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ITL Bulletin for December 2006




ITL Bulletin for December 2006
ITL Bulletin for December 2006



Forwarded from: Elizabeth Lennon 

ITL BULLETIN FOR DECEMBER 2006

MAINTAINING EFFECTIVE INFORMATION TECHNOLOGY (IT) 
SECURITY THROUGH TEST, TRAINING, AND EXERCISE PROGRAMS

Shirley Radack, Editor
Computer Security Division
Information Technology Laboratory
National Institute of Standards and Technology
Technology Administration
U.S. Department of Commerce

To maintain an effective information security program, organizations 
need plans for responding to adverse situations that could affect the 
confidentiality, integrity, and availability of their information and 
information technology (IT) systems. Plans such as contingency and 
computer security incident response plans must be maintained in a state 
of readiness to handle potentially harmful events. Staff members should 
be trained to carry out their responsibilities. Systems and system 
components should be tested to ensure proper operation when adverse 
events occur, and plans should be exercised to validate their 
effectiveness. Organizations are better able to maintain this state of 
readiness if they establish test, training, and exercise (TT&E) 
programs, and if they use the tests and exercises to identify 
deficiencies in their IT plans, procedures, and training.

The National Institute of Standards and Technology (NIST) Information 
Technology Laboratory has developed guidance to help organizations 
design, develop, conduct, and evaluate TT&E activities. A recently 
published guide details how organizations can prepare for, respond to, 
manage, and recover from adverse events, which could disrupt operations 
and interfere with the conduct of the organizations business. The guide 
focuses on TT&E actions that individual organizations can manage within 
their overall IT planning or within their emergency-handling 
capabilities for IT.

NIST Special Publication (SP) 800-84, Guide to Test, Training, and 
Exercise Programs for IT Plans and Capabilities

NIST SP 800-84, Guide to Test, Training, and Exercise Programs for IT 
Plans and Capabilities: Recommendations of the National Institute of 
Standards and Technology, was written by Tim Grance of NIST, Tamara 
Nolan, Kristin Burke, and Rich Dudley of Booz Allen Hamilton, and 
Gregory White and Travis Good of the University of Texas-San Antonio. 
The publication of the guide was supported by the Department of Homeland 
Security (DHS).

The guide discusses the need for establishing a TT&E program and the 
steps involved in creating the TT&E program. In addition, the guide 
discusses the role of training in a TT&E program and the relationship of 
training to exercises and tests. Two types of exercises are detailed: 
tabletop exercises and functional exercises. The section on tabletop 
exercises helps organizations determine their need for these exercises 
and advises how to design, develop, conduct, and evaluate the exercises. 
The section on the design phase of developing these exercises helps 
users to determine the topics and scope of the exercises, to identify 
the objectives, to identify participants and training staff, and to 
coordinate logistics. Other sections contain similar information for 
functional exercises and for tests.  Included in the appendices are 
samples of the documentation associated with tabletop exercises, 
functional exercises, and tests. Also in the appendices are a glossary 
of terms used, an acronym list, and a listing of print and online 
resources that may be helpful in establishing and managing a TT&E 
program.

The TT&E guide is available on NISTs web pages at:

http://csrc.nist.gov/publications/nistpubs/index.html. 

Establishing a Test, Training, and Exercise Program

Organizations should maintain their IT plans so that they will be 
prepared to manage and recover from adverse events that could disrupt 
their operations. Contingency and computer security incident response 
plans, which are part of the organizations IT planning framework, are 
examples of plans that address recovery from adverse events.  A TT&E 
program contributes to the effective maintenance of all IT plans through 
the following activities:

* Tests evaluation tools that use quantifiable metrics to validate the 
  operability of a system or system component in an operational 
  environment as specified in an IT plan.  Tests could include 
  activities such as checking if call tree cascades can be executed 
  within prescribed time limits or removing power from a system or 
  system component. Quantifiable metrics can be collected when these 
  activities are performed. The organization should develop a test plan 
  to identify the systems or components to be tested and the overall 
  test objectives. Testing that results in components or systems 
  malfunctioning or becoming inoperable could indicate problems in 
  personnel training or in IT plans and procedures. Tests often focus on 
  recovery and backup operations; however, testing can be conducted to 
  accomplish other goals, depending upon the specific IT plan.

* Training advising personnel of their roles and responsibilities 
  within a particular IT plan, such as decision making, and teaching 
  them skills related to those roles and responsibilities. These 
  training activities prepare staff members for participation in 
  exercises, tests, and actual emergency situations related to the IT 
  plan. Staff members are trained on their roles and responsibilities 
  before an exercise or test event. Discussions at these training events 
  enable staff members to demonstrate their understanding of the subject 
  matter.

* Exercises simulations of an emergency designed to validate the 
  viability of one or more aspects of an IT plan. Exercises help to 
  identify gaps and inconsistencies within IT plans and procedures, as 
  well as cases where personnel need additional training or when 
  training needs to be changed. In an exercise, personnel with roles and 
  responsibilities in a particular IT plan meet to validate the content 
  of a plan through discussion of their roles and their responses to 
  emergency situations. The responses may be executed in a simulated 
  operational environment or through other means of validating responses 
  that do not involve using the actual operational environment for 
  deployment of personnel.  Exercises are scenario-driven; for example, 
  an exercise might be concerned with a power failure in one of the 
  organizations data centers or a fire that causes certain systems to be 
  damaged. Often exercises provide for the presentation of more than one 
  adverse situation.  Two types of exercises are discussed in the guide:

-  Tabletop exercises, which are discussion-based exercises enabling 
personnel to meet in a classroom setting or in breakout groups to 
discuss their roles during an emergency and their responses to a 
particular emergency situation. A facilitator presents a scenario and 
asks the exercise participants questions related to the scenario. The 
questions initiate discussion among the participants of roles, 
responsibilities, coordination, and decision making. A tabletop exercise 
is discussion-based only and does not involve deploying equipment or 
other resources.

-  Functional exercises, which allow personnel to validate their 
operational readiness for emergencies in a simulated operational 
environment. Functional exercises are designed to exercise the roles and 
responsibilities of specific team members, procedures, and assets 
involved in one or more functional aspects of an IT plan, such as 
communications, emergency notifications, or IT equipment setup. 
Functional exercises vary in complexity and scope, and range from the 
validation of specific aspects of a plan to full-scale exercises that 
address all plan elements. Functional exercises allow staff members to 
execute their roles and responsibilities as they would in an actual 
emergency situation, but in a simulated manner.

The TT&E Plan

Organizations should develop TT&E plans that outline all of the elements 
of the TT&E program and all of the steps that need to be taken to carry 
out the program. The TT&E plan should define the organizations roadmap 
for ensuring a viable capability and outline the organizations approach 
to maintaining plans, as well as enhancing and managing the capability. 
Enhancing emergency plans, policies, and procedures will promote more 
efficient utilization of capabilities in responding to cyber attacks. In 
addition, the TT&E plan should identify resource and budget requirements 
that will enable the organization to achieve an effective, proven 
capability, and should provide a schedule for conducting various types 
of TT&E events.

Steps in Developing a TT&E Program

In addition to developing their TT&E plans, organizations should take 
the following steps to create a TT&E program:

* Develop a comprehensive policy. The comprehensive policy should 
  outline the organizations internal and external requirements that are 
  associated with training personnel, exercising plans, and testing 
  components and systems. The policy also provides an overall framework 
  for an explanation of the purpose and objectives of the program; 
  references for applicable federal and internal guidance; the rules 
  that govern how the organization develops and administers the TT&E 
  events; and requirements for the documentation associated with TT&E 
  events.

* Identify roles and responsibilities. The TT&E program should be 
  managed by a person or team with direct responsibility for the 
  organizations IT planning functions. In many federal organizations, 
  these functions are carried out by the Office of the Chief Information 
  Officer (OCIO). An IT plan coordinator should be designated to be 
  responsible for all aspects of IT planning, including development, 
  implementation, and maintenance. The plan coordinator should have 
  responsibility for the TT&E element of maintaining the IT plans and 
  should identify a TT&E program coordinator, who is responsible for 
  developing a TT&E plan and coordinating events. The TT&E program 
  coordinator works with event design teams in planning and conducting 
  TT&E events. Organizations may decide to procure specialized software 
  or obtain external support to assist in forming or staffing these 
  teams.

* Establish an overall schedule. The TT&E plan should document the 
  projected schedule of activities to be performed within the TT&E 
  program. Although events should be conducted as needed, organizations 
  should evaluate the required frequency of its events and document the 
  frequency of each event in a TT&E schedule. For example, NIST SP 
  800-53 requires federal agencies to conduct exercises or tests for 
  their systems contingency plans and incident response capabilities at 
  least annually. The testing activities discussed in the guide are not 
  the same as the testing activities performed for system certification 
  and accreditation (C&A). C&A activities are associated with the 
  security of systems under normal conditions. Although the requirements 
  of C&A and TT&E test events are usually different, organizations may 
  wish to avoid duplication of efforts and conduct a single testing 
  event that encompasses requirements that are common to both C&A and 
  TT&E.

* Document methodology. In creating a TT&E program, an organization 
  should select and document a high-level methodology for planning and 
  performing TT&E events. The methodology includes four basic phases, 
  which should be used for each event.

-  Design the event. The TT&E program coordinator works with the IT plan 
coordinator to determine the TT&E event topic and scope based on the 
current needs of the organization. Examples of topics include training 
personnel on their specific roles and responsibilities within an IT 
plan, exercising response procedures, and testing a specific system. 
Next, the TT&E program coordinator identifies the objectives based on 
the topic and scope, and the personnel who should participate in the 
event. The TT&E program coordinator also identifies an event design 
team, which may consist of one person or a group of people, depending on 
the requirements of the event. The TT&E program coordinator oversees the 
event logistics, which could include providing needed documents, having 
the room set up, and arranging for meals and audiovisual equipment.

-  Develop the event documentation. Upon completion of the design phase, 
the TT&E program coordinator works with the design team on the 
development of the documentation to be used before, during, and after 
the event. The types of documentation vary for each type of event, but 
could include briefing materials, participant manuals, instructor and 
facilitator guides, test plans and scripts, and evaluation criteria.

-  Conduct the event. In this phase, the training, exercise, or test 
event is conducted. The details of this phase may vary greatly depending 
upon event type and scope.

-  Evaluate lessons learned from the event. The evaluation phase is used 
to analyze the event and identify lessons learned, both to improve the IT 
plans and their execution, and to improve the TT&E process. Participants 
in training events can be asked to complete an evaluation form, and 
their comments can be analyzed and documented in a training analysis 
report. Future training sessions may then be modified as needed. 
Participants in exercises or tests can discuss in a follow-up debriefing 
session those activities that went particularly well and those that they 
think should be modified or enhanced. Findings discussed during the 
debriefing sessions, observations made during the course of the event, 
and considerations for enhancement are documented in an after action 
report.

NIST Recommendations for TT&E Programs

Organizations should develop TT&E programs that combine training, 
exercise, and testing activities. These activities are closely related, 
but offer different ways of identifying problems with IT plans and 
procedures.

The TT&E program should include a TT&E plan, policy, event methodology, 
and procedures. It should address resource and budget requirements, and 
provide a schedule for conducting types of TT&E events.

The TT&E plan should document the projected schedule of activities to be 
performed within the TT&E program. TT&E events should be conducted 
periodically, following organizational changes, updates to an IT plan, 
or the issuance of new TT&E guidance.

TT&E events should be conducted as needed, and organizations should 
evaluate the required frequency of its events and document the frequency 
of each event in a TT&E schedule. The TT&E program should include 
several types of events to ensure the availability of a wide range of 
methods for validating various planning elements in the context of cyber 
incidents.

More Information

Other NIST publications that support test, training, and exercise 
processes include:

NIST SP 800-16, Information Technology Security Training Requirements: A 
Role- and Performance-Based Model, presents a framework for meeting the 
organizations requirements to provide IT security training that is 
appropriate for current and future computing environments.

NIST SP 800-18, Guide for Developing Security Plans for Federal 
Information Systems, assists organizations in developing security plans 
that summarize the security requirements for each information system and 
identify the security controls in place or planned for meeting the 
requirements.

NIST SP 800-34, Contingency Planning Guide for Information Technology 
Systems, provides instructions, recommendations, and considerations for 
federal government IT contingency planning.

NIST SP 800-50, Building an Information Technology Security Awareness 
and Training Program, assists organizations in providing IT users with 
training on security policies, procedures, and techniques, including the 
security controls that are available to protect information and systems.

NIST SP 800-53, Minimum Security Controls for Federal Information 
Systems, provides guidance in selecting, specifying, and tailoring 
security controls that will provide an appropriate level of security, 
based on the organizations assessments of risk to its information and 
systems. The controls are administrative, operational, and technical 
safeguards that are selected, based on the security categorization of 
the information and systems.

NIST SP 800-61, Computer Security Incident Handling Guide, discusses how 
to organize a security incident response capability and how to handle 
incidents including denial of service, malicious code, unauthorized 
access, and inappropriate use of systems.

NIST publications assist organizations in planning and implementing a 
comprehensive approach to IT security. For information about NIST 
standards and guidelines that are referenced in the test, training, and 
exercise guide, as well as other security-related publications, see 
NISTs web page:

http://csrc.nist.gov/publications/index.html. 

Disclaimer
Any mention of commercial products or reference to commercial 
organizations is for information only; it does not imply recommendation 
or endorsement by NIST nor does it imply that the products mentioned are 
necessarily the best available for the purpose.



Elizabeth B. Lennon
Writer/Editor
Information Technology Laboratory
National Institute of Standards and Technology
100 Bureau Drive, Stop 8900
Gaithersburg, MD 20899-8900
Telephone (301) 975-2832
Fax (301) 975-2378


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