Business Continuity and Disaster Recovery Planning CISSP Guide to Security Essentials Chapter 4

Business Continuity and Disaster Recovery Planning

CISSP Guide to Security Essentials

Chapter 4

CISSP Guide to Security Essentials 2

Objectives

• Running a business continuity and disaster recovery planning project

• Developing business continuity and disaster recovery plans

• Testing business continuity and disaster recovery plans

Objectives (cont.)

• Training users

• Maintaining business continuity and disaster recovery plans

What Is a Disaster

• Any natural or man-made event that disrupts the operations of a business in such a significant way that a considerable and coordinated effort is required to achieve a recovery.

Natural Disasters

• Geological: earthquakes, volcanoes, lahars, tsunamis, landslides, and sinkholes

• Meteorological: hurricanes, tornados, wind storms, hail, ice storms, snow storms, rainstorms, and lightning

Natural Disasters (cont.)

• Other: avalanches, fires, floods, meteors and meteorites, and solar storms

• Health: widespread illnesses, quarantines, and pandemics

Man-made Disasters

• Labor: strikes, walkouts, and slow-downs that disrupt services and supplies

• Social-political: war, terrorism, sabotage, vandalism, civil unrest, protests, demonstrations, cyber attacks, and blockades

Man-made Disasters (cont.)

• Materials: fires, hazardous materials spills

• Utilities: power failures, communications outages, water supply shortages, fuel shortages, and radioactive fallout from power plant accidents

How Disasters Affect Businesses

• Direct damage to facilities and equipment

• Transportation infrastructure damage– Delays deliveries, supplies, employees going to work

• Communications outages

• Utilities outages

How BCP and DRP Support Security

• Security pillars: C-I-A– Confidentiality– Integrity– Availability

• BCP and DRP directly support availability

BCP and DRP Differences and Similarities

• BCP– activities required to ensure the continuation of

critical business processes in an organization– Alternate personnel, equipment, and facilities

• DRP– Assessment, salvage, repair, and eventual

restoration of damaged facilities and systems

Industry Standards Supporting BCP and DRP

• ISO27001/27002: Code of Practice for Information Security Management. Section 14 addresses business continuity management. Principles, terminology and process to support business continuity management.

Industry Standards Supporting BCP and DRP (cont.)

• NIST 800-34: Contingency Planning Guide for Information Technology Systems. Seven step process for BCP and DRP projects.

• NFPA 1600: Standard on Disaster / Emergency Management and Business Continuity Programs.

Industry Standards Supporting BCP and DRP (cont.)

• NFPA 1620: The Recommended Practice for Pre-Incident Planning.

• HIPAA: Requires a documented and tested disaster recovery plan for patient electronic data.

Benefits of BCP and DRP Planning

• Reduced risk through risk/threat analysis

• Process improvements

• Improved organizational maturity

• Improved availability and reliability

• Marketplace advantage

The Role of Prevention

• Not prevention of the disaster itself, but prevention of surprise and disorganized response

The Role of Prevention (cont.)

• Reduction in impact of a disaster– Better equipment bracing– Better fire detection and suppression– Contingency plans that provide [near] continuous

operation of critical business processes– Prevention of extended periods of downtime

Running a BCP / DRP Project

• Pre-project activities

• Perform a Business Impact Assessment (BIA)

• Develop resumption and recovery plans

• Test resumption and recovery plans

Pre-project Activities

• Obtain executive support

• Formally define the scope of the project

• Choose project team members

• Develop a project plan– Business Impact Analysis

– Develop Contingency plans

– Test plans

• Develop a project charter– Purpose, executive sponsorship, scope, budget, team members, milestones

Performing a Business Impact Analysis

• Survey critical business processes

• Perform threat assessment, risk analyses

• Develop key metrics– Maximum tolerable downtime, recovery time

objective, recovery point objective

Performing a Business Impact Analysis (cont.)

• Develop impact statements

• Perform criticality analysis

Survey In-scope Business Processes

• Develop interview / intake template

• Interview a rep from each department– Identify all important processes

• Identify dependencies on systems, people, equipment

• information consolidation

• Collate data into database or spreadsheets– Gives a big picture, all-company view

Process name Shipping; Marketing Department

Interviewer

Interviewee

Process owner name Manager’s name

Process purpose Role, why the process is performed

Process inputs Data, people, supplies, other

Process outputs Data, products, other

Supplier dependency Name of the supplier needed to continue

Personnel dependencies

Process intake form:

Threat and Risk Analysis

• Identify threats, vulnerabilities, risks for each key process– Rank according to probability, impact, cost– Identify mitigating controls

Process name Date Interviewer Interviewee Process owner name

Process purpose

Process inputs

Shipping: Marketing dept Manager’s name

Data, people, supplies, other

Threat / Risk analysis from intake form:

Determine Maximum Tolerable Downtime (MTD)

• For each business process

• Identify the maximum time that each business process can be inoperative before significant damage or long-term viability is threatened

• Probably an educated guess for many processes

Determine Maximum Tolerable Downtime (cont.)

• Obtain senior management input to validate data

• Publish into the same database / spreadsheet listing all business processes

Develop Statements of Impact

• For each process, describe the impact on the rest of the organization if the process is incapacitated

Develop Statements of Impact (cont.)

• Examples– Inability to process payments– Inability to produce invoices– Inability to access customer data for support

purposes

Record Other Key Metrics

• Examples– Cost to operate the process– Cost of process downtime– Profit derived from the process

• Useful for upcoming criticality analysis

Ascertain Current Continuity and Recovery Capabilities

• For each business process(adequate, inadequate, non-existent)– Identify documented continuity capabilities– Identify documented recovery capabilities– Identify undocumented capabilities

• What if the disaster happened tomorrow

Develop Key Recovery Targets

• Recovery time objective (RTO)– Period of time from disaster onset to

resumption of business process

• Recovery point objective (RPO)– Maximum period of data loss from onset

of disaster counting backwards

Develop Key Recovery Targets (cont.)

• Obtain senior management buyoff on RTO and RPO

• Publish into the same database / spreadsheet listing all business processes

Sample Recovery Time Objectives

RPO Technology(ies) required8-14 days New equipment, data recovery from backup

4-7 days Cold systems, data recovery from backup

2-3 days Warm systems, data recovery from backup

12-24 hours Warm systems, recovery from high speed backup media

Sample Recovery Time Objectives (cont.)

RPO Technology(ies) required6-12 hours Hot systems, recovery from high speed

backup media

3-6 hours Hot systems, data replication

1-3 hours Clustering, data replication

< 1 hour Clustering, near real time data replication

Criticality Analysis

• Rank processes by criticality criteria– MTD (maximum tolerable downtime)– RTO (recovery time objective)– RPO (recovery point objective)– Revenue loss per hour/day/week– Cost of downtime or other metrics– Qualitative criteria

• Reputation, market share, goodwill

Improve System and Process Resilience

• For the most critical processes (based upon ranking in the criticality analysis)– Identify the biggest risks– Identify cost of mitigation– Can several mitigating controls be combined– Do mitigating controls follow best / common

practices

Develop Business Continuity and Disaster Recovery Plans

• For the most critical processes (based upon ranking in the criticality analysis)– Develop continuity plans and recovery plans

• Must meet RTO, RPO objectives

• Develop budget for plan development

• Develop budget for response and recovery effort

• Revise as needed

Develop Business Continuity and Disaster Recovery Plans

• Select Recovery Team Members• Emergency Response• Damage Assessment and Salvage • Notification• Personnel safety• Communications• Public utilities and infrastructure• Logistics and supplies• Business resumption planning• Restoration and planning

Select Recovery Team Members

• Issues– Unable to respond– Unwilling to respond

• Selection criteria– Location of residence, relative to work

and other key locations– Skills and experience (determines effectiveness)– Ability and willingness to respond– Own transportation

Select Recovery Team Members (cont.)

• Selection criteria (cont.)– Health and family (determines probability to serve)– Identify backups

• Other team members, external resources

Emergency Response

• Personnel safety: includes first-aid, searching for personnel, etc.

• Evacuation: evacuation procedures to prevent any hazard to workers.

• Asset protection: includes buildings, vehicles, and equipment.

Emergency Response (cont.)

• Damage assessment: this could involve outside structural engineers to assess damage to buildings and equipment.

• Emergency notification: response team communication, and keeping management and organization staff informed.

Damage Assessment and Salvage

• Determine damage to buildings, equipment, utilities– Requires inside experts– Usually requires outside experts

• Civil engineers to inspect buildings

• Government building inspectors

Damage Assessment and Salvage (cont.)

• Salvage– Identify working and salvageable assets– Cannibalize for parts or other uses

Notification

• Many parties need to know the condition of the organization– Employees, suppliers, customers, regulators,

authorities, shareholders, community

Notification (cont.)

• Methods of communication– Telephone call trees, web site, signage, media– Alternate means of communication must be

identified

Personnel Safety

• The number one concern in any disaster response operation– Emergency evacuation– Accounting for all personnel– Administering first-aid

Personnel Safety (cont.)

• The number one concern in any disaster response operation (cont.)– Emergency supplies

• Water, food, blankets, shelters

• On-site employees could be stranded for several days

Communications

• Communications essential during emergency operations

Communications (cont.)

• Considerations– Avoid common infrastructure– Diversify mobile services– Consider two-way radios– Consider satellite phones– Consider amateur radio

Public Utilities and Infrastructure

• Often interrupted during a disaster– Electricity: emergency generation: UPS, generator– Water: building could be closed if no

water is available– Natural gas: heating– Wastewater: if disabled, building could be closed

Public Utilities and Infrastructure (cont.)

• Emergency supplies– Drinking water, sanitation, spare parts, waste bins

Logistics and Supplies

• Food and drinking water

• Blankets and sleeping cots

• Sanitation

• Tools

Logistics and Supplies (cont.)

• Spare parts

• Waste bins

• Information

• Communications

Business Resumption Planning

• Alternate work locations

• Alternate personnel

• Communications– Emergency, support of business processes

• Standby assets and equipment

• Access to procedures, business records

Restoration and Recovery

• Repairs to facilities, equipment

• Replacement equipment

• Restoration of utilities

• Resumption of business operations in primary business facilities

Improving System Resilience and Recovery

• From BIA two recovery targets– RTO and RPO– What will help?

• Off-site media storage– Assurance of data recovery

• Server clusters– Improved availability– Geographic clusters

Improving System Resilience and Recovery (cont.)

• Data replication– Hardware, OS, DBMS, application– Current data on multiple servers even in remote

places

Training Staff

• Everyday operations

• Recovery procedures

• Emergency procedures

• Resumption procedures» Learn through participation

» Learn through formal training

Testing Business Continuity and Disaster Recovery Plans

• Five levels of testing– Document review– Walkthrough– Simulation– Parallel test– Cutover test

Document Review

• Review of recovery, operations, resumption plans and procedures

• Performed by individuals

• Provide feedback to document owners

• Least impact, lowest risk, least benefit

Walkthrough

• Group discussion of recovery, operations, resumption plans and procedures

• Performed by teams

• Brainstorming and discussion brings out new issues, ideas

Walkthrough (cont.)

• Provide feedback to document owners

• Low impact, lowest risk, moderate benefit

Simulation

• Walkthrough of recovery, operations, resumption plans and procedures in a scripted “case study” or “scenario”

Simulation (cont.)

• Places participants in a mental disaster setting that helps them discern real issues more easily

• Low impact, low risk, moderate benefit

Parallel Test

• Full or partial workload is applied to recovery systems

• Tests actual system readiness and accuracy of procedures

Parallel Test (cont.)

• Production systems continue to operate and support actual business processes

• Moderate impact, low risk, moderate benefit

Cutover Test

• Production systems are shut down or disconnected; recovery systems assume full actual workload

Maintaining Business Continuity and Disaster Recovery Plans

• Events that necessitate review and modification of DRP and BCP procedures:– Changes in business processes and procedures– Changes to IT systems and applications– Changes in IT architecture– Changes in service providers

Maintaining Business Continuity and Disaster Recovery Plans

(cont.)

• Events (cont.):– Additions to IT applications– Changes in service providers– Changes in organizational structure

Summary

• Natural and man-made disasters affect businesses through direct damage, and damage to transportation and utilities

• BCP is concerned with continuation of processes; DRP is concerned with recovery of facilities

Summary (cont.)

• Benefits of BCP and DRP include process improvement, reduced risk, and market advantage

Summary (cont.)

• The components of a Business Impact Assessment (BIA) are:– Inventory processes– Perform risk and threat assessment– Assign recovery targets– Perform criticality assessment

Summary (cont.)

• Several key metrics are developed in a BIA:– MTD (maximum tolerable downtime)– RTO (recovery time objective)– RPO (recovery point objective)– Possibly others (cost of downtime, recovery)

Summary (cont.)

• The components of a DRP and BCP plan are:– Emergency response– Damage assessment and salvage– Communications

Summary (cont.)

• The components of a DRP and BCP plan are (cont.):– Personnel evacuation and safety– Restoration and recovery– Business resumption

Summary (cont.)

• The types of BCP and DRP plan testing are:– Document review– Walkthrough– Simulation– Parallel test– Cutover test

Business Continuity and Disaster Recovery Planning CISSP Guide to Security Essentials Chapter 4

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