Security Operations Center A Framework For Automat
Security Operations Center A Framework For Automat
https://www.scirp.org/journal/jis
ISSN Online: 2153-1242
ISSN Print: 2153-1234
Paul Danquah
Council for Scientific and Industrial Research, Institute for Scientific and Technological Information (CSIR-INSTI), Accra, Ghana
Keywords
Security Operations Center, Triage, Containment, Escalation, Information
Security
1. Introduction
Security Operations Center (SOC)s are central protection groups that focus on
security incident management with capabilities such as monitoring, preventing,
responding, and reporting. “They are one of the most critical defense compo-
nents of a modern organization’s defense. Despite their critical importance to
organizations, and the high frequency of reported security incidents, only a few
research studies focus on problems specific to SOCs” [1]. The growing number
and severity of cybersecurity threats, combined with a shortage of skilled securi-
ty analysts, have led to an increased focus on cybersecurity research and educa-
tion [2]. These concerns suggest challenges with triage, containment and escala-
tion of security threats. Triage in the information security context refers to the
process of determining the priority of addressing incidents based on the severity
of the security breach or compromise. Containment in the information security
context is the action taken to prevent a security compromise or breach, thus to
bring it under control or within limits. Escalation in the information security
context refers to the process of involving experts of a higher tier in addressing
security incidents, breach or compromise.
Brewer [3] revealed that 77% of respondent organizations in 2018 were com-
promised during the 12 months ahead of the study. It was further revealed that
given a skills shortage and working with tight budgets, security operations cen-
tres (SOCs) are struggling with limited resources. The problems faced by SOCs
need a solution, and embedded security orchestration, automation and response
(SOAR) promises to be just that. This was confirmed by [4] Li and other re-
searchers on the subject matter.
There have therefore been a lot of research efforts and studies to improve the
safety of critical infrastructures using the SOC. Notable as part of efforts is the
Enhanced Security Control (ESC) model with Blocking Prioritization (BP)
process for critical infrastructures to improve daily incidents response activities,
this was proposed by [5]. “This ESC model has a BP process with six factors to
consider when deciding which IT systems to be blocked from foreign IP ranges:
foreign relation, real login, blocking complexity, stop tolerance, outer relation
and stop impact. By considering these six factors, the ESC model can make it
possible to prioritize Blocking Impact Degree (BID) of IT systems and help make
decision to block from unnecessary foreign IP ranges” [5]. The proposed ESC
model was intended to reduce security events and make a better condition for
concentration on the remaining unblocked and crucial information technology
systems. Another proposal for addressing specifically detection of attacks with-
out training, yet improved performance through training was sonification. Pro-
posed by [6], data represented as sound, can be used to turn network attacks and
network-security information into audio signals. “This could complement the
range of security-monitoring tools currently used in Security Operations Centres
(SOCs). Prior work in sonification for network monitoring has not assessed the
effectiveness of the technique for enabling users to monitor network-security
information”. The proposal further investigated the viability of using sonified
network datasets to enable humans to detect and identify network attacks. The
results showed that “by listening to the sonified network data, participants could
detect attacks accurately and efficiently, including combinations of attacks, and
identify the types of attacks” [6]. An interesting outcome was the fact that par-
ticipants could detect attacks without training, yet improved performance was
experienced through training. A description of the design and implementation
of an education and research Security Operations Center (SOC) to address SOC
issues, these included components such as a lab with honeypots, visualization
tools, and a lightweight cloud security dashboard with autonomic orchestration
[2].
A structure of a SOC system based on D-S evidence theory was also proposed
with a prototype of SOC system developed according to the structure, experi-
mental results indicated that the SOC system based on D-S evidence theory can
increase greatly the correctness of detection intrusion and decrease the rate of
false positive [7].
As a unique contribution to addressing SOC concerns raised by many re-
searchers and industry professionals such as [1] [2] and [3], this study sets out
assess weaknesses of the proposed solutions and propose a unified framework to
address limitations observed in delivering optimal SOC solutions with emphasis
on automating the process of triage, containment and escalation.
2. Methodology
This research work used a predominantly desk review, qualitative and descrip-
tive approach. Descriptive research design helps provide answers to the ques-
tions associated with a particular research problem and can yield rich data that
lead to important recommendations in practice [8]. This approach collected a
large amount of secondary data for detailed analysis, it is effective to analyze
non-quantified topics and issues, the possibility to observe the phenomenon in a
completely natural and unchanged natural environment gives the opportunity to
integrate the qualitative and quantitative methods of data collection. The me-
thodology is premised on the mindset of a potential cybercriminal operating on
the foundations of the criminological theory of Routine Activity Theory which
suggests that; all crimes require suitable targets, lack of a suitable guardian and a
motivated offender [9]. The research approach therefore uses a predominantly
secondary source of data that is qualitatively analyzed to deduce strengths and
weaknesses for the current SOC implementations as a premise for proposing the
framework.
3. Literature Review
Theoretically, numerous perspectives can be the source of instruction for the
automation of SOC operations. It is worth noting that the operationalized defi-
nition of information security in this context is ensuring confidentiality, integri-
ty and availability of information at all times. A theory of information security as
a number of constructs with relationships to produce resources was proposed by
[10]. The constructs are information, controls and threats that interact to pro-
duce resources. Relating this to the SOC and the automation of triage, contain-
ment and escalation, information is fundamental to the entire process and its
relative exposure to threats is dependent on the efficiency and effectiveness of
controls available.
Assessing information security from a criminological perspective, the Routine
Activity Theory which is a generic criminological theory that was proposed by
[9] suggested that for a crime to be committed, the following must be concur-
rently present:
“1) A suitable target is available: The suitable target here refers to a person,
object or place.
2) There is lack of a suitable guardian to prevent the crime from occurring:
The capable or suitable guardian refers to a deterrent like police patrols, security
guards, neighborhood watch, door staff, vigilant staff and coworkers, friends,
neighbors and CCTV systems.
3) A motivated offender is present: This presupposes that there can be no vic-
tim without the intentional actions of another individual.”
The theory certainly relates to all forms of cybercrime; a crime would only
occur when there is the opportunity for the crime to be committed. Opportunity
tends to be root cause of crime, the routine activity theory was tested and con-
firmed by [11] within the cybercrime context their publication related to on-line
activities, guardianship, and malware infection.
The SOC in this context is expected to play the role of a suitable guardian to
prevent the crime’s occurrence and limit the potential target’s suitability.
A theoretical attempt to address crime commission in general was the intro-
duction of the Crime Displacement: [12], this theory focused on crime reduction
via opportunity reduction. The theory’s suggestion of addressing crime by mov-
ing the crime from one locale another tends to its suggestive solution. The lo-
cales suggested range from namely:
“Geographical: Moving Crime from one location to the other
Temporal: Moving Crime from one time to the other
Target: Moving Crime from one target to the other
Tactical: Changing the approach to committing the crime from one to the
other
Crime type: Changing the type of crime that is to be committed” [13].
These three theories are relatively relevant for theorizing SOC operations
from the reason for their existence and essence for optimal operation.
SOC Evolution
The SOC solution components have changed over time due to resources
available and expected services. Various professionals and researchers have pro-
vided varying stages as the evolution stages in SOC operations. The change over
time is as a result of the extent to which information has become so critical and
the perceived essence of protecting the information. This well confirmed theo-
retically by the Protection Motivation Theory by Rogers [14] which suggests that
people protect themselves based on four factors being namely:
“1) The perceived severity of a threatening event
Juxtaposing the two evolution generations reveals that the generations de-
picted SOC capabilities in response to increasingly sophisticated attacks
throughout the evolution.
The earliest generation relied on a team not necessarily skilled or trained to
handle information security events and incidents. Predominantly troubled by
malicious code, security operations were not delivered by the establishment of a
formal SOC, but in many cases by IT staff who were not necessarily solely re-
sponsible for security. This could be responsibility for device and network health
monitoring, managing antivirus security across the organization, and log collec-
tion. Log collection for the first-generation SOC was limited in the number of
sources and types of devices capable of producing logs, such as firewalls. In
many cases, storing logging messages was done locally. In other cases, a central
logging facility was provisioned to receive log information, mainly in the form of
unencrypted Syslog or Simple Management Network Protocol (SNMP) messag-
es. Unless the system administrator manually accessed and analyzed the logs,
events could go unnoticed, overlooking what could potentially be an account
compromise and leading to what could be considered a major security incident.
Subsequently, predominantly troubled by botnets, the next generation leve-
raged on the emergence of tools such as the security information and events
management system (SIEM), security threat management (STM) and security
event management (SEM), which delivers real-time log analysis for the purpose
of threat detection. The typical second generation tool could receive, parse,
normalize, and correlate the different events and eventually alert a security ana-
lyst of any attempted breach that involved human intervention such as failed lo-
gin tries.
Beyond this generation was the improvement on the previous generation by
including the capability of vulnerability scanning management and by usually
executing tasks related to incident response during the vulnerability discovery,
confirmation, and tracking phases. This improved functionality of SOCs in-
cluded the practice in which vulnerabilities are discovered and confirmed, their
impact is evaluated, corrective measures are identified and executed, and their
status is tracked and reported until closure. Typical examples of tools used for
this generation are Qualys27, nCircle28 and Rapid7 Nexpose29.
The most relatively current generation of SOCs extends the limited event cor-
relation seen in previous generations of big data security analytics to perform
real-time or offline sophisticated security analytics. The capability of fourth gen-
eration SOCs further includes data enrichment through the use of sources such
as geo data, Domain Name System (DNS) data, network access control integra-
tion, and IP and domain reputation service and visualization.
Superlatively, an organization that uses technologies from the fourth genera-
tion, such as big data security analytics, should have assumed most of the SOC
services from the previous generations.
Without losing sight of the essence of SOC’s generational evolution, there
have also been proposals on the measurement SOCs’ maturity using bench-
4. Quantitatively Managed: Process is measured Controls are set up to assess the application of
and controlled the validated document.
Source: [17].
traffic, security events, identity/asset context and endpoint data must be in-
cluded in alerts and notifications. This is diagrammatically represented in Fig-
ure 4.
McIntyre, G. & AlFardan [17] were instructive in identifying basis for justify-
ing any form of SOC budget, they explained the essence of responding to essen-
tial questions such as how can one detect a compromise, how severe is the com-
promise, what is the impact of the compromise to the business, who is responsi-
ble for detecting and reacting to a compromise, who should be informed or in-
volved and when is the compromise dealt with once detected, how and when
should a compromise be communicated internally or externally and is that
needed in the first place?
In response to the questions raised, the Observe, Orient, Detect and Adapt
(OODA) methodology was proposed as best approach to addressing the issues.
The OODA was originally developed for military strategy and was adopted as a
proposed basis for justifying SOC budgets. Figure 5 illustrates the steps dia-
grammatically and in the cybersecurity context, the steps are elaborated on as
follows:
“Observe: Monitor, collect, and store data from various points in your net-
work as the first step in the OODA Loop.
Orient: Analyze collected data in search of suspicious activities. This usually
involves the use of tools to process and analyze incoming and stored data.
Decide: Determine an action course based on the results of the analysis phase
and the experience you have gained from previous loop iterations.
Act: Execute the action course you determined in the preceding step.”
(BP) process for critical infrastructures to improve daily incidents response ac-
tivities. A proposal to improve alerts was sonification by [6] where audio signals
are used to represent data. Specifically working towards addressing denial of ser-
vice attack, a proposed defense mechanism consisting of the deep learning algo-
rithm and the Extreme Learning Machine (ELM) algorithm, the Deep au-
5. SOC Architecture
The SOC operations consist of technology, people and processes. In contextua-
lizing this article, the focus is on the technological component and its automa-
tion to address the issues of triage, containment and escalation. The technology
component of SOC focuses on logs of servers, traffic to and from the servers
such as database servers, domain controllers and file servers as well as essential
services used such as web, email etc…
Emphasis for this article is on automating the log collection, its analysis and
actions to be taken in the form of remediation or containment and escalation.
The people component involves various specialists of varying levels referred to
as SOC Analysts. These in turn follow through various best practices as
processes for logging, remediation if not done automatically, possible further
escalation or closing of a ticket.
The SOC log analyzer in Figure 6 is the most critical system in the automa-
tion of triage, containment and escalation in the SOC process. An accurate im-
plementation of the technological solution involves connecting the device(s) to
the network at the appropriate location to obtain the essential relevant data.
Beyond the connection is the need for a software operating with the appropriate
algorithm as shown in Table 2 to effectively process the collected data to ensure
optimal accuracy in the triage, containment and escalation of threats and vulne-
rabilities.
6. Proposed Framework
Further to similar and earlier work reviewed, the framework below is proposed
as the way forward to comprehensively address SOC setups with the capacity to
efficiently perform triage of security threats, vulnerabilities and incidents, effectively
Researcher Scope
contain identified breaches and appropriately escalate for prompt and accurate
solutions. The framework consists of the under listed as required processes:
1) Build Artificial Intelligence (AI) Model to cumulatively develop baseline
intelligence into SOC Appliance;
2) Build AI Model to proactively and reactively intervene on identified threats
and vulnerabilities;
3) Connect appliance on segments of network to passively listen in on traffic
and monitor systems;
4) Events collection log, correlation and analysis;
5) Appliance develops baseline catalogue of systems and network function
from learned information;
6) Reference baseline to automatically suggest configuration of thresh holds
and alerts or notification;
Figure 7. An automated framework for triage, containment and escalation. Source: Researcher.
The connection is done at various sources of the network for the purpose of
log correlation to determine logical sequences.
4) Events collection log, correlation and analysis: Fundamental to reliably es-
tablishing accurate baselines and determine potential susceptibility to threats
and inherent vulnerabilities is the need to correlate collected logs from the vari-
ous sources of the network. This is automatically done to determine logical se-
quences, consistent patterns and values with the objective of reliably establishing
accurate baselines and eliminating reports of false positive threats and vulnera-
bilities.
5) Appliance develops baseline catalogue of systems and network function
from learned information: The appliance uses collected and correlated logs from
the various sources of the network to build a starting point for making compar-
isons. This point for making comparisons is not static but learns continuously
and adapt to new evidence of supposed starting point while detecting attacks and
threats inside the network.
6) Reference baseline to automatically suggest configuration of thresh holds
and alerts or notification: The established starting point is to be continuously
referenced to determine the priority of addressing incidents based on the severi-
ty of the security breach or compromise. The thresh holds are automatically
suggested based on the Common Vulnerability Scoring System (CVSS) which is
an open industry standard for assessing the severity of computer system security
vulnerabilities. The suggested thresh holds are made default configuration unless
otherwise altered by human intervention.
7) Reference baseline to automatically take action to prevent a security com-
promise or counter a breach under control or within limits: Further to the sug-
gested thresh holds used as default configuration unless otherwise altered by
human intervention, the system could be configured to either alert support or IT
professionals of compliance breaches and potential threats, or proceed to correct
an observed breach where the solution can be automated.
8) Communicate alerts or notification to experts where necessary: Notifica-
tions and alerts to technical support staff are achieved by configuring the prefil-
tering log events into essential, relevant and meaningful alerts. IT professionals
may be notified based on configuration to either address a breach and be noti-
fied of a potential breach.
The proposed algorithm focuses on automated baselining for the purposes of
triage, remediation for the purposes of containment and escalation. Step 1 in the
algorithm focuses on obtaining data from all relevant layers of the network
namely the core, distribution and access. Additionally, data is collected from all
relevant network devices and services within the scope covered by the SOC. The
data is then analyzed to induce regular periodic baselines for all layers, devices
and services of the network. This forms the basis for step two of the algorithm,
the output determines if the automated remediation will be possible by accessing
an in-built remediation capability list. The absence of a remediation capability
would then require an escalation the identified threat or vulnerability to a SOC
1.1 Obtain data from the access, distribution and core layers of the network
1.2 Analyze log data from Firewall, IPS/IDS, Routers, Switches, Access Points, Servers,
Services and End-Devices
1.3 Induce regular periodic baseline for all layers, devices and services
8. Conclusion
This research work leveraged on a predominantly qualitative desk review and
descriptive approach to collect data for analysis, deduced strengths and weak-
nesses for the current SOC implementations were used as a premise for propos-
ing the framework. Supplementary to similar and earlier work reviewed, the
framework is proposed as the way forward to automatically enable SOC setups
with the capacity to efficiently perform triage of security threats, vulnerabilities
and incidents, effectively contain identified breaches and appropriately escalate
for prompt and accurate solutions. Given the constant evolution of SOC opera-
tions and capabilities coupled with the huge volumes of data collected for analy-
sis, an efficient framework for SOC operations is essential, the proposed frame-
work in Figure 7 therefore serves as a unique contribution that is fundamental
to enhancing the SOC’s ability to automatically perform triage, containment and
escalation based on the algorithm in Table 3. It is recommended that further re-
search is carried out to optimize the process of automatically and cumulatively
developing baselines and intelligence to further optimize the SOC’s process of
performing triage, containment and escalation.
Conflicts of Interest
The author declares no conflicts of interest regarding the publication of this pa-
per.
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