion of hardware and software and by numerous other events

5 Disposal phase The disposal phase of the IT system life cycle involves the dis­

position of information, hardware, and software

The Big Three

Throughout this book, you will read about the three tenets of InfoSec:

Confidentiality, Integrity, and Availability (C.I.A.), as shown in Figure 1-1 These con­

cepts represent the three fundamental principles of information security All of the information security controls and safeguards and all of the threats, vulnerabilities, and security processes are subject to the C.I.A yardstick

Integrity

Confidentiality

Availability

Figure 1-1: The C.I.A triad

Confidentiality The concept of confidentiality attempts to prevent the inten­

tional or unintentional unauthorized disclosure of a message’s contents Loss

of confidentiality can occur in many ways, such as through the intentional release of private company information or through a misapplication of net­

work rights

Integrity The concept of integrity ensures that:

• Modifications are not made to data by unauthorized personnel or processes

• Unauthorized modifications are not made to data by authorized person­

nel or processes

• The data is internally and externally consistent; in other words, that the internal information is consistent among all subentities and that the internal information is consistent with the real-world, external situation

Availability The concept of availability ensures the reliable and timely access

to data or computing resources by the appropriate personnel In other words, availability guarantees that the systems are up and running when needed In addition, this concept guarantees that the security services that the security practitioner needs are in working order