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Computer Networks 31 1999.

805822

Towards a taxonomy of intrusion-detection systems


Herve Debar ) , Marc Dacier 1, Andreas Wespi 2


IBM Research Diision, Zurich Research Laboratory, Saumerstrasse
4, CH-8803 Ruschlikon, Switzerland

Abstract

Intrusion-detection systems aim at detecting attacks against computer systems and networks, or against information
systems in general, as it is difficult to provide provably secure information systems and maintain them in such a secure state
for their entire lifetime and for every utilization. Sometimes, legacy or operational constraints do not even allow a fully
secure information system to be realized at all. Therefore, the task of intrusion-detection systems is to monitor the usage of
such systems and to detect the apparition of insecure states. They detect attempts and active misuse by legitimate users of the
information systems or external parties to abuse their privileges or exploit security vulnerabilities. In this paper, we introduce
a taxonomy of intrusion-detection systems that highlights the various aspects of this area. This taxonomy defines families of
intrusion-detection systems according to their properties. It is illustrated by numerous examples from past and current
projects. q 1999 Elsevier Science B.V. All rights reserved.

Keywords: Security; Taxonomy; Intrusion-detection

1. Introduction systems suffer from security vulnerabilities regard-


less of their purpose, manufacturer, or origin, and
that it is both technically difficult and economically
Since the seminal work by Denning in 1981 w10x,
costly to build and maintain computer systems and
many intrusion-detection prototypes have been cre-
networks that are not susceptible to attacks.
ated. Sobirey maintains a partial list of 59 of them
w58x. Intrusion-detection systems have emerged in the This paper introduces a taxonomy of intrusion-de-
tection systems at a time when commercial tools are
field of computer security because of the difficulty
increasingly becoming available. Our taxonomy
of ensuring that an information system will be free
draws examples from research prototypes as well as
of security flaws. Indeed, a taxonomy of security
commercial products to illustrate the most prominent
flaws by Landwehr et al. w36x shows that computer
features of intrusion-detection systems. The paper
focuses on the TCPIPrUNIX world, for which the
largest number of prototypes and tools have been
developed. However, many of these products are
)
Corresponding author. E-mail: deb@zurich.ibm.com.
now also available for Windows NT, which has been
1
E-mail: dac@zurich.ibm.com. more widely deployed in organizations and has been
2
E-mail: anw@zurich.ibm.com. subjected to enhanced scrutiny by the security and

1389-1286r99r$ - see front matter q 1999 Elsevier Science B.V. All rights reserved.
PII: S 1 3 8 9 - 1 2 8 6 9 8 . 0 0 0 1 7 - 6
806 H. Debar et al.r Computer Networks 31 (1999) 805822

underground communities. An additional considera- The term component refers to a box inside an
tion is that the intrusion-detection commercial mar- intrusion-detection system. There are many kinds of
ket has experienced considerable activity since components, an overview of which is given in Sec-
WheelGroup corporation was acquired by Cisco Sys- tion 3.1.
tems, followed by the cascade acquisition of Haystack
Labs, Secure Networks and Trusted Information Sys-
tems by Network Associates. 2.2. Description
This paper does not purport to be an exhaustive
survey of intrusion-detection tools, techniques, pro-
jects, and products. Several surveys have already An intrusion-detection system dynamically moni-
been published w2,13,18,37,39,40,42x, but the growth tors the actions taken in a given environment, and
of the intrusion-detection field has been such that decides whether these actions are symptomatic of an
many new projects have appeared in the meantime. attack or constitute a legitimate use of the environ-
Therefore, we shall present an updated image of the ment. Therefore, with respect to this definition, we
intrusion-detection field, organized in a proposed do not consider well-known tools such as Cops or
taxonomy for intrusion-detection systems, and illus- Satan to be intrusion-detection systems; we consider
trated with examples from past and current tools. them configuration analyzers, even though some of
The paper is organized as follows: Section 2 their functionalities can be used to detect intrusions.
describes the architecture of a generic intrusion-de- An intrusion-detection system can be described at
tection system, Section 3 presents the taxonomy we a very macroscopic level as a detector that processes
use to describe and classify intrusion-detection sys- information coming from the system that is to be
tems and examples of techniques and information protected Fig. 1.. This detector uses three kinds of
sources, Section 4 illustrates the concepts described information: long-term information related to the
with a summary of existing tools and prototypes, and technique used to detect intrusions a knowledge
Section 5 describes the reusability issue of base of attacks, for example., configuration informa-
intrusion-detection systems and components. tion about the current state of the system, and audit
information describing the events that occur on the
system. The role of the detector is to eliminate
unnecessary information from the audit trail and
2. Description of a generic intrusion-detection sys- present a synthetic view of the security-related ac-
tem tions taken by users. A decision is then made to
evaluate the probability that these actions can be
considered symptoms of an intrusion.
2.1. Terminology

The term system a.k.a. target system. is used


here to denote an information system being moni-
tored by an intrusion-detection system. It can be a
workstation, a network element, a server, a main-
frame, a firewall, a web server, an enterprise net-
work, etc.
The term audit denotes information provided by a
system concerning its inner workings and behavior.
Examples of audits include but are not limited to C2
audit trail, accounting, and syslog in the UNIX world,
Syslog in the MVS world, the event log in Windows
NT, and incident tickets in X25 networks. A descrip-
tion of some of these audits is given in Section 3.3. Fig. 1. Very simple intrusion-detection system.
H. Debar et al.r Computer Networks 31 (1999) 805822 807

2.3. Efficiency of intrusion-detection systems performance, because it not only


encompasses the intrinsic pro-
The following three measures to evaluate the cessing speed of the intrusion-
efficiency of an intrusion-detection system have been detection system, but also the
highlighted in Ref. w48x: time required to propagate the
Accuracy. Inaccuracy occurs when an in- information and react to it.
trusion-detection system flags as
anomalous or intrusive a legiti-
mate action in the environment. 3. Taxonomy elements
Performance. The performance of an intru-
sion-detection system is the rate There are a number of concepts we use to classify
at which audit events are pro- intrusion-detection systems, presented in Fig. 2.
cessed. If the performance of The detection method describes the characteristics
the intrusion-detection system is of the analyzer. When the intrusion-detection system
poor, then real-time detection is uses information about the normal behavior of the
not possible. system it monitors, we qualify it as behavior-based.
Completeness. Incompleteness occurs when the When the intrusion-detection system uses informa-
intrusion-detection system fails tion about the attacks, we qualify it as knowledge-
to detect an attack. This mea- based.
sure is much more difficult to Behaior on detection describes the response of
evaluate than the others, be- the intrusion-detection system to attacks. When it
cause it is impossible to have a actively reacts to the attack by taking either correc-
global knowledge about attacks tive closing holes. or proactive logging out possi-
or abuses of privileges. ble attackers, closing down services. actions, then
In addition, we introduce two additional proper- the intrusion-detection system is said to be active. If
ties: the intrusion-detection system merely generates
Fault tolerance. An intrusion-detection system alarms including paging, etc.., it is said to be pas-
should itself be resistant to at- sive.
tacks, particularly denial of ser- The audit source location distinguishes among
vice, and should be designed intrusion-detection systems based on the kind of
with this goal in mind. This is
particularly important because
most intrusion-detection sys-
tems run on top of commer-
cially available operating sys-
tems or hardware, which are
known to be vulnerable to at-
tacks.
Timeliness. An intrusion-detection system
has to perform and propagate its
analysis as quickly as possible
to enable the security officer to
react before much damage has
been done, and also to prevent
the attacker from subverting the
audit source or the intrusion-de-
tection system itself. This im-
plies more than the measure of Fig. 2. Characteristics of intrusion-detection systems.
808 H. Debar et al.r Computer Networks 31 (1999) 805822

input information they analyze. This input informa- gered. In other words, any action that is not explic-
tion can be audit trails, system logs or network itly recognized as an attack is considered acceptable.
packets. Therefore, the accuracy of knowledge-based intru-
Usage frequency is an orthogonal concept. Cer- sion-detection systems is considered good. However,
tain intrusion-detection systems have real-time con- their completeness requires that their knowledge of
tinuous monitoring capabilities, whereas others must attacks be updated regularly.
be run periodically. Advantages of the knowledge-based approaches
The three first axes are grouped in the category are that they have the potential for very low false
functional characteristics because they refer to alarm rates, and that the contextual analysis proposed
the internal workings of the intrusion-detection en- by the intrusion-detection system is detailed, which
gine, namely its input information, its reasoning makes it easier for the security officer using this
mechanism, and its interaction with the information intrusion-detection system to take preventive or cor-
system. The fourth characteristic distinguishes RTID rective action.
Real-Time Intrusion Detection. from scanners used Drawbacks include the difficulty of gathering the
for security assessment. These scanners are some- required information on the known attacks and keep-
times attached to the intrusion-detection area, and we ing it abreast with new vulnerabilities and environ-
must differentiate discriminate between them and ments. Maintenance of the knowledge base of the
real intrusion-detection systems. intrusion-detection system requires careful analysis
of each vulnerability and is therefore a time-consum-
ing task. 3 Knowledge-based approaches also have to
3.1. Knowledge-based ersus behaior-based intru- face the generalization issue. Knowledge about at-
sion detection tacks is very focused on the operating system, ver-
sion, platform, and application. The resulting intru-
There are two complementary trends in intrusion sion-detection tool is therefore closely tied to a given
detection, 1. the search for evidence of attacks environment. Also, detection of insider attacks in-
based on knowledge accumulated from known at- volving an abuse of privileges is deemed more diffi-
tacks, and 2. the search for deviations from a model cult because no vulnerability is actually exploited by
of unusual behavior based on observations of a the attacker.
system during a known normal state. The first trend
is often referred to as misuse detection w30,35x or 3.1.1.1. Expert systems. Expert systems w38x are used
detection by appearance w59x. The second trend is primarily by knowledge-based intrusion-detection
referred to as anomaly detection w30x or detection by techniques. The expert system contains a set of rules
behaior w59x. In this paper, we use the term knowl- that describe attacks. Audit events are then translated
edge-based intrusion detection for the first trend, into facts carrying their semantic signification in the
which we feel describes more precisely the technique expert system, and the inference engine draws con-
being used. The second trend is characterized by the clusions using these rules and facts. This method
term behaior-based intrusion detection. Both terms increases the abstraction leel of the audit data by
are defined more precisely in the following subsec- attaching a semantic to it.
tions. Rule-based languages w21x are a natural tool for
modeling the knowledge that experts have collected
about attacks. This approach allows a systematic
3.1.1. Knowledge-based intrusion detection browsing of the audit trail in search of evidence of
Knowledge-based intrusion-detection techniques attempts to exploit known vulnerabilities. They are
apply the knowledge accumulated about specific at-
tacks and system vulnerabilities. The intrusion-detec-
tion system contains information about these vulner- 3
For internal use, we maintain a vulnerability database to
abilities and looks for attempts to exploit them. which we add five or six new vulnerabilities and multiple attacks
When such an attempt is detected, an alarm is trig- weekly!
H. Debar et al.r Computer Networks 31 (1999) 805822 809

also used for verifying the proper application of the quired is exploited in a different way. The semantic
security policy of an organization. description of the attacks is transformed into infor-
Also using expert systems but having additional mation that can be found in the audit trail in a
properties, model-based reasoning has been intro- straightforward way. For example, attack scenarios
duced by Garvey and Lunt w20x. Knowledge about might be translated into the sequences of audit events
the behavior of an attacker includes the attackers they generate, or into patterns of data that can be
goals, the actions required to reach these goals, and sought in the audit trail generated by the system.
whether his usage of the system reveals a certain This method decreases the semantic leel of the
level of paranoia. The tool then scans the audits for attacks description.
evidence of these actions and transitions. This technique allows a very efficient implemen-
This approach of using rule-based languages has tation and is therefore applied in commercial intru-
the following limitations: sion-detection products w23,28,66x. The main draw-
Knowledge engineering related to the com- back of this technique like all knowledge-based
pleteness issue.. It is approaches is the need for frequent updates to
difficult to extract keep up with the stream of new vulnerabilities dis-
knowledge about at- covered, this situation being aggravated by the re-
tacks. It is even more quirement to represent all possible facets of the
difficult to translate this attacks as signatures. This leads to an attack being
knowledge into pro- represented by a number of signatures, at least one
duction rules using au- for each operating system to which the intrusion-de-
dits as input. Some- tection tool has been ported.
times the information
required is not avail- 3.1.1.3. Petri nets. To represent signatures of intru-
able in the audits. Also, sions, IDIOT w35x, a knowledge-based intrusion-de-
there may be many tection system developed at Purdue University, uses
ways to exploit a given Colored Petri Nets CPN.. The advantages of CPNs
vulnerability, which are their generality, their conceptual simplicity, and
leads to as many rules. their graphical representability. System administra-
Processing speed related to the perfor- tors are assisted in writing their own signatures of
mance issue. Use of an attacks and integrating them in IDIOT. Owing to the
expert system shell re- generality of CPNs, quite complex signatures can be
quires that all audits be written easily. However, matching a complex signa-
imported into the shell ture against the audit trail may become computation-
as facts, and only then ally very expensive.
can reasoning take Fig. 3 shows a simple example of a CPN that
place. Even though issues an alarm if the number of unsuccessful login
some expert system attempts within one minute exceeds four. The transi-
tools allow compilation tion, represented by a vertical bar, from state s1 to s2
of rules, the overall
performance of the tool
often remains poor.
Owing to the processing speed issue, expert sys-
tem shells are used only in prototypes, as commer-
cial products have chosen more efficient approaches.

3.1.1.2. Signature analysis. Signature analysis fol-


lows exactly the same knowledge-acquisition ap-
proach as expert systems, but the knowledge ac- Fig. 3. Four failed login attempts within one minute.
810 H. Debar et al.r Computer Networks 31 (1999) 805822

can occur if there is a token in state s1 and an of the intrusion-detection system or in additional
unsuccessful login attempt. The time of the first false alarms. The information system can undergo
unsuccessful login attempt is stored in the token attacks at the same time the intrusion-detection sys-
variable T1. The transition from state s4 to state s5 tem is learning what is acceptable behavior. As a
can happen if there is a token in s4, an unsuccessful result, the behavior profile contains intrusive behav-
login attempt, and the time difference between this ior, which is then not detected as anomalous.
and the first unsuccessful login attempt is less than
60 s. Reaching the final state s5 corresponds to a 3.1.2.1. Statistics. The most widely used tool to build
matched signature, and may therefore result in an behavior-based intrusion-detection systems is statis-
alarm being issued. tics w25,26,32x. The user or system behavior is mea-
sured by a number of variables sampled over time.
3.1.1.4. State-transition analysis. State-transition Examples of these variables include the login and
analysis, a technique proposed by Porras and Kem- logout time of each session, the resource duration,
merer w47x, was implemented first in UNIX w27x and and the amount of processor-memory-disk resources
later in other environments. The technique is concep- consumed during the session. The time sampling
tually identical to model-based reasoning; it de- period ranges from very short a few minutes. to
scribes the attacks with a set of goals and transitions, long ; one month..
but represents them as state-transition diagrams. The original model keeps averages of all these
variables and detects whether thresholds are ex-
ceeded based on the standard deviation of the vari-
3.1.2. Behaior-based intrusion detection able. This model is too simple to represent the data
Behavior-based intrusion-detection techniques as- faithfully. Even comparing the variables of individ-
sume that an intrusion can be detected by observing ual users with aggregated group statistics does not
a deviation from normal or expected behavior of the yield much improvement. Therefore, a more com-
system or the users. The model of normal or valid plex model has been developed w31,32x, which com-
behavior is extracted from reference information col- pares profiles of long-term and short-term user activ-
lected by various means. The intrusion-detection sys- ities. The profiles are regularly updated as the behav-
tem later compares this model with the current activ- ior of users evolves. This statistical model is now
ity. If a deviation is observed, an alarm is generated. used in a number of intrusion-detection tools and
In other words, anything that does not correspond to prototypes.
a previously learned behavior is considered intrusive.
Therefore, the intrusion-detection system might be 3.1.2.2. Expert systems. Expert systems have also
complete, but its accuracy is a difficult issue. been used for behavior-based intrusion detection.
Advantages of behavior-based approaches are that The following are two examples of approaches that
they can detect attempts to exploit new and unfore- have been taken in this area:
seen vulnerabilities. They can even contribute to the Wisdom & Sense w64x is an intrusion-detection
partially. automatic discovery of these new attacks. tool that detects statistical anomalies in the behav-
They are less dependent on operating-system-specific ior of users. The tool first builds a set of rules that
mechanisms. They also help detect abuse of privi- statistically describe the behavior of the users
leges types of attacks that do not actually involve based on recordings of their activities over a
exploiting any security vulnerability. given period of time. Current activity is then
The high false alarm rate is generally cited as the matched against these rules to detect inconsistent
main drawback of behavior-based techniques be- behavior. The rule base is rebuilt regularly to
cause the entire scope of the behavior of an informa- accommodate new usage patterns.
tion system may not be covered during the learning AT & Ts ComputerWatch w12x is a tool delivered
phase. Also, behavior can change over time, intro- with AT & Ts UNIXrMLS multilevel security
ducing the need for periodic on-line retraining of the operating system. This tool checks the actions of
behavior profile, resulting either in the unavailability users according to a set of rules that describe
H. Debar et al.r Computer Networks 31 (1999) 805822 811

proper usage policy, and flags any action that does not fit the task pattern, an alarm is issued. To
does not fit the acceptable patterns. our knowledge, this technique has only been used in
This approach is useful for policy-based usage the SECURENET project.
profiles, but is less efficient than the statistical ap-
proach for processing large amounts of audit infor- 3.1.2.5. Computer immunology. Computer immunol-
mation. ogy has been described by Forrest et al. w17x. This
technique builds a model of normal behavior of the
3.1.2.3. Neural networks. Neural networks are algo- UNIX network services, rather than that of users.
rithms that learn about the relationship between in- This model consists of short sequences of system
putoutput vectors and generalize them to obtain calls made by the processes. Attacks that exploit
new inputoutput vectors in a reasonable way. Neu- flaws in the code are likely to take unusual execution
ral networks could theoretically be used in knowl- paths. The tool first collects a set of reference audits,
edge-based intrusion-detection tools to learn attack which represents the appropriate behavior of the
traces and seek them in the audit stream. However, service, and extracts a reference table containing all
as there is currently no reliable way to understand the known good sequences of system calls. These
what triggered the association, the neural network patterns are then used for live monitoring to check
cannot propose a reasoning or an explanation of the whether the sequences generated are listed in the
attack. table; if not, the intrusion-detection system generates
Therefore, the main use of neural networks for an alarm.
intrusion detection is to learn the behavior of actors This technique has a potentially very low false
in the system e.g. users, daemons.. Some equiva- alarm rate if the reference table is exhaustive enough.
lence between neural network models and statistics Extensions to reach that goal are currently being
has been demonstrated w19,54x. Therefore, the advan- developed w8,9x. One drawback, however, is that this
tage of using neural networks over statistics resides technique does not protect against configuration er-
in having a simple way to express nonlinear relation- rors in a service, i.e. when attacks use legitimate
ships between variables, and in learningrretraining actions of the service to gain unauthorized access.
the neural network automatically. Experiments have
been performed that use a neural network to predict 3.2. Passie ersus actie intrusion detection
the behavior of users w7x. These experiments have
shown that the behavior of UNIX root users is Most intrusion-detection tools are passive, mean-
extremely predictable owing to the very regular ing that when an attack is detected, an alarm is
activity generated by automatic system actions, dae- generated, but no countermeasure is actively applied
mons, etc.., that the behavior of most users is also to thwart the attack. This made sense in a research
predictable, and that there is a very small fraction of context, where such tools might possibly generate a
users whose behavior is unpredictable. Neural net- large number of false alarms, having a negative
works are still a computationally intensive technique, impact on the availability of the system. We are
and are not widely used in the intrusion-detection aware of only one tool with early countermeasure
community. capability, NetProbe w52x, which monitors a network
for undesired connections and terminates them on
3.1.2.4. User Intention Identification. User Intention the spot.
Identification w60x is a technique developed during A number of intrusion-detection tools based on
the SECURENET project w59x. This technique mod- periodic analysis have had some active capability
els the normal behavior of users by the set of high- added if a security issue was detected in the configu-
level tasks they have to perform on the system. ration of the system. These tools generate scripts
These tasks are then refined into actions, which in both to suppress the vulnerability by changing the
turn are related to the audit events observed on the permissions on a file system, for example. and to
system. The analyzer keeps a set of tasks that each restore the system to its previous state. Hence the
user can perform. Whenever an action occurs that application of a countermeasure is made safer by the
812 H. Debar et al.r Computer Networks 31 (1999) 805822

capability of reverting quickly to a former state in Stalker w23x, or by issuing alarms that come from a
the event of an abnormality. An example of this local analysis w57x. Both solutions incur costs; trans-
category of tools is Secure Networks Ballista w55x. 4 ferring audits has a potentially huge impact on net-
With the arrival of intrusion-detection products, work bandwidth, whereas processing them locally
the countermeasure element has become increasingly affects the workstations performance.
preeminent. Tools such as RealSecure w28x, Ne- With the widespread use of the Internet,
tRanger w66x, and WebStalker w23x now include the intrusion-detection systems have become focused on
capability of cutting connections that carry attacks, attacks to the network itself. Network attacks DNS
blocking traffic from the hosts from which attacks spoofing, TCP hijacking, port scanning, ping of
originate, or reconfiguring other equipment such as death, etc.. cannot be detected by examining the host
firewalls or routers. Such proactive security strate- audit trail, at least not easily. Therefore, specific
gies are gaining momentum as intrusion-detection tools have been developed that sniff network packets
products are becoming more reliable. in real time, searching for these network attacks. In
addition, a number of classical attacks against servers
3.3. Host-based ersus network-based intrusion de- can also be detected by parsing the payload of the
tection packet and looking for suspicious commands. More-
over, these tools are often attractive for system ad-
Host-based intrusion detection is the first area to ministrators because a small number of them can be
have been explored in intrusion detection. When the installed at strategic points in the network to cover
first intrusion-detection tools were designed, the tar- most of the current attacks.
get environment was a mainframe computer, and all Hybrid approaches have also been developed that
users were local to the system considered. This use both network-based and host-based intrusion-de-
simplified greatly the intrusion-detection task, as in- tection tools in a multihost environment, i.e. a net-
teraction from outside was rare. The intrusion-detec- work of workstations. DIDS w57x uses Haystack w56x
tion tool analyzed the audit information provided by running on each host to detect local attacks and
the mainframe, either locally w41x or on a separate NSM w24x to monitor the network. Both components
machine w56x, and reported security-suspicious report to the DIDS Director, where the final analysis
events. is done.
As the focus of computing shifted from main- As a side effect, more specialized intrusion-detec-
frame environments to distributed networks of work- tion tools have emerged that monitor the most criti-
stations, several prototypes of intrusion-detection cal elements of an organizations presence on the
systems were developed to accommodate network Internet. These products monitor firewalls NetS-
issues. The first research in this area was to get talker w23x., web servers WebStalker w23x., routers
host-based intrusion-detection systems to communi- NetRanger w66x or the newer documentation after
cate w30x. In a distributed environment, users hop Wheelgroups acquisition by Cisco w6x., looking for
from one machine to another, possibly changing evidence of attacks in the very specific context of
identities during their moves and launching their these network elements.
attacks on several systems. Therefore, the local intru-
sion-detection system on the workstation has to ex-
change information with its peers. This exchange of 3.3.1. Host-based information sources
information takes place at several levels, either by Host audit sources are the only way to gather
exchanging a raw audit trail over the network a` la information about the activities of the users of a
given machine. On the other hand, they are also
vulnerable to alterations in the case of a successful
4 attack. This creates an important real-time constraint
Ballista is not an intrusion-detection system, but a vulnerabil-
ity search tool similar to Satan. It analyzes the network to detect
on host-based intrusion-detection systems, which
vulnerabilities in its configuration, but does not perform real-time have to process the audit trail and generate alarms
monitoring. before an attacker taking over the machine can sub-
H. Debar et al.r Computer Networks 31 (1999) 805822 813

vert either the audit trail or the intrusion-detection nate, this lack of precision does not allow one to
system itself. obtain the list of commands in the order in which
they were actually submitted. Command sequenc-
3.3.1.1. System sources. All operating systems have ing might be important information for some
commands to obtain a snapshot of information on the intrusion-detection techniques.
processes currently active on the computer. In a Lack of precise command identification. Only the
UNIX environment, examples of such commands are first 8 characters of the name of the command
ps, pstat, mstat, getrlimit. These commands provide submitted by the user are stored in the accounting
very precise information about events because they record. Important path information to fully iden-
examine the kernel memory directly. However, they tify the command. and command line arguments
are very difficult to use for continuous audit collec- are lost. This would render the detection of Tro-
tion in intrusion-detection tools because they do not jan horses as well as the use of knowledge-based
offer a structured way of collecting and storing the intrusion-detection techniques impossible.
audit information. Absence of system daemon activity. Accounting
keeps information only about binary executables
3.3.1.2. Accounting. Accounting is one of the oldest that terminate. In this case, continuously running
sources of information on system behavior. It pro- executables such as system daemons e.g. send-
vides information on the consumption of shared re- mail. are never audited.
sources by the users of the system. Resources are, Delay of obtaining information. The accounting
for example, processor time, memory, disk or net- record is written when the application terminates.
work usage, and applications launched. Accounting Therefore, intrusion detection can only perform
is found everywhere, from network equipment to damage control as the intrusion would already
mainframes to UNIX workstations. This omnipres- have been carried out.
ence has led some designers of intrusion-detection Owing to these drawbacks, accounting is not used
prototypes to try to use it as an audit source. for knowledge-based intrusion-detection, and rarely
In the UNIX environment, accounting is a univer- for behavior-based intrusion detection. The statistical
sal source of information. The format of the account- and neural network modules of Hyperview w7x made
ing record is the same on all UNIXes, information is use of accounting information as a complement to
compressed to gain disk space, and the overhead security audit but not as a substitute for it.
introduced by the recording process is very small. It
is well integrated in modern operating systems, and 3.3.1.3. Syslog. Syslog is an audit service provided
easy to set up and exploit. to applications by the operating system UNIX and
However, accounting information also has a num- others.. This service receives a text string from the
ber of drawbacks, which make it untrustworthy for application, prefixes it with a time stamp and the
security purposes. By default, accounting files are name of the system on which the application runs,
sometimes located in the same disk partition as the and then archives it, either locally or remotely.
rtmp directory. Users then simply have to fill the Syslog is not known for its security, as Syslog
partition up to 90%, and accounting stops. Although daemons on several UNIX operating systems have
this is easily fixed, more important drawbacks in- been the subject of CERT documents w4x showing the
clude: exploitation of buffer overflows in the syslog dae-
Lack of parameterization. Accounting is either on mon to execute arbitrary code.
or off, but cannot be activated for selected users Syslog is very easy to use, which has prompted
only. many application developers to use it as their audit
Lack of precise time stamp. The date included in trail. A number of applications and network services
the accounting record is precise to the second, use it, such as login, sendmail, nfs, http, and this
which does not allow the sorting and resequenc- also includes security-related tools such as sudo,
ing of actions. As commands in the accounting klaxon, or TCP wrappers. Therefore, a few intru-
file are logged in the order in which they termi- sion-detection tools have been developed that use
814 H. Debar et al.r Computer Networks 31 (1999) 805822

information provided by the syslog daemon, an ex- The main advantages of the security audit are:
ample of this approach being Swatch w22x. Although a strong identification of the user, its login iden-
syslog is a lightweight audit source that does not tity, its real current. identity, its effective set-
generate a large amount of audit data per machine, a user-id bit. identity, its real and effective set-
large network can generate a large number of mes- group-id bit. group identities;
sages, very few of which are security-relevant. a repartition of audit events into classes to facili-
Swatch w22x reduces the burden of the system admin- tate the configuration of the audit system;
istrator by correlating messages e.g. if several ma- a fine-grain parameterization of the information
chines report that an nfs server is down, these reports gathered according to user, class, audit event, or
would be aggregated into one. and highlighting secu- failure or success of the system call;
rity-related ones. a shutdown of the machine if the audit system
encounters an error status usually a running out
3.3.1.4. C2 security audit. The security audit records of disk space..
all potentially security-significant events on the sys- The main drawbacks of the security audit are:
tem. As the US government has required that all a heavy use of system resources when detailed
computer systems it purchases be certified at the C2 monitoring is requested. Processor performance
level of the TCSEC w63x, all operating system ven- could potentially be reduced by as much as 20%,
dors competing in this area have had to include an and requirements for local disk space storage and
accountability feature. This translates into secu- archiving are high;
rity audit trails such as SUNs BSM and Shield a possible denial-of-service attack by filling the
packages, or AIX audit. audit file system;
All these security audits have the same basic difficulties to set up the audit service owing to the
principle. They record the crossing of instructions number of parameters involved. Standard config-
executed by the processor in the user space and urations delivered by vendors minimize the per-
instructions executed in the Trusted Computing Base formance hit by recording only classes of rare
TCB. space w63x. The rationale for this security events administrative actions, logins, and lo-
model sets forth that the TCB is trusted, that actions gouts.. The auditing requirements of an
in the user space cannot harm the security of the intrusion-detection tool demand more detailed in-
system, and that security-related actions that can formation, e.g. about file accesses or processes
impact the system only take place when users re- executed;
quest services from the TCB. difficulties to exploit the information obtained
In the UNIX environment, the TCB is basically owing to its size and complexity. This is com-
the kernel. Therefore, the audit system records the pounded by the heterogeneity of audit system
execution of system calls by all processes launched interfaces and audit record formats in the various
by the users. Compared with a full system call trace, operating systems;
the audit trail provides a limited abstraction: context parameterization of the audit system involving
switches, memory allocation, internal semaphores subjects users. and actions system calls or
and consecutive file reads do not appear in the trail. events., and only very rarely objects on which
On the other hand, there is always a straightforward the action is performed.. Important objects should
mapping of audit events to system calls. be monitored by an intrusion-detection tool, and
The UNIX security audit record contains a great this is done primarily by scanning the entire trail.
deal of information about the events. It includes The C2 security audit is the primary source of
detailed user and group identification from the login audit information for an overwhelming number of
identity to the one under which the system call is host-based intrusion-detection prototypes and tools
executed., the parameters of the system call execu- because it is currently the only reliable mechanism
tion file names including path, command line argu- for gathering detailed information on the actions
ments, etc.., the return code from the execution, and taken by users of an information system. Work was
the error code. conducted by several groups w21,43,49,62x to define
H. Debar et al.r Computer Networks 31 (1999) 805822 815

what should be in the security audit trail as well as a detection community. However, with the rise of
common format for audit trail records, but this is an SNMPv3, new projects are taking advantage of its
ongoing research effort. features for intrusion-detection tools w33x.

3.3.2. Network-based information sources 3.3.2.2. Network packets. As the popularity of net-
work sniffers for gathering information has grown in
3.3.2.1. SNMP information. The Simple Network the attacker community, it is also regarded today as
Management Protocol SNMP. Management Infor- an efficient means for gathering information about
mation Base MIB. is a repository of information the events that occur on the network architecture.
used for network management purposes. It contains This is consistent with the trend of moving from a
configuration information routing tables, addresses, centralized to a distributed computing model, and the
names. and performanceraccounting data counters pace of change has even increased with the
to measure traffic at various network interfaces and widespread diversification of the Internet. Most ac-
at different layers of the network.. This section cesses to sensitive computers take place today over a
describes experiments performed within the SE- network. Therefore capturing the packets before they
CURENET project w59x to use SNMP V1 common enter the server is probably the most efficient way to
MIB for Ethernet and TCPrIP. Other projects also monitor this server.
target the use of SNMPv2 and v3 for security and It is also consistent with the occurrence of denial-
intrusion detection w33x. of-service attacks. As companies put valuable infor-
The SECURENET project explored whether the mation on the Internet, and even depend on it as a
counters maintained in this MIB are usable as input source of revenue, the prospect of simply shutting
information for a behavior-based intrusion-detection down a web site creates an effective threat to the
system. The starting point was to examine the coun- organization running it. Most of these denial-of-
ters at the interface level because this was the only service attacks originate from the network and must
place where one can differentiate between informa- be detected at the network level, as a host-based
tion sent over the wire and information transmitted intrusion-detection system does not have the capabil-
inside the operating system via the loop-back inter- ity to acquire this kind of audit information.
face. The prototype collected increments on the num- There is an inherent duality in network sniffers,
ber of bytes and packets transmitted and received at which is also apparent in the firewall world with its
each interface every five minutes. The outcome of a differences between application-level gateways and
very simple averagerstandard deviation analysis of filtering routers w1x. If the analysis is carried out at a
this data was not satisfactory, as the standard devia- low level by performing pattern matching, signature
tion was larger than the average for almost all sets analysis, or some other kind of analysis of the raw
collected during daytime activity, and no correlation content of the TCP or IP packet, then the intrusion-
was observed between the two interfaces. detection system can perform its analysis quickly,
MIB counters at higher levels of the network do but does not take into account session information,
not contain much more information. On the IP, TCP which could span several network packets. If the
and UDP layers, the counters exhibited similar be- intrusion-detection system acts as an application
havior but, owing to the larger number of counters at gateway and analyzes each packet with respect to the
these layers, we did not compute all possible correla- application or protocol being followed, then the anal-
tions. The ICMP counters show more consistency ysis is more thorough, but also much more costly.
with respect to their statistical modeling, but we have Moreover, this analysis of the higher levels of the
not tried ICMP attacks w3x to validate this approach. protocol is also dependent on the particular machine
This study shows that SNMP MIBs are a poten- being protected, as implementations of the protocols
tially interesting candidate as an audit source for are not identical from one network stack to another.
intrusion-detection systems. The demise of SNMPv2 This approach addresses several problems:
owing to a lack of consensus on the security features Detection of network-specific attacks. There are a
has certainly dampened its interest to the intrusion- number of network attacks, particularly denial-
816 H. Debar et al.r Computer Networks 31 (1999) 805822

of-service, that cannot be detected in a timely Finally, these tools are inherently vulnerable to
fashion by searching for audit information on the denial-of-service attacks if they rely on a com-
host, but only by analyzing network traffic. mercial operating system to acquire network in-
Impact of auditing on the host performance. In- formation. As the network stacks of these com-
formation is collected entirely on a separate ma- mercial operating systems are vulnerable to at-
chine, with no knowledge of the rest of the tacks, so is the intrusion-detection system.
network. Therefore, installation of such tools is Network packets are now the source of informa-
facilitated because, both in terms of configuration tion used by several recent commercial products
and performance, they do not impact the entire w6,28,66x, and several projects in the research com-
environment. munity have taken this track as well w46,51,52,61x. A
Heterogeneous audit trail formats. The current de recent evaluation of these products by Ptacek and
facto standardization towards TCPrIP facilitates Newsham w50x shows that the sniffer approach, or at
the acquisition, formatting, and cross-platform least the current implementations, has flaws that
analysis of the audit information. make it possible for a skilled attacker to evade
Certain tools analyze the payload of the packet, detection. In particular, Ptacek and Newsham w50x
which allows the detection of attacks against hosts show that IP fragmentation is not handled well, and
by signature analysis. However, an efficient anal- that the use of wildcards and control sequences in
ysis requires knowledge of the type of machine or protocols such as http makes it possible to evade
application for which the packet is intended. detection by signatures.
But it also has a number of drawbacks: Research is also being conducted in this area.
It is more difficult to identify the culprit when an After IDES and NIDES, SRI is now developing a
intrusion is discovered. There is no reliable link prototype called Emerald w48x to deal with analysis
between information contained in the packets and of network traffic. Other network sniffers such as
the identity of the user who actually submitted the Bro w46x or Network Flight Recorder w51x have been
commands on the host. developed as network data acquisition tools and
With switched networks switched Ethernet, therefore do not support intrusion detection per se.
switched Token Ring, ATM., it is not obvious
where the sniffer should best be placed. Some
tools are located on switches, other at gateways
3.4. Continuous monitoring ersus periodic analysis
between the protected system and the outside
world. The former yields better audit information
but is also more costly. One has to realize, how- Continuous versus periodic intrusion detection ap-
ever, that switched networks are also much less plies to the way the tool performs its analysis. A
vulnerable to sniffer attacks w5,50x and are actu- dynamic intrusion-detection tool performs a continu-
ally recommended to improve the security of a ous, real-time analysis by acquiring information about
network. the actions taken on the environment immediately
Encryption makes it impossible to analyze the after they happen. A static intrusion-detection tool
payload of the packets, and therefore to hide a periodically takes a snapshot of the environment and
considerable amount of important information on analyzes this snapshot, looking for vulnerable soft-
these tools. Also, it is possible, even without ware, configuration errors, and so on.
encryption, to obfuscate the contents of the packet These static tools assess the security level of the
to evade detection if the signatures are not suffi- current configuration of the environment. Examples
ciently comprehensive. of these tools include COPS w14,16x and Tiger w53x
Systematic scanning, for example at the firewall, for host environments, and Satan w15x and Ballista
is difficult because it might create bottlenecks. w55x now called CyberCop Scanner w44x since the
This will only worsen as the bandwidth to access buyout of Secure Networks by Network Associates
the Internet is increased at sensitive sites e.g. Inc.. for networks. In the same category are virus
banks, electronic commerce web sites.. detectors, which scan the disks looking for patterns
H. Debar et al.r Computer Networks 31 (1999) 805822 817

identifying known viruses. These checks include ver- security of the system. It is, however, a costly pro-
ifying the version of the applications installed to cess, both for transporting the audits and for process-
ensure that the latest security patches have been ing them.
applied, checking for weak passwords, verifying the
contents of special files in users home directories, or
verifying the configuration of open network services.
This analysis provides an instant snapshot of the
4. Intrusion-detection tools
state of the system, but is only valid at that precise
moment.
These tools are well known and widely used by Table 1 presents a selection of intrusion-detection
system administrators, but they are not sufficient to tools that we have encountered and shows a taxon-
ensure high security. First of all, security patches are omy of their components. The selection merely illus-
not necessarily available on legacy systems, which trates the notions described in this paper, and implies
cannot be upgraded without losing their operational no judgment of the quality of the tool, product, or
requirements. Then, running these security assess- method on our part. Also, the number of tools and
ment tools is often a lengthy process, particularly in prototypes being developed throughout the world is
a networked environment where every system has to such that an exhaustive list is difficult to compile,
be checked individually. Therefore, the security ex- and we shall continue to add entries to this table.
posure between two consecutive runs might be sig- Table 1 contains more host-based intrusion-detec-
nificant, approximately a day or so, for it has been tion systems than network-based intrusion-detection
shown that active exploitation of vulnerabilities over systems. However, this is not the trend in intrusion
the Internet can take less than one day. detection, which is towards network information and
Such tools, as well as others specifically devel- protection of the infrastructure. There are more net-
oped for that purpose e.g. Tripwire w34x or ATP work-based intrusion-detection products w28,66x
w65x. can be used to detect the traces of an intrusion. commercially available today than host-based ones
Such traces can be the replacement of a given appli- w23,45x, as well as recent projects still under develop-
cation by an older, vulnerable one, which would be ment. The main reasons for this are probably the
signaled by COPS or Tiger to the system administra- ease of installing a network-based tool no user
tor as a potential intrusion. Tripwire w34x extends this workstation manipulation required., the performance
principle by computing the signature of a large set of degradation experienced by systems when an audit is
system files and comparing it with a database of started, and the difficulty and cost of managing a
reference signatures kept in a safe place, therefore large-scale host audit infrastructure.
rendering the change-detection process systematic. Table 1 also shows that, even though many tech-
An alarm by a Tripwire-like system signals an intru- niques have been explored for intrusion detection,
sion in a behavior-based way, i.e. that some file in most commercial products available today imple-
the system is not what it used to be. However, these ment one and only one technique, and that the
checks are periodic, and in this sense they do not majority of the recent ones w23,28,66x use signatures,
fulfill the timeliness and performance requirements for two reasons:
of intrusion-detection systems. Therefore, we do not The knowledge-based approach is easier to imple-
consider them in the scope of this paper as being ment than the behavior-based one. In fact, the
full-fledged intrusion-detection systems, as defined cost in terms of false alarms of the behavior-based
in Section 2.2. techniques has hitherto made them inappropriate
Dynamic intrusion-detection tools monitor the ac- for commercial intrusion detection.
tions that take place on the system. Monitoring takes Speed is essential in processing the audits and
place either in real time or in batch, reviewing audit preempts the expressiveness of the technique.
files or network packets accumulated over a given Therefore, signatures are used instead of rules.
period of time. Dynamic monitoring implies real-time In addition, the collaborative approach of correlat-
analysis and allows a constant assessment of the ing several analyzers to improve the intrusion-detec-
818 H. Debar et al.r Computer Networks 31 (1999) 805822

Table 1
Panorama of intrusion-detection systems
IDS origin IDS Name Time Ref Knowledge-based IDS Behavior-based IDS HB NB
Frame ES SA PN STA Stat ES NN UII
Univ. Namur ASAX 19901997 w21x X X
AT & T ComputerWatch 19871990 w12x X X
USAF Haystack 19871990 w56x X X
DIDS 19891995 w57x X X X X

CS Telecom Hyperview 19901995 w7x X X X X
SRI IDES 19831992 w11x X X X
NIDES 19921995 w30x X X X
Emerald 1996 w48x X X X
Purdue Univ. IDIOT 19921997 w35x X X
UC Davis NSM 19891995 w24x X X X
GrIDS 1995 w61x X X
LANL W&S 19871990 w64x X X
Nadir 1990 w29x X X X
Ciscor NetRanger 1995 w6,66x X X
WheelGroup
ISS RealSecure 1995 w28x X X
Securenet SecureNet 19921996 w59x X X X X X
Consortium
Network Stalker 1995 w23x X X
Associates Inc
WebStalker 1997 w23,45x X X
CyberCop Server
UCSB STAT 19911992 w47x X X
USTAT 19921993 w27x X X
Stanford Univ. Swatch 19921993 w22x X X
MCNC and JiNao 1995 w33x X X X
NCSU

Abbreviations used: ES: expert system; SA: signature analysis; PN: Petri net; STA: state transition analysis; Stat: statistics;
NN: neural network; UII: user intent; HB: host-based, and NB: network-based.

tion system has been studied w11,59x and is retained by DARPA that are concerned with intrusion detec-
as part of the ongoing work in CIDF, but has not yet tion, and ensuring that the tools developed are able
been incorporated in the commercial world. to interoperate. The CIDF description of an intru-
sion-detection system Fig. 4. is more detailed than
the one above and defines all the possible roles of
5. The reusability issue components that can comprise an intrusion-detection
system. The interfaces of each of these component
One of the greatest challenges faced by intrusion- roles are then defined, so that any CIDF-compliant
detection products and prototypes is the capability to
reuse existing components in an environment differ-
ent from the original one. This is due mainly to
incompatible audit and alarm formats.
A working group has been created under the
auspices of the Defence Advanced Research Projects
Agency DARPA. to develop a common intrusion-
detection framework CIDF. w62x. This work aims
primarily at coordinating the many projects funded Fig. 4. CIDF description of an intrusion-detection system.
H. Debar et al.r Computer Networks 31 (1999) 805822 819

box can be integrated into a larger tool. The CIDF trieval and query service. For example, a D-box
group is currently in the process of joining the would store the audit and alarm streams described
Internet Engineering Task Force to make their work in Section 2. Configuration and database are pri-
a standard in the Internet world. vate to each A-box and must be maintained inde-
Fig. 4 does not include the system being moni- pendently. In Fig. 4, the D-box provides gidos to
tored. Obviously, the boxes run on hardware of some one of the analyzers and to the countermeasures.
kind, most likely the system that produces the events Response boxes (R-boxes) sometimes also called
in the case of the event box, or on either the moni- countermeasure boxes. apply countermeasures to
tored system or a specific hardware in the case of the the system according to the alarms generated.
other boxes. They are the active arm of the intrusion-detection
CIDF defines four kinds of components for an system; they enforce the decisions made in re-
intrusion-detection system and very specific roles for sponse to attacks. In Fig. 4, an R-box takes its
each of them. All these components deal with gidos input from the third A-box.
generalized intrusion-detection objects., which are CIDF is work-in-progress. The most important
represented via a standard common format s-expres- contribution of CIDF is to define interfaces by which
sions.. Gido streams are represented as dashed ar- the different kinds of boxes can communicate, thus
rows in Fig. 4. Gidos carry information that is introducing the reusability of components in intru-
moved around in the intrusion-detection system. sion detection. It is a fact that as of today, a large
From a semantics point of view, gidos currently number of research prototypes and products have
represent either audit events that occurred in the been developed, but these heterogeneous develop-
system or an analysis of those audit events hence- ments do not allow the reusability of techniques or
forth referred to as alarms.. tools in different environments.
Eent boxes (E-boxes) generate audit events that Currently, the CIDF effort is giving birth to an
are processed by the intrusion-detection system. IETF working group chartered to create standards in
E-boxes typically run on the system that gener- the intrusion-detection area. The current draft charter
ates the audit events, where they collect the audit being discussed states that the purpose of the Intru-
events and make them available to other compo- sion Detection Working Group is to define data
nents of the intrusion-detection system. E-boxes formats and exchange procedures for sharing infor-
produce audit events but do not consume them. mation of interest to intrusion-detection systems and
Their task is to sample the particular environment their management infrastructure. The output of the
for which they are specialized, and to turn occur- working group should include a requirements docu-
rences in that environment into CIDF gidos for ment, a common language specification, and a
use by other components. Fig. 4 shows two framework document. As the charter is still undergo-
event-generator boxes delivering audit events to ing discussion, interested readers are referred to the
two analyzers. CIDF mailing list cidf@seclab.cs.ucdavis.edu. for
Analysis boxes (A-boxes) process similar to the up-to-date information.
detector component. events from the E-boxes to
create alarms. Analyzers take in gidos and ana-
lyze their significance policy violations, anoma- 6. Conclusion and future directions
lies, intrusions.. Their conclusions are turned out
as alarms. In Fig. 4, two of the three A-boxes Intrusion detection is currently attracting consid-
receive audits from E-boxes, whereas the third erable interest from both the research community
one aggregates information and passes it to the and commercial companies. Research prototypes
countermeasures. continue to be created, and commercial products
Database boxes (D-boxes) store events for later based on early research are now available. In this
retrieval. D-boxes are gidos archivers. They re- paper, we have given an overview of the current
ceive events sent by E-boxes or A-boxes, store state-of-the-art of intrusion detection, based on a
them for long-term keeping, and provide a re- proposed taxonomy illustrated with examples of past
820 H. Debar et al.r Computer Networks 31 (1999) 805822

and current projects. This taxonomy highlights the Computer Society Symp. on Research in Security and Pri-
properties of intrusion-detection systems and covers vacy Oakland, CA, May 1992, pp. 240250.
w8x H. Debar, M. Dacier, A. Wespi, Fixed versus variable-length
the past and current developments adequately. patterns for detecting suspicious process behavior, Technical
Information sources for these tools are currently Report RZ 3012, IBM Zurich Research Laboratory,
either a C2 audit trail, syslog, or network packets.
Saumerstrasse
4, CH-8803 Ruschlikon, Switzerland, April
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Grance, D.M. Teal, D. Mansur, DIDS distributed intrusion security in particular intrusion detec-
detection system. motivation, architecture, and an early tion. as well as system management. His
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w58x M. Sobirey, Intrusion detection system bibliography, Inter- Ph.D. from the University of Paris and
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the Institut National des Telecommuni-
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nal 1 1. 1994.. IBM Zurich Research Laboratory in the
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Systems Security, Samos, Greece, May 1996, pp. 319335. as a security consultant. His research
w61x S. Staniford-Chen, S. Cheung, R. Crawford, M. Dilger, J. interests focus on penetration testing of
Frank, J. Hoagland, K. Levitt, C. Wee, R. Yip, D. Zerkle, computing systems and on security poli-
GrIDS a graph based intrusion detection system for large cies.
networks, Proc. 19th National Information Systems Security
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Detection Framework-data Formats, Internet draft draft-ietf- puter Science from the University of
cidf-data-formats-00.txt, March 1998. Berne, Switzerland. He is currently
w63x U.S. Department of Defense, Trusted computer systems eval- working at the IBM Zurich Research
uation criteria, August 1983. Laboratory in the Information Technol-
w64x H.S. Vaccaro, G.E. Liepins, Detection of anomalous com- ogy Solutions Department. His research
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Security and Privacy, 1989, pp. 280289. as distributed and parallel computing.
w65x D. Vincenzetti, M. Cotrozzi, Atp anti tampering program,
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