Best In Class Security and Operations: What Do They Do And ...

Best In Class Security and Operations: What Do They Do And ...

Visible Ops: Building Effective & Auditable ITIL Change Management Processes in 4 Steps: Phase One Gene Kim, CTO, Tripwire, Inc. October 27, 2004 The Challenges How do I simultaneously contain costs, improve security and service levels, and address regulatory compliance? What is my first step in building an ITIL change management process? How will I know that its working? What order should I tackle the ITIL process areas? How do I attest to auditors that I have effective change management processes? Sarbanes-Oxley Section 404 HIPAA, GLBA, CFR11a, etc. How do COBIT and ITIL fit together?

How do I create a good working relationship with my auditors? What do auditors doing controls-based auditors look for? What happens if they cannot find effective controls? Agenda Examine the high-performing IT operations and security organizations What they all have in common What we can learn from them Define the ideal working relationship between IT and audit Why auditors talk the way they do What auditors need to see Building auditable and effective change management processes in four steps: Stabilize Patient Catch & Release and Find Fragile Artifacts Establish Repeatable Build Library Enable Continuous Improvement The Highest Performing IT Organizations

High performance Ops and Security organizations have: Highest ratio of staff deployed on pre-production processes Lowest amount of unplanned work Highest change success rate Best posture of compliance and security Common Process Areas Of High Performers All the high-performers had self-derived the same way of working Culture of change management Culture of causality Culture of compliance and desire to continually reduce variance Service Design & Management Security Management Service Level Management Capacity Management

Availability & Contingency Management Service Reporting Financial Management Control Processes Asset & Configuration Management Change Management Release Processes Release Management Supplier Processes Resolution Processes Incident Management Problem Management Automation Customer Relationship Management Supplier Management Common Traits Of The Highest Performers Culture of change management

Integration of IT operations and security processes via problem management and change management processes Processes that serve both organizational needs, as well as business objectives Highest rate of effective change (approved changes, change success rate) Culture of causality Highest service levels (MTTR, MTBF) Highest first fix rate (unneeded rework) Culture of compliance and continual reduction of operational variance Production configurations Highest level of pre-production staffing Effective pre-production controls Effective pairing of preventive and detective controls Causal Factors of IT Downtime

Operator Error System Outages 60% 20% Security Related NonSecurity Related Application Failure 20% Source: IDC, 2004 5% 15% Capability Levels Organization controls the changes: Changes control the organization: 3 - Closed-Loop Process

15-35% of time spent on unplanned work Some ticketing / 35-50% of time workflow system in spent on place unplanned work Changes Some technology documented and deployed approved You have the right Change success vision but no rate is high accountability Service levels are Server-to-admin pretty good ratio is way too Server-to-admin low ratio is good, but IT costs are too not BoB high IT costs are

Process subverted improving but still Closed-Loop by talking to the Using The Honor System too high Change Mgt right people Security incidents down Effectiveness 2 - Using Honor System 1 - Reactive Over 50% of time spent on unplanned work Chaotic environment; lots of fire fighting MTTR is very long; poor service levels Can only scale by throwing people at the problem

Reactive Based on the IT Process Institutes Visible Ops Framework 4 - Continuously Improving <5% of time spent on unplanned work Change success rate is very high Service levels are world class IT operating costs are under control Can scale IT capacity rapidly with marginal increases in IT costs Change review and learning processes are in place Able to increase capacity in a costContinuously effective way Improving

Why Auditors Do The Things They Do Given enough time and resources, auditors would love to count all the beans Go into the warehouses, open up all the containers, and inspect all the contents Rarely does this actually happen, for obvious reasons Instead, auditors go to the bean counting machine to see whether the results are trustworthy What controls ensure that it hasnt been subverted? What controls ensure that the results are correct? For a variety or reasons, auditors are shifting from substantive audits to control audits IT Controls 101 Preventative Controls Separation of duties Change management and authorization processes

Detective Controls Production controls around change management and configuration management Corrective Controls Restoration and backup systems Ideal Attestation of Controls High performing shops typically have the highest service levels and the lowest cost of controls Best service levels (MTTR, MTBF), lowest amount of unplanned, unscheduled work, highest server/sysadmin Best working relationship with audit. Least amount of time dedicated to compliance activities Why? They can point to their change management and governance process (preventative controls) They can show that the processes are working (detective controls)

How? Change management meeting minutes Three-ring binder of change orders and verified changes COBIT and Change Management COBIT AI6: Managing Changes Control Objective Tripwires Role 6.5 Documentation and Procedures Tripwire is used to validate that all changes are tracked, synchronized with documentation (run books, etc.), and applied consistently across the appropriate systems. The change process should ensure that whenever system changes are implemented, the associated documentation and procedures are updated accordingly. 6.6 Authorised Maintenance IT management should ensure maintenance personnel have specific assignments and that their work is properly monitored. In addition, their system access rights should be controlled to avoid risks of unauthorised access to automated systems.

By reporting what changed on each system, when it occurred, and who made the change, Tripwire is used to ensure that all changes made are authorized, and made by authorized personnel . Out of scope changes, inconsistently applied changes, changes that occur outside the maintenance window, and other inappropriate changes are therefore discovered before they impact system availability. 6.7 Software Release Policy IT management should ensure that the release of software is governed by formal procedures ensuring sign-off, packaging, regression testing, handover, etc. Tripwire enables IT management to validate that formal sign-off processes are adhered to. Tripwire is also commonly used to ensure that packages are not altered during handoffs (through pre- and post- handoff comparison of released packages). 6.8 Distribution of Software Tripwire can compare changes that occur on production systems back to a reference baseline to ensure that software distribution happens consistently across target systems, within the prescribed time. All changes are recorded for historical and audit-related reporting and analysis.

Specific internal control measures should be established to ensure distribution of the correct software element to the right place, with integrity, and in a timely manner with adequate audit trails. COBIT DS9: Managing The Configuration Control Objective Tripwires Role 9.2 Configuration Baseline Configuration baselines are a core competency of Tripwire software. Tripwire maintains a history of current and previously authorized baselines to determine whether the current (as-is) device and system configuration matches the authorized (asspecified) state, according to the configurations youve authorized for use in your environment. Tripwire can also enable rollback to an authorized state either by performing the rollback directly or providing a manifest to drive third-party restoration / provisioning systems. IT management should be ensured that a baseline of configuration items is kept as a checkpoint to return to after changes. 9.4 Configuration Control Procedures should ensure that the existence and consistency of recording of the IT configuration is periodically checked.

9.5 Unauthorised Software Clear policies restricting the use of personal and unlicensed software should be developed and enforced. The organisation should use virus detection and remedy software. Business and IT management should periodically check the organisations personal computers for unauthorized software. Compliance with the requirements of software and hardware license agreements should be reviewed on a periodic basis. Tripwire integrity checks provide the means to assess the existence, consistency, and conformance of device and system configurations. These checks can be performed on an automatic, ongoing basis, as well as initiated on-demand by administrators. Tripwire is frequently used by customers to identify unauthorized or rogue applications within the production environment. This aids in enforcing configuration standards, as well as assisting in identification. Isolation, and recovery from day zero attacks from viruses or worms The Tragic Truth About Auditors Auditors gravitate to where controls appear weakest

To attract the attention of auditors, have unexplained outages and lots of unexplained changes The top leading indicators of risk when we look at an IT operation are: poor service levels and unusual velocity of changes. Bill Philhower Visible Ops: Four Steps To Build An Effective Change Management Process Each of the four Visible Ops steps is: A finite project: not a ISO 9001 initiative or a vague 5-year vision Catalytic: returns more resources to the organization than it consumes, fueling the next steps Sustaining: process stays in place, even when the initial force behind it disappears Auditable: supports factual reporting and attestation to process adherence and consistency Ordered: must be done in the specified order to achieve the above Model based on five years studying highperforming IT Ops and Security organizations Visible Ops has been donated to the ITPI

Visible Ops: Four Steps To Build An Effective Change Management Process Service Design & Management Security Management Service Level Management Capacity Management Availability & Contingency Management Service Reporting Financial Management Control Processes Asset & Configuration Management Change Management Phase 3: Establish Repeatable Build Library Release Processes Release Management Tripwire captures known

good state in preproduction. Tripwire captures production changes that need to be baked into the build. Phase 4: Continually improve Tripwire detects change, which all process areas hinge upon. Supplier Processes Resolution Processes Incident Management Problem Management Automation Phase 1: Electrify Fence, Modify First Response Tripwire enforces the change process. Tripwire rules out change as early as possible in the repair cycle. Customer Relationship Management

Supplier Management Phase 2: Catch and Release, Find Fragile Artifacts Tripwire protects fragile artifacts. Tripwire enforces change freeze and prevents configuration drift. Phase 1: Stabilize Patient, Modify First Response Phase 1: Stabilize Patient, Modify First Response Tripwire and IP Services Issues We have a tendency to light and fight our own fires 80% of outages are self-inflicted 80% of MTTR is dominated by asking what changed? With sufficiently low change success rate, high rate of

change, and high MTTR, we are spending all our time doing unplanned, unscheduled work Best in class: 5% of OpEx is spent on unplanned work Average: estimated around 25-45% Changes are made without authorization, proactive scheduling, or full documentation "The most likely way the world will be destroyed, most experts agree, is by accident. That's where we come in; we're computer professionals. We cause accidents." Nathaniel Borenstein Stabilize Patient Curb the major cause of outages: 80% of outages are selfinflicted Identify critical patients, clear everyone away from them unless they are authorized to operate Document this new change policy: no changes unless authorized (preventative)

At this point, anyone even holding a scalpel should be viewed with suspicion Electrify The Fence We have now prescribed our first preventative change process and policy Why do most change management initiatives fail? What is the top audit finding around change controls? Now we must manage by fact instead of manage by belief by electrifying the fences No one is allowed to be inside the change fence except on the weekends Why did Joe Bob touch the fence on Monday at 2:11am? Document what should happen to Joe Bob: Public shaming, take a day off, or more What is often overlooked is that if one person can single-handedly save the ship, that one person can probably single-handedly sink the ship, too.

-- Unknown Create Change Team Get all necessary stakeholders who can best make decisions about changes, encompassing business goals, operational risks, technical risks, etc. Key stakeholders for us Security Lead, Ops Systems Engineering Lead, VP of Operations, Service Desk Manager, Director of Network Operations, and Internal Audit Create weekly change management meetings mandatory for all CAB members. Hold Weekly Change Management Meetings Create a path from desired change, to requested change, authorized change, scheduled change, implemented change, verified change.

Review implemented changes and ensure that all actual changes mapped to authorized work Enable highest change throughput for the organization, best serve business needs, with the least amount of bureaucracy possible Weekly 15 min change management meetings are possible, with practice Keep good records of requested changes, authorized changes, and scheduled changes Change Management Guidelines Dont: Dont authorize changes that do not have rollback plans that everybody reviews Dont allow rubber stamping approval of changes Dont let any system changes off the hook someone made it, so understand what caused it Do: Do post-implementation reviews to determine whether the change succeeded or not Do track the change success rate Do use the change success rate to avoid making historically risky changes Its not the strongest species that survive, nor the

most intelligent but the one most responsive to change. Charles Darwin Spectrum: Managing Change Dont expect to be doing closed loop change management right out of the chute awareness is better than being oblivious, managed is better than unmanaged! Spectrum Oblivious to change: "Hey, did the switch just reboot?" Aware of change: "Hey, who just rebooted the switch?" Announcing change: "Hey, I'm rebooting the switch. Let me know if that will cause a problem." Authorizing change: "Hey, I need to reboot the switch. Who needs to authorize this?" Scheduling change: "When is the next maintenance window - I'd like to reboot the switch then?" Verifying change: "Looking at the fault manager logs, I can see that the switch rebooted as scheduled." This is what SO-404 requires! (Preventative and detective controls) Create Trusted Authorized Work Queue and Change

Calendar Create a work ticketing system that contains all the authorized work that went through the change management process Create a change calendar (Forward Schedule Of Change) that the change manager uses to coordinate resources, manage risks, etc. Modify First Response (1/2) The key to a catalytic change management process is that it must return value back to the organization Decrease MTTR, dominated by 80% where people ask what changed? by integrating change management process into problem management Whenever problem managers are mobilized, have all authorized changes and actual changes in the work ticket

The Microsoft MOF study showed that their best in class customers rebooted their servers 20x less often, and also had 5x fewer blue screens of death. Modify First Response (2/2) Eliminate change as early as possible by identifying the assets directly involved in the ticket and auditing them against their configuration baseline for the last 72 hours. All changes found are attached to the ticket. If no changes are found the circle is widened to include changes made to infrastructure supporting the target systems. Grant me the Serenity to accept the things I can not change, Courage to change the things I can, and Wisdom to know the difference. Dr. Reinhold Niebuhr (excerpt from the Serenity Prayer) Phase 1: What You Have Built

Documented correct path from desired change to authorized change, scheduled change, implemented change, and verified change Created documentation that the process is working Returning value back to IT Ops by reducing MTTR, increasing change success rate and effective change throughput What To Show The SO-404 Teams Change governance and management processes Meeting minutes of the change management meetings Authorization processes

Three ring binder of stapled items: Authorized work order Change report on infrastructure showing correct changes made Signature of change manager verifying correct implementation of change What To Show The Auditors List of all outages and unscheduled downtime Change management metrics Change rate (per week) Change success rate MTTR, MTBF This would make most auditors breathe a sign of relief Visible Ops: Four Steps To Build An Effective Change Management Process Service Design & Management Security Management Service Level Management

Capacity Management Availability & Contingency Management Service Reporting Financial Management Control Processes Asset & Configuration Management Change Management Phase 3: Establish Repeatable Build Library Release Processes Release Management Tripwire captures known good state in preproduction. Tripwire captures production changes that need to baked into the build. Phase 4: Continually improve

Tripwire detects change, which all process areas hinge upon. Supplier Processes Resolution Processes Incident Management Problem Management Automation Phase 1: Electrify Fence, Modify First Response Tripwire enforces the change process. Tripwire rules out change as early as possible in the repair cycle. Customer Relationship Management Supplier Management Phase 2: Catch and Release, Find Fragile Artifacts Tripwire protects fragile artifacts.

Tripwire enforces change freeze and prevents configuration drift. Phase 4 Which Metric Do You Want To Improve? Release Controls # of changes authorized per week # of actual changes made per week Change success rate # of emergency changes # of service-affecting outages # of special changes # of business as usual changes Change management overhead Configuration variance Time to provision known good build # turns to a known good build

Shelf life of build % of systems that match known good build % of builds that have security sign-off # of fast-tracked builds Ratio of release engineers to sysadmins Resolution MTTR, MTBF % of time spent on unplanned work Why Is Unplanned Work Such A Good Indicator? # of production changes High performer Average X failed change % or unauth changes

X mean time to repair = % of time spent on unplanned work > 1000 chg/wk < 1% minutes < 5% of OpEx unknown, hundreds ~30-50% (avg) hours, days 35-45% of OpEx

Average: 35-45% of OpEx spent on unplanned work! Impact: late projects, rework, compliance issues, uncontrolled variance, etc What Affects These Variables? # of production changes X failed change % or unauth changes X mean time to repair = % of time spent on unplanned work Behaviors that increase change success rate: Behaviors that decrease MTTR: Effective change testing

Effective risk review when approving changes Effective identification of change stakeholders Effective change scheduling Behaviors that reduce unauthorized changes: Culture of change management Management ownership of change process Effective monitoring of infrastructure with detective controls to enforce change process Management use of corrective action when change processes are not followed Culture of causality: desire to rule out change first in problem repair cycle Effective change management process that can report on authorized and scheduled changes Ability to distinguish planned and unplanned outage events Effective communications around scheduled changes Effective monitoring of infrastructure for production changes What Do These Transformations Look Like? Examples

Joe Judge at Adero Ken Larson at Schlumberger-SEMA Kevin Behr at IP Services Financial returns of process transformations Increased availability and decreased MTTR Reduction of unplanned work from 50% to 5% of OpEx Increased delivered capacity by 2x with 10% increase in OpEx Increased delivery of planned projects that deliver higher value to the business Fulfilled compliance and reduced cost of compliance Why Do Auditors Love Continuous Improvement? Controls are owned by the business to meet business objectives! Instead of there only to make auditors happy! Auditors hate dragging organizations to implement controls, especially if creates grudging and literal interpretations of findings

Continuous improvement requires process and controls, to detect and reduce variance ITIL and COBIT ITIL defines the set of all IT operational processes COBIT defines all the controls that can be wrapped around them ITIL and COBIT are complementary and orthogonal: Six Sigma defines how to build processes and their corresponding controls to continually monitor and reduce variance ITIL defines the change management processes COBIT defines the controls to ensure that the ITIL processes are auditable and effective Caught in the Crossfire of Change Rate of change is increasing with no signs of slowing Business objectives

SarbOx, GLBA, CISP, etc. Distributed systems Heterogeneous environments Quality improvement Risk mitigation Service levels Staffing & Budgets Getting Control of Change Control frameworks prescribe internal controls to enhance operational performance, security, and regulatory compliance COBIT, ITIL, ISO17799, SAS70 Preventive Preventive Firewalls, AV, IDS Vulnerability analysis Identity management

Change ticketing Help desk ticketing Process Controls Corrective Backup/Restore Provisioning Detective Automated change monitoring Integration with other tools & controls Change documentation & reporting Detective Detective Manual inspection Scripts Change Management Process Controls Manual inspection Scripts

Corrective Patch management Provisioning Security Tripwire Change Auditing Solutions 1. Actual changes are detected on production systems and reconciled with approved and intended changes Enterprise Management Systems Change Management Incident Management Release Management Approved Mgmt Reports Intended Unexpected

Reconciled Audit Reports Verified CMDB Actual Infrastructure Systems (Servers, Network Devices, etc.) 2. Change auditing results then flow back to change tickets, trouble tickets, audit and mgmt reports, plus configuration mgmt databases (CMDB) Can You Answer These Questions? Pick any piece of your infrastructure (router, server, firewall, etc.) If a change is made to this device, how will you know? How soon will you know? How will you know if the change is good or bad? How long will that process take? What happens when the change is good? What happens when the change is bad? How do you verify that each change has been reconciled?

How do you report on all of the above? Can you provide a historical report accounting for all changes in your environment? This is what auditors want to know about how changes are managed in your IT infrastructure With Tripwire, you can answer all of these questions Improving Service Quality And Availability Customer: IT Services operations of a Major Energy Services company Problem: Change management in place, but lacked enforcement Saw changes occurring, but didnt have the means to validate Tripwire solution: Tripwire detects change and puts teeth in the process Tracking What, When, Who, How and Why a change was made

Tripwire provides black and white documentation to enforce process Increased staff efficiency, uptime, and service quality We used to spend 45% to 50% of our time on unplanned work. Now its around 5%. In spite of force reductions, customers describe our services as phenomenally better now. Get Involved! Join ICOPL (ITPI Community Of Practice List-Serv) There is now a Visible Ops Pocket Guide!

We are looking for volunteers to help with our research projects. IMCA is now online at the ITPI If you have a high performing organization, we want to study you! Summary Control is possible. We merely need to look at the high-performing IT organizations to confirm this. Transformation is possible. Visible Ops is the result of years of studying high-performing IT operations and security organizations in conjunction with the ITPI

Visible Ops illustrates how interested organizations might replicate the processes of these high-performing organizations in just four, achievable steps Gene Kim: [email protected]

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