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Third Edition
Principles of
Incident Response &
Disaster Recovery
MICHAEL E. WHITMAN
PH.D., CISM, CISSP
HERBERT J. MATTORD
PH.D., CISM, CISSP
INFORMATION
SECURITY
Australia • Brazil • Canada • Mexico • Singapore • United Kingdom • United States
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Principles of Incident Response & Disaster © 2021, 2014 Cengage Learning, Inc.
Recovery, 3rd Edition WCN: 02-300
Michael Whitman and Herbert Mattord
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To Rhonda, Rachel, Alex, and Meghan, thank you for your loving
support.
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To my granddaughters, Julie and Ellie. Always stay strong.
—HJM
BRIEF CONTENTS
MODULE 1 MODULE 8
An Overview of Information Security and Risk Incident Response: Response Strategies 213
Management 1
MODULE 9
MODULE 2 Incident Response: Recovery, Maintenance, and
Planning for Organizational Readiness 47 Investigations 247
MODULE 3 MODULE 10
Contingency Strategies for Incident Response, Disaster Recovery 277
Disaster Recovery, and Business Continuity 73
MODULE 11
MODULE 4 Business Continuity 313
Incident Response: Planning 103
MODULE 12
MODULE 5 Crisis Management in
Incident Response: Organizing and Preparing IR, DR, and BC 339
the CSIRT 127
GLOSSARY 375
MODULE 6 INDEX 389
Incident Response: Incident Detection Strategies
151
MODULE 7
Incident Response: Detection Systems 181
TABLE OF CONTENTS
MODULE 1 Identify Resource Requirements 62
Identify Recovery Priorities for System
AN OVERVIEW OF INFORMATION Resources 62
BIA Data Collection 62
SECURITY AND RISK MANAGEMENT 1
Budgeting for Contingency Operations 67
Introduction 2 Incident Response Budgeting 68
An Overview of Information Security 2 Disaster Recovery Budgeting 68
Business Continuity Budgeting 69
Key Information Security Concepts 3
Crisis Management Budgeting 69
The 12 Categories of Threats 5
The Role of Information Security Policy in MODULE SUMMARY 70
Developing Contingency Plans 12 REVIEW QUESTIONS 71
Key Policy Components 13 REAL-WORLD EXERCISES 71
Types of InfoSec Policies 13
HANDS-ON PROJECTS 72
Guidelines for Effective Policy Development
and Implementation 15 REFERENCES 72
Overview of Risk Management 19
Knowing Yourself and Knowing Your Enemy 19 MODULE 3
Risk Management and the RM Framework 20
The RM Process 23 CONTINGENCY STRATEGIES FOR
Risk Treatment/Risk Control 36
INCIDENT RESPONSE, DISASTER
MODULE SUMMARY 39
RECOVERY, AND BUSINESS
REVIEW QUESTIONS 40
CONTINUITY 73
REAL-WORLD EXERCISES 41
Introduction 74
Safeguarding Information 76
REFERENCES 44
The Impact of Cloud Computing on
Contingency Planning
MODULE 2 and Operations 77
Disk to Disk to Other: Delayed Protection 79
PLANNING FOR ORGANIZATIONAL Redundancy-Based Backup and
Recovery Using RAID 81
READINESS 47
Database Backups 83
Introduction to Planning for Application Backups 84
Organizational Readiness 48 Backup and Recovery Plans 84
Virtualization 91
Key Laws, Regulations, and Standards Backup of Other Devices 92
Associated with Contingency
Site Resumption Strategies 92
Planning 49
Exclusive Site Resumption Strategies 92
Ethical Deterrence 49
Shared-Site Resumption Strategies 94
Laws Germane to Contingency Planning 50
Mobile Sites and Other Options 96
Beginning the Contingency Planning Service Agreements 96
Process 52
MODULE SUMMARY 99
Forming the CPMT 53
REVIEW QUESTIONS 100
Contingency Planning Policy 56
Business Impact Analysis 57
Determine Mission/Business Processes HANDS-ON PROJECTS 102
and Recovery Criticality 58 REFERENCES 102
vi TABLE OF CONTENTS
MODULE 4 Special Circumstances in CSIRT Development

and Operations 144
INCIDENT RESPONSE: PLANNING 103 CSIRT Operations and the Security
Operations Center 144
Introduction 104 Outsourcing Incident Response and
The IR Planning Process 104 the CSIRT 145
Forming the IR Planning Team (IRPT) 105 MODULE SUMMARY 147
Developing the Incident Response Policy 106
Integrating the BIA 108
Identifying and Reviewing Preventative REAL-WORLD EXERCISES 149
Controls 111 HANDS-ON PROJECTS 150
Organizing the CSIRT 112
REFERENCES 150
Developing the IR Plan 112
Planning for the Response “During the
Incident” 113
MODULE 6
Planning for “After the Incident” 114
Planning for “Before the Incident” 115 INCIDENT RESPONSE: INCIDENT
Ensuring Plan Training, Testing, and Exercising 116 DETECTION STRATEGIES 151
Assembling and Maintaining the Introduction 152
Final IR Plan 121 Anatomy of an Attack—the “Kill Chain” 152
Hard-Copy IR Plans 122
Incident Indicators 158
Electronic IR Plans 122
Maintaining the Plan 123 Possible Indicators of an Incident 158
Probable Indicators of an Incident 159
MODULE SUMMARY 124 Definite Indicators 160
REVIEW QUESTIONS 125 Identifying Real Incidents 161
REAL-WORLD EXERCISES 125 Incident Detection Strategies 162
HANDS-ON PROJECTS 126 Detecting Incidents through Processes
and Services 162
REFERENCES 126 Detection Strategies for Common Incidents 165
General Detection Strategies 171
Manage Logging and Other Data Collection
MODULE 5 Mechanisms 173
Challenges in Intrusion Detection 173
INCIDENT RESPONSE: ORGANIZING Collection of Data to Aid in Detecting Incidents 174
AND PREPARING THE CSIRT 127 MODULE SUMMARY 177
Introduction 128 REVIEW QUESTIONS 177
Building the CSIRT 128 REAL-WORLD EXERCISES 178
Step 1: Obtaining Management Support HANDS-ON PROJECTS 178
and Buy-In 129
Step 2: Determining the CSIRT Strategic Plan 129 REFERENCES 178
Step 3: Gathering Relevant Information 133
Step 4: Designing the CSIRT’s Vision 134 MODULE 7
Step 5: Communicating the CSIRT’s Vision and
Operational Plan 141 INCIDENT RESPONSE: DETECTION
Step 6: Beginning CSIRT Implementation 142
SYSTEMS 181
Step 7: Announcing the Operational CSIRT 142
Step 8: Evaluating the CSIRT’s Effectiveness 143 Introduction to Intrusion Detection and
Final Thoughts on CSIRT Development 144 Prevention Systems 182
TABLE OF CONTENTS vii
IDPS Terminology 183 REVIEW QUESTIONS 243

Why Use an IDPS? 185 REAL-WORLD EXERCISES 243
Forces Working Against an IDPS 186
Justifying the Cost 186 HANDS-ON PROJECTS 244
IDPS Types 189 REFERENCES 244

Network-Based IDPSs 189
Host-Based IDPSs 194 MODULE 9
Application-Based IDPSs 197
Comparison of IDPS Technologies 198 INCIDENT RESPONSE: RECOVERY,
IDPS Detection Approaches 199 MAINTENANCE, AND
Signature-Based IDPSs 199 INVESTIGATIONS 247
Anomaly-Based IDPSs 199
IDPS Implementation 200 Introduction 248
IDPS-Related Topics 201 Recovery 248
Log File Monitors 201 Identify and Resolve Vulnerabilities 249
Automated Response 201 Restore Data 249
Security Information and Event Restore Services and Processes 250
Restore Confidence Across the Organization 250
Management 203
What Are SIEM Systems? 203 Maintenance 250
Selecting a SIEM Solution 206 After-Action Review 251
Plan Review and Maintenance 252
MODULE SUMMARY 208
Training 252
REVIEW QUESTIONS 209 Rehearsal 253
REAL-WORLD EXERCISES 209 Law Enforcement Involvement 253
Reporting to Upper Management 254
Loss Analysis 254
REFERENCES 210
Incident Investigations and Forensics 255
Legal Issues in Digital Forensics 256
MODULE 8 Digital Forensics Team 256
Digital Forensics Methodology 258
INCIDENT RESPONSE: RESPONSE eDiscovery and Anti-Forensics 270
STRATEGIES 213 MODULE SUMMARY 272
Introduction 214 REVIEW QUESTIONS 273
IR Reaction Strategies 214 REAL-WORLD EXERCISES 274

Response Preparation 215 HANDS-ON PROJECTS 275
Incident Containment 215 REFERENCES 275
Incident Eradication 218
Incident Recovery 218
Incident Containment and Eradication MODULE 10
Strategies for Specific Attacks 220
DISASTER RECOVERY 277
Handling Denial-of-Service (DoS) Incidents 221
Malware 224 Introduction 278
Unauthorized Access 230 Disaster Classifications 279
Inappropriate Use 235
Forming the Disaster Recovery
Hybrid or Multicomponent Incidents 239
Team 281
Automated IR Systems 241 Organization of the DR Team 281
MODULE SUMMARY 242 Special Documentation and Equipment 283
viii TABLE OF CONTENTS
Disaster Recovery Planning Implementing the BC Plan 325

Functions 284 Preparation for BC Actions 325
Develop the DR Planning Policy Statement 285 Relocation to the Alternate Site 326
Review the Business Impact Analysis 287 Returning to a Primary Site 327
Identify Preventive Controls 288 BC After-Action Review 328
Develop Recovery Strategies 288 Continuous Improvement of the BC
Develop the DR Plan Document 288 Process 329
Plan Testing, Training, and Exercises 291
Improving the BC Plan 329
Plan Maintenance 291
Improving the BC Staff 331
Implementing the DR Plan 291 BC Training 331
Preparation: Training the DR Team Maintaining the BC Plan 333
and the Users 292 Periodic BC Review 333
Disaster Response Phase 300 BC Plan Archival 333
Disaster Recovery Phase 301 Final Thoughts on Business Continuity
Restoration Phase 301 and the COVID-19 Pandemic 334
Disaster Resumption Phase 302
Building the DR Plan 304 MODULE SUMMARY 335
The Business Resumption Plan 305 REVIEW QUESTIONS 335
Information Technology Contingency REAL-WORLD EXERCISES 336
Planning Considerations 305 HANDS-ON PROJECTS 336
Systems Contingency Strategies 306
REFERENCES 337
Systems Contingency Solutions 307
MODULE SUMMARY 308 MODULE 12
REAL-WORLD EXERCISES 310 CRISIS MANAGEMENT IN
HANDS-ON PROJECTS 311 IR, DR, AND BC 339
REFERENCES 311 Introduction 340
Crisis Management in the
MODULE 11 Organization 340
Crisis Terms and Definitions 341
BUSINESS CONTINUITY 313 Crisis Misconceptions 342
Preparing for Crisis Management 343
Introduction 314
General Crisis Preparation Guidelines 343
Business Continuity Teams 315 Organizing the Crisis Management Teams 345
Organization of BC Response Teams 316 Crisis Management Critical Success Factors 346
Special Documentation and Equipment 317 Developing the Crisis Management Plan 348
Business Continuity Policy and Plan 318 Crisis Management Training and Testing 350
Develop the BC Planning Policy Statement 318 Other Crisis Management Preparations 352
Review the BIA 321 Post-Crisis Trauma 353
Identify Preventive Controls 321 Post-Traumatic Stress Disorder 353
Create BC Contingency (Relocation) Employee Assistance Programs 353
Strategies 321 Immediately after the Crisis 353
Develop the BC Plan 322
Getting People Back to Work 354
Ensure BC Plan Testing, Training, and
Dealing with Loss 354
Exercises 325
Ensure BC Plan Maintenance 325 Law Enforcement Involvement 355
Sample Business Continuity Plans 325 Federal Agencies 356
TABLE OF CONTENTS ix
State Agencies 357 MODULE SUMMARY 370

Local Agencies 358 REVIEW QUESTIONS 371
Managing Crisis Communications 358
Crisis Communications 358
Avoiding Unnecessary Blame 361 HANDS-ON PROJECTS 372
Succession Planning 363 REFERENCES 373

Elements of Succession Planning 363
Succession Planning Approaches for Crisis GLOSSARY 375
Management 364
INDEX 389
International Standards in IR, DR,
and BC 365
NIST Standards and Publications in IR, DR,
and BC 365
ISO Standards and Publications in IR, DR,
and BC 366
Other Standards and Publications in IR, DR,
and BC 367
PREFACE
As global networks expand the interconnection of the world’s technically complex infrastructure,
communication and computing systems gain added importance. Information security has gained
in importance as a professional practice, and it has also emerged as an academic discipline. Ongo-
ing security events, such as malware attacks and successful hacking efforts, have pointed out the
weaknesses inherent in unprotected systems and exposed the need for heightened security of
these systems. In order to secure technologically advanced systems and networks, both educa-
tion and the infrastructure to deliver that education are needed to prepare the next generation
of information technology and information security professionals to develop a more secure and
ethical computing environment. Therefore, improved tools and more sophisticated techniques
are needed to prepare students to recognize the threats and vulnerabilities present in existing
systems and to design and develop secure systems. Many years have passed since the need for
improved information security education was recognized, and as Dr. Ernest McDuffie, Lead of
NIST NICE, points out:
While there is no doubt that technology has changed the way we live, work, and
play, there are very real threats associated with the increased use of technology and
our growing dependence on cyberspace. . . .
Education can prepare the general public to identify and avoid risks in
cyberspace; education will ready the cybersecurity workforce of tomorrow; and
education can keep today’s cybersecurity professionals at the leading edge of the
latest technology and mitigation strategies.
The need for improvements in information security education is so great that the U.S. National
Security Agency (NSA) has established Centers of Academic Excellence in Information Assurance,
as described in Presidential Decision Directive 63, “The Policy on Critical Infrastructure Protection”
(1998):
The goal of the program is to reduce vulnerability in our national information

infrastructure by promoting higher education and research in cyber defense and
producing professionals with cyber defense expertise.
Academics who want to focus on delivering skilled undergraduates to the commercial informa-
tion technology (IT) sector need teaching resources that focus on key topics in the broader area
of information security.
APPROACH
This resource provides an overview of contingency operations and its components as well as a thor-
ough treatment of the administration of the planning process for incident response (IR), disaster
recovery (DR), and business continuity (BC). It can be used to support course delivery for informa-
tion security-driven programs targeted at information technology students, as well as IT manage-
ment and technology management curricula aimed at business or technical management students.
xii PREFACE
Features
To ensure a successful learning experience, this product includes the following pedagogical features:
• Module Objectives—Each module in this book begins with a detailed list of the concepts to be mastered within
that module. This list provides you with a quick reference to the contents of the module as well as a useful
study aid.
• Module Scenarios—Each module opens and closes with a case scenario that follows the same fictional com-
pany as it encounters various contingency planning or operational issues. The closing scenario also includes
discussion questions to give students and the instructor an opportunity to discuss the issues that underlie
the content. New in this edition is an example of an ethical decision that extends the opportunity to discuss
the impact of events in the scenario.
• Boxed Examples—These supplemental sections, which feature examples not associated with the ongoing case
study, are included to illustrate key learning objectives and technical details or extend the coverage of plans
and policies.
• Learning Support—Each module includes a Module Summary section, definitions of key terms, and a set of open-
ended review questions. These are used to reinforce learning of the subject matter presented in the module.
• Real-World Exercises—At the end of each module, Real-World Exercises give students the opportunity to exam-
ine the contingency planning arena outside the classroom. Using these structured exercises, students can
pursue the learning objectives listed at the beginning of each module and deepen their understanding of the
text material.
• Hands-On Projects—Virtual labs are now available through the MindTap that accompanies Principles of Inci-
dent Response and Disaster Recovery. These labs have been designed by the authors to help students develop
valuable practical skills. They can be accessed in the Practice It folder in MindTap or through the instructor’s
learning management system (LMS).
New to This Edition

This edition extends the work from the previous edition by adding more detail and examples, specifically in the exami-
nation of incident response activities. It continues to track the evolution in approaches and methods that have been
developed at NIST. Although the material on disaster recovery, business continuity, and crisis management has not
been reduced, the text’s focus now follows that of the IT industry in shifting to the prevention, detection, reaction to,
and recovery from computer-based incidents and avoidance of threats to the security of information.
Several modules have been reorganized, with a new module on incident detection that has an increased focus on
IDPSs, security information and event management systems (SIEMs), and security event correlation.
Structure
The narrative is organized into 12 modules. Appendices and other materials are available with the instructor resources
online and in MindTap. Here are summaries of each module’s contents:
Module 1, An Overview of Information Security and Risk Management, defines the concepts of information security
and risk management and explains how they are integral to the management processes used for incident response
and contingency planning.
Module 2, Planning for Organizational Readiness, focuses on how an organization can plan for and develop pro-
cesses and staffing appointments needed for successful incident response and contingency plans.
Module 3, Contingency Strategies for Incident Response, Disaster Recovery, and Business Continuity, explores the
relationships among contingency planning and the subordinate elements of incident response, business resumption,
disaster recovery, and business continuity planning. It also explains the techniques used for data and application
backup and recovery.
PREFACE xiii
Module 4, Incident Response: Planning, expands on the incident response planning process to include processes
and activities that are needed as well as the skills and techniques used to develop such plans.
Module 5, Incident Response: Organizing and Preparing the CSIRT, presents a detailed explanation of the actions
that the CSIRT performs and how they are designed and developed.
Module 6, Incident Response: Incident Detection Strategies, describes IR reaction strategies and how they are applied
to incidents.
Module 7, Incident Response: Detection Systems, describes IDPSs, security information and event management
systems (SIEMs), and security event correlation.
Module 8, Incident Response: Response Strategies, describes how an organization plans for and executes the recov-
ery process when an incident occurs.
Module 9, Incident Response: Recovery, Maintenance, and Investigations, explores how organizations recover from
incidents. It also expands on the steps involved in the ongoing maintenance of the IR plan as well as the IT forensics
process.
Module 10, Disaster Recovery, presents the challenges an organization faces when engaged in disaster recovery
and how such challenges are met.
Module 11, Business Continuity, covers how organizations ensure continuous operations even when their primary
facilities are not available.
Module 12, Crisis Management in IR, DR, and BC, covers the role of crisis management and recommends the ele-
ments of a plan to prepare for crisis response. The module also covers the key international standards that affect IR,
DR, and BC.
Three appendices in the instructor’s resources and MindTap present sample BC and crisis management plans and
templates.
MINDTAP
MindTap activities for Principles of Incident Response and Disaster Recovery are designed to help you master the skills
you need in today’s workforce. Research shows that employers need critical thinkers, troubleshooters, and creative
problem-solvers to stay relevant in this fast-paced, technology-driven world. MindTap helps you achieve this goal with
assignments and activities that provide hands-on practice with real-life relevance.
All MindTap activities and assignments are tied to defined learning objectives. Readings with spaced knowledge
checks support the course objectives, while hands-on labs provide practice and give you an opportunity to trouble-
shoot, explore, and try different solutions in a secure sandbox environment. Videos, Review Questions, and Real-World
Exercises will help you reinforce your understanding of each module’s concepts, and Security for Life assignments will
prompt you to explore industry-related news and events.
Use the interactive Flashcards and PowerPoint slides in each module to help you study for exams. Measure how
well you have mastered the material by taking the Review Quizzes and completing the Case Exercises at the end of
each module. Finally, the Post-Assessment Quiz helps you assess all that you have learned throughout the course, see
where you gained deeper knowledge, and identify the skills where you need additional practice!
Instructors can use the content and learning path as they are, or choose how these materials wrap around their
own resources. MindTap supplies the analytics and reporting so you can easily see where the class stands in terms
of progress, engagement, and completion rates. To learn more about shaping what students see and scheduling when
they see it, instructors can go to www.cengage.com/mindtap/.
xiv PREFACE
INSTRUCTOR RESOURCES
Instructors can access a robust set of teaching resources tailored to this product at Cengage’s Companion Site. An
instructor login is required. Please visit instructor.cengage.com to request access or log in to your existing account.
There, you will find the following instructor-specific resources:
• Instructor’s Manual—The Instructor’s Manual that accompanies this resource includes additional instructional
material to assist in class preparation, including suggestions for classroom activities, discussion topics, and
additional projects.
• Solution Files—The solution files include answers to selected end-of-module materials, including the review
questions and some of the hands-on projects.
• Test Bank—Cengage Testing, powered by Cognero, is a flexible, online system that allows you to do the
following:
❍❍ Author, edit, and manage test bank content from multiple Cengage solutions.
❍❍ Create multiple test versions in an instant.
❍❍ Deliver tests from your LMS, your classroom, or wherever you want.
The generous question sets developed for this edition include a variety of question types tagged to core learn-
ing objectives and narrative topics.
• PowerPoint Presentations—This edition includes Microsoft PowerPoint slides for each module. These are
included as a teaching aid for classroom presentation. They can also be made available to students on the
network for module review, or they can be printed for classroom distribution. Instructors should feel free to
add their own slides for additional topics they introduce to the class.
• Hands-On Projects—The virtual labs provided with this resource can help students develop practical skills
that will be of value as they progress through the course. These author-developed lab projects are available
via MindTap or at the Companion Site for LMS integration.
• Information Security Community Site—Stay secure with the Information Security Community Site! Connect with
students, professors, and professionals from around the world, and stay on top of this ever-changing field.
❍❍ Visit www.cengage.com/community/infosec.
❍❍ Download resources such as instructional videos and labs.
❍❍ Ask authors, professors, and students the questions that are on your mind in our Discussion Forums.
❍❍ See up-to-date news, videos, and articles.
❍❍ Read author blogs.
❍❍ Listen to podcasts on the latest information security topics.
AUTHOR TEAM
Long-time college professors and information security professionals Michael Whitman and Herbert Mattord have jointly
developed this text and MindTap to merge knowledge from the world of academic study with practical experience
from the business world.
Michael Whitman, Ph.D., CISM, CISSP, is the Executive Director of the KSU Institute for Cybersecurity Workforce
Development (ICWD, cyberinstitute.kennesaw.edu) and a Professor of Information Security and Assurance at Kennesaw
State University, Kennesaw, Georgia. Dr. Whitman has over 30 years of experience in higher education, with over 20
years of experience in designing and teaching information security courses. He is an active researcher in information
security, fair and responsible use policies, and computer-use ethics. He currently teaches graduate and undergraduate
courses in information security and cybersecurity. He has published articles in the top journals in his field, including
Information Systems Research, Communications of the ACM, Information and Management, Journal of International Busi-
ness Studies, and Journal of Computer Information Systems. Under Dr. Whitman’s leadership, Kennesaw State University
has been recognized by the National Security Agency and the Department of Homeland Security as a National Center
of Academic Excellence in Information Assurance/Cyber Defense Education four times. Dr. Whitman is also the coau-
thor of Principles of Information Security; Management of Information Security; Readings and Cases in the Management
PREFACE xv
of Information Security; Readings and Cases in Information Security: Law and Ethics; The Hands-On Information Security
Lab Manual; Roadmap to the Management of Information Security for IT and Information Security Professionals; Guide
to Firewalls and VPNs; Guide to Firewalls and Network Security; and Guide to Network Security, all published by Course
Technology (now Cengage). Prior to his career in academia, Dr. Whitman was an officer in the United States Army.
Herbert Mattord, Ph.D., CISM, CISSP, completed 24 years of IT industry experience as an application developer,
database administrator, project manager, and information security practitioner before joining the faculty of Kennesaw
State University in 2002. Dr. Mattord is a Professor of Information Security and Assurance and the Director of Under-
graduate Education and Outreach at the ICWD. During his career as an IT practitioner, Dr. Mattord has been an adjunct
professor at Kennesaw State University; Southern Polytechnic State University in Marietta, Georgia; Austin Community
College in Austin, Texas; and Texas State University: San Marcos. He currently teaches undergraduate and graduate
courses in information security and cybersecurity. He was formerly the manager of corporate information technology
security at Georgia-Pacific Corporation, where much of the practical knowledge found in this text was acquired. Pro-
fessor Mattord is also the coauthor of Principles of Information Security; Management of Information Security; Readings
and Cases in the Management of Information Security; Readings and Cases in Information Security: Law and Ethics; The
Hands-On Information Security Lab Manual; Roadmap to the Management of Information Security for IT and Information
Security Professionals; Guide to Firewalls and VPNs; Guide to Firewalls and Network Security; and Guide to Network Security,
all published by Course Technology (now Cengage).
ACKNOWLEDGMENTS
The authors would like to thank their families for their support and understanding for the many hours dedicated to
this project—hours taken in many cases from family activities.
Reviewers
We are indebted to the following individuals for their contributions of perceptive feedback on the initial proposal, the
project outline, and individual learning modules:
• Paul Witman, California Lutheran University

• Humayun Zafar, Kennesaw State University
• Randall Reid, University of West Florida
Special Thanks
The authors wish to thank the editorial and production teams at Cengage. Their diligent and professional efforts greatly
enhanced the final product:
• Danielle Klahr, Associate Product Manager

• Amy Savino, Senior Product Manager
• Mary Clyne, Learning Designer
• Brooke Greenhouse, Senior Content Manager
• Dan Seiter, Developmental Editor
In addition, several professional and commercial organizations and individuals have aided the development of the
text and MindTap by providing information and inspiration, and the authors wish to acknowledge their contributions:
• Bernstein Crisis Management

• Continuity Central
• Information Systems Security Associations
xvi PREFACE
• Institute for Crisis Management

• National Institute of Standards and Technology
• Oracle, Inc.
• Purdue University
• Rothstein Associates, Inc.
• SunGard
• Our colleagues in the Department of Information Systems and the Michael J. Coles College of Business,
Kennesaw State University
Our Commitment
The authors are committed to serving the needs of the adopters and readers. We would be pleased and honored to
receive feedback on the textbook, MindTap, and supporting materials. You can contact us through Cengage.
MODULE 1
AN OVERVIEW OF
INFORMATION SECURITY
AND RISK MANAGEMENT
Upon completion of this material, you should be able to: An ounce of
1 Define and explain information security prevention is worth a
2 Describe the role of information security policy in the organization pound of cure.
— Benjamin Franklin
3 Identify and explain the basic concepts and phases of risk management
Opening Scenario
Paul Alexander and his boss, Amanda Wilson, were sitting in Amanda’s office discussing the coming year’s budget when they
heard a commotion in the hall. Hearing his name mentioned, Paul stuck his head out the door and saw Jonathon Jasper (“JJ”
to his friends) walking quickly toward him.
“Paul!” JJ called again, relieved to see Paul waiting in Amanda’s office. “Hi, Amanda,” JJ said, then, looking at Paul, he added,
“We have a problem.” JJ was one of the systems administrators at Hierarchical Access LTD (HAL), a Georgia-based cloud ser-
vices firm.
Paul stepped out into the hall, closing Amanda’s door behind him. “What’s up, JJ?”
“I think we’ve got someone sniffing around our credentialing services platform,” JJ replied. “I just looked at the log files,
and there is an unusual number of failed login attempts on accounts that normally just don’t have that many, like yours!”
Paul answered, “Sounds like we need to investigate,” then paused a moment.
“That system is configured to allow off-premises VPN access,” he finally said to JJ. “Are there corresponding entries in the
reverse proxy server or the VPN logs?”
JJ shook his head “no.”
Paul sighed. “Which means it must be internal.”
“Yeah, that’s why it’s a problem,” JJ replied. “We haven’t gotten this kind of thing since we partitioned the credentialing
platform. It’s got to be someone in-house.”
JJ looked exasperated. “And after all that time I spent conducting awareness training!”
“Don’t worry just yet,” Paul told him. “Let me make a few calls, and then we’ll go from there. Grab your incident response
plan and meet me in the conference room in 10 minutes. Grab Tina in network operations on the way; she’s on call for today.”
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Choanopoma 2 2 ...
Chondropoma 2 11 ...
Helicina 13 10 6
Schasicheila 2 ... 1
Ceres 2 ... ...
Proserpinella 1 ... ...
(3) The Colombian Sub-region includes Colombia, New
Grenada, Venezuela, Guiana, Ecuador, Peru, and Bolivia. It has
been usual to separate off the two latter countries as forming a
distinct “Peruvian” sub-region; but there is, as will be seen,
absolutely no line to be drawn between the Mollusca of Peru and
those of Ecuador; nor would one, on geographical considerations,
expect to be able to draw such a line. A better method of subdivision,
so far as the species of the whole eastern portion of the region are
concerned, would be to group the Mollusca according to the altitude
at which they occur, were it not that the evidence on this point is at
present but fragmentary. We know, however, that all along the line of
the Andes certain species, more particularly of Bulimulus, occupy
their own zones of elevation, some ascending as high as 10,000 feet
above the sea, and never occurring on the plains.
In the northern portions of this sub-region, Central American and
West Indian influence is felt to a certain extent. Thus there are eight
Glandina and one Streptostyla in Venezuela and Colombia together
with one or two species of Cistula, Chondropoma, Proserpina, and
Cylindrella, while a single Strophia (decidedly a straggler) occurs at
Curaçao. In Demerara and Cayenne there are three or four species
of Dentellaria. In Ecuador, however, Glandina diminishes to three
species, and in Peru disappears altogether, although one
Streptostyla occurs. Similarly the West Indian operculates are
reduced to one Chondropoma (Ecuador) and disappear entirely in
Peru.
Fig. 233.—A, Orthalicus
Deburghiae Reeve, Ecuador;
B, Bulimus (Pachyotus)
egregius Jay, Brazil.
The Helicidae are most abundant in the north and west, and are
represented by several very striking sub-genera, some of which
possess remarkably toothed apertures, and perhaps betray an
ancestry common to some of the West Indian genera. Of these,
Labyrinthus has 12 species in Venezuela and Colombia, 5 in
Ecuador, and 3 in Peru and Bolivia; Isomeria 12 in Venezuela and
Colombia, 20 in Ecuador, and 2 in Peru and Bolivia; Salaropsis is
represented in these countries by 6, 3, and 7 species, and
Systrophia by 4, 5, and 8 species respectively.
Clausilia—in the group Nenia—appears in some numbers along
the Andes chain, the only other representative in the New World
being the solitary species occurring at Porto Rico. There have been
described, from Venezuela and Colombia 10 species, from Ecuador
5, and from Peru and Bolivia 12.
Another marked feature of the region is the occurrence of the
Orthalicidae, in the two genera Orthalicus and Porphyrobaphe. The
latter of these magnificent forms is peculiar, while the former reaches
Mexico, the West Indies, and Brazil. Ecuador, which contains 23
species, seems the metropolis of the group.
Bulimus and Bulimulus, the former genus being peculiar to S.
America and the adjacent islands, are largely represented, the
former in the three groups Borus, Dryptus, and Orphnus. These
attain their maximum in Peru, with 25 species, but Venezuela and
Colombia have as many as 17. Bulimulus has been subdivided into a
number of groups, e.g. Drymaeus, Mesembrinus, Thaumastus,
Mormus, Scutalus, with many others,—the exact scientific limits of
which are not easily discernible. It must suffice here to state that
Peru seems to be the headquarters of the group with about 190
species (which probably may well be reduced), Ecuador having
about 70, and Venezuela and Colombia between 80 and 90.
Fig. 234.—Rhodea gigantea

Mouss., New Grenada.
Two very remarkable forms belonging to the Pupidae, Anostoma
(Fig. 154, p. 248) and Tomigerus, occur in Venezuela, the
metropolis. Rhodea, another very peculiar shell (Fig. 234), whose
exact family position is uncertain, is peculiar to New Grenada. The
land operculates are few in number, and in Bolivia almost disappear.
They belong principally to Neocyclotus (of which 11 species occur in
Venezuela and Colombia) and Helicina (10 species in the same
district), besides the stragglers already mentioned from West Indian
sources, and a few Cyclophorus. Bourcieria is a form of Helicina
peculiar to Ecuador. Ampullaria, with Ceratodes, a peculiar
planorbiform sub-genus, and Hemisinus, form the bulk of the fresh-
water operculates.
The Galapagos.—Thirty-four species of land Mollusca, all
peculiar, are known from these islands; 25 of these are forms of
Bulimulus. There are no Helicidae, one each of Hyalinia, Leptinaria,
and Helicina, and two Pupa. The Bulimulus are mostly of the group
Nesiotis, and in their brown colour bear some outward resemblance
to the dark Achatinella of the Sandwich Is., living as they do mostly
under scoriae on the ground, and not on trees. In type, however,
they appear to be derived from Chili and Peru, rather than from the
parts of S. America immediately contiguous. Another section
(Pleuropyrgus 2 sp.) closely resembles a marine Chemnitzia. The
islands are all volcanic, and are probably not the result of
subsidence; thus the existing species are not to be regarded as the
relics of a more widespread fauna, but as a new set of inhabitants.
(4) The Brazilian Sub-region.—This immense district is very little
known, except in the south, and it is consequently impossible to give
any satisfactory account of its Mollusca. It is possible that eventually
it will be found that it falls into provinces which correspond more or
less to (a) the Amazon basin; (b) the mountainous district in the east,
drained by the Tocantins and the San Francisco; (c) the Parana
basin in the south central district; and (d) the Argentine or Pampas
district in the extreme south. But at present the data are insufficient
to establish any such subdivisions, whose existence, if proved,
would have an important bearing on the problem of the coalescence
of S. America into its present form.[379]
The Agnatha are represented by Streptaxis alone (17 sp.). Helix is
rare, but includes the peculiar Polygyratia (Fig. 150 A, p. 246), while
Labyrinthus (2 sp.), Solaropsis (5 sp.), and Systrophia are common
with the Colombian Sub-region, and Oxychona (4 sp.) with the
Central American. Bulimus has in all 36 species, the sub-genera
Pachyotus (Fig. 233) and Strophochilus being peculiar. Bulimulus,
though not so abundant as in Peru and Ecuador, has about 60
species, of which Navicula (Fig. 235) is the most remarkable group.
Megaspira is peculiar. Orthalicus has only 4 species, while
Tomigerus (4 sp.) and Anostoma (3 sp.) are common with
Venezuela. Land operculates are scarce, and appear to include only
Neocyclotus, Cyclophorus, and Helicina.
In Argentina, which may probably rank as a separate province,
the tropical forms greatly decrease, Streptaxis being reduced to 2
species, and Bulimus and Bulimulus together to 40, while Orthalicus,
the great Helices, and the land operculates disappear altogether.
Odontostomus (Fig. 236), a genus of the Pupidae, is abundant in the
northern part of the province. Two or three species of Chilina occur.
Fig. 235.—Bulimulus (Navicula)

navicula Wagn., Brazil.
Fig. 236.—Odontostomus
pantagruelinus Moric., S. Brazil. ×
½.
(5) The Chilian Sub-region.—The greater part of Chili, from its
arid and rainless climate, is unfavourable to the existence of land
Mollusca. Bulimus (Borus) still has 3 or 4 species, and Bulimulus
(Plectostylus 11, Scutalus 9, Peronaeus 7) is fairly abundant, but the
profusion of the tropics is wanting. There are no carnivorous genera,
and only two land operculates. A remarkable form of Helix
(Macrocyclis, Fig. 237) is quite peculiar, but the majority of the
species belong to two rather obscure groups, Stepsanoda and
Amphidoxa. Chilina, a singularly solid form of Limnaea (of which 8
sp., with a sub-genus Pseudochilina, occur in Chili), is peculiar to
Chili, S. Brazil, and Patagonia. From the two islands of Juan
Fernandez and Masafuera, are known several Helix, of Chilian
affinity, several curious Succinea, a Homalonyx, Leptinaria, and
Nothus, and three species of Tornatellina, with the almost universal
Limax gagates.
The question of the existence at some remote period of a
Neantarctic continent, which formed a communication between the
three great southern peninsulas of the world, is one on which the
Mollusca may offer evidence. Von Ihering holds that an essential
difference can be observed between certain of the Unionidae which
inhabit S. America, Africa, and Australia with New Zealand, and
those which inhabit Europe, Asia, and N. America, but the point can
hardly be regarded as definitely established at present. Something
perhaps may be made of the distribution of Bulimus and Bulimulus. It
seems difficult to explain the occurrence of sub-fossil Bulimus on St.
Helena except on some such lines as have been recently adduced to
account for the presence of struthious birds in the Mascarenes, and
possibly the form Livinhacea may be a trace of the same element in
S. Africa. Again, the Liparus of S. and W. Australia, with the
Caryodes of Tasmania, and the Leucotaenia and Clavator of
Madagascar (which all may be related to Bulimus), together with the
Placostylus of New Caledonia and the adjacent islands, reaching
even to New Zealand, and perhaps even the Amphidromus of
Malaysia (which are more akin to Bulimulus), may be thought to
exhibit, in some remote degree, traces of a common ancestry.
The land operculates give no help, and, of the carnivorous
genera, Rhytida is a marked link between Africa and Australia, while
Streptaxis is equally so between S. America and Africa. As regards
fresh-water Gasteropoda, Ampullaria is common to S. America and
Africa, while Isidora is common to Africa, Australia, and New
Zealand, but is altogether absent from S. America. Gundlachia
occurs in Florida, Trinidad, and Tasmania, but has not been detected
in Africa. It must be concluded, therefore, that the present state of
the evidence which the Mollusca can afford, while exhibiting certain
curious points of relationship between the three regions in question,
is insufficient to warrant any decided conclusion.
Fig. 237.—Macrocyclis laxata Fér.,

Chili.
CHAPTER XII
DISTRIBUTION OF MARINE MOLLUSCA—DEEP-SEA MOLLUSCA AND THEIR
CHARACTERISTICS
Marine Mollusca may be divided roughly into Pelagic and non-

Pelagic genera. To the former division belong all Pteropoda and
Heteropoda, and a large number of Cephalopoda, together with a
very few specialised forms of Gasteropoda (Ianthina, Litiopa,
Phyllirrhoe, etc.). Pelagic Mollusca appear, as a rule, to live at
varying depths below the surface during the day, and to rise to the
top only at night. The majority inhabit warm or tropical seas, though
some are exceedingly abundant in the Arctic regions; Clione and
Limacina have been noticed as far north as 72°.[380]
The vertical range of Pelagic Mollusca has received attention from
Dr. Murray of the Challenger, Professor Agassiz of the Blake and
Albatross, and others. Agassiz appears to have established the fact
that the surface fauna of the sea is limited to a comparatively narrow
belt of depth, and that there is no intermediate belt of animal life
between creatures which live on or near the bottom and the surface
fauna. Pelagic forms sink to avoid disturbances of various kinds, to
depths not much exceeding 150 to 200 fathoms, except in closed
seas like the Gulf of California and the Mediterranean, where the
bathymetrical range appears to be much greater.[381]
Non-Pelagic Mollusca are, from one point of view, conveniently
classified according to the different zones of depth at which they
occur. Thus we are enabled to distinguish Mollusca of (a) the littoral,
(b) the laminarian, (c) the nullipore, or coralline, and (d) the abyssal
zones. It must be borne in mind, however, that these zones cannot
be exactly defined, and that while the littoral zone may be
understood to imply the area between tide-marks, and the abyssal
zone a depth of 500 fathoms and upwards, the limits between the
laminarian and the coralline, and between the coralline and abyssal
zones can only be fixed approximately.
The difficulty of assigning special genera or species to special
‘zones of depth’ is increased by two important facts in the
phenomena of distribution. In the first place, it is found that species
which occur in shallow water in northern seas often extend to very
deep water in much lower latitudes. This interesting fact, which
shows the importance of temperature in determining distribution, was
first established by the dredgings of the Lightning and Porcupine off
the western coasts of Europe. In the second place, a certain number
of species seem equally at home in shallow and in abyssal waters, in
cases where a great difference of latitude does not occur to equalise
the temperature. Thus the Challenger found Venus mesodesma
living on the beach (New Zealand) and at 1000 fath. (Tristan da
Cunha); Lima multicostata in ‘shallow water’ (Tonga and Port
Jackson) and at 1075 fath. (Bermuda); Scalaria acus from 49 to
1254 fath. (N. Atlantic); and S. hellenica from 40 to 1260 fath.
(Canaries). The Lightning and Porcupine found, or record as found,
[382] Anomia ephippium at 0 to 1450 fath., Pecten groenlandicus at 5
to 1785 fath., Lima subauriculata at 10 to 1785 fath., Modiolaria
discors at 0 to 1785 fath., Crenella decussata at 0 to 1750 fath.,
Dacrydium vitreum at 30 to 2750 fath., Arca glacialis at 25 to 1620
fath., Astarte compressa at 3 to 2000 fath., and Scrobicularia
longicallus at 20 to 2435 fath. Puncturella noachina has been found
at 20 to 1095 fath., Natica groenlandica at 2 to 1290 fath., Rissoa
tenuisculpta at 25 to 1095 fath. In many of these cases we are
assured that no appreciable difference can be detected between
specimens from the two extremes of depth.
In spite, however, of these remarkable vagaries on the part of
certain species, we are enabled roughly to distinguish a large
number of genera as ‘shallow-water’ and ‘deep-water’ respectively,
while a still larger number occupy an intermediate position. Among
shallow-water genera may be named Patella, Littorina, Nassa,
Purpura, Strombus, Haliotis, Mytilus, Cardium, Solen; while among
deep-water genera are Pleurotoma, Scissurella, Seguenzia,
Dentalium, Cadulus, Limopsis, Nucula, Leda, Lima, and Axinus.
Theories on the geographical distribution of marine Mollusca have
been revolutionised by the discoveries of recent exploring
expeditions. The principal have been those of Torell (Swedish)
(1859–61) on the coasts of Greenland and Spitzbergen; of the
Lightning and Porcupine (British) in 1868–70, in the N.E. Atlantic, off
the Scotch, Irish, French, and Portuguese coasts, and in the
Mediterranean; of the Challenger (British), under Sir C. Wyville
Thomson, in 1873–76, in which all the great ocean basins were
dredged or sounded; of the Blake (American), under Alexander
Agassiz, in 1877–80, in the West Atlantic, Gulf of Mexico, and
Caribbean Seas; of the Travailleur (French) in 1880–83, off the west
coasts of France, Portugal, and Morocco, Madeira, the Canaries,
and the Golfe du Lion; of the Talisman (French) in 1882, off the west
coast of Africa from Tangier to Senegal, the Atlantic Islands, and the
Sargasso Sea; of the Albatross (American) in 1891, off the west
coast of tropical America; of several other vessels belonging to the
U.S. Fish Commission and Coast Survey, off east American shores;
and of the Prince of Monaco in the Hirondelle and Princesse Alice at
the present time, in the N. Atlantic and Mediterranean.
The general result of these explorations has been to show that the
marine fauna of very deep water is much the same all the world over,
and that identical species occur at points as far removed as possible
from one another. The ocean floor, in fact, with its uniform similarity
of temperature, food, station, and general conditions of life, contains
no effectual barrier to the almost indefinite spread of species.[383] To
give a few instances. The Challenger dredged Silenia Sarsii in 1950
fath., 1100 miles south-west of Australia, and also in 2650 fath. off
the mouth of the Rio de la Plata; Semele profundorum in 1125 fath.
near the Canaries, and in 2900 fath. mid N. Pacific; Verticordia
deshayesiana in 155 fath. near Cape York, and in 350 fath. off
Pernambuco; Arca pteroessa in 2050 fath. mid N. Pacific, in 1000–
1675 fath. west of the Azores, and in 390 fath. off the West Indies;
Arca corpulenta in 1400 fath. off N.E. Australia, in 2425 fath. mid-
Pacific, and in 1375 fath. near Juan Fernandez; Lima goliath in 775
fath. off S. Japan, and in 245 fath. off S. Patagonia; Pleurotoma
engonia in 700 fath. north-east of New Zealand, and in 345 fath. off
Inoshima. A surprising range was occasionally found even in
shallow-water species; thus Petricola lapicida was discovered by the
same expedition in the West Indies and N. Australia, Cardita
calyculata off Teneriffe and in Bass Strait, Arca imbricata off Cape
York and in the West Indies, Modiolaria cuneata at Port Jackson and
Cape of Good Hope, Lima squamosa at Teneriffe and the
Philippines. In these latter cases it is not improbable that the species
lives in deep water as well, from which it has not yet been dredged.
It follows from these considerations that any attempt to classify
marine Mollusca under Regions and Provinces can only apply to
Mollusca which occur at moderate depths. The most important factor
in the environment, as determining distribution, is the temperature of
the water, which is probably to be regarded as affecting not so much
the adult Mollusca as their ova; for the adult might possibly support
life under conditions in which the ova would perish. It appears that a
sudden change of temperature is the most effective barrier to
distribution,[384] and may bring the range of a species to an almost
instantaneous stop, while a very gradual change will allow it to
extend its range very widely.
It has been usual to classify marine Mollusca from moderate
depths under the following regions and sub-regions:—
Regions Sub-regions
1. Arctic.
2. Boreal.
A. Atlantic 3. Celtic.
and Circumpolar 4. Lusitanian.
5. West African.
6. South African.
1. Indo-Pacific.
B. Indo-Pacific
2. Japanese.
1. Australian.
C. Australian
2. Neozealanian.
D. American 1. Aleutian.
2. Californian.
3. Panamic.
4. Peruvian.
5. Magellanic.
6. Argentinian.
7. Caribbean.
8. Transatlantic.
A. The Atlantic Region
includes the whole to the eastern shores of the Atlantic, from the
extreme north of the Cape of Good Hope, together with the
circumpolar seas, which may be regarded as roughly bounded by
the Aleutian Islands and the coast of Newfoundland.
(1) The Arctic Sub-region includes the circumpolar seas, and is
bounded in the N. Pacific by a line drawn between Cape Avinoff in
Alaska, and Cape Lopatka in Kamchatka, so as to exclude the
Aleutian Islands. On the western shores of the Atlantic the cold
Labrador current brings it as far south as the coast of Newfoundland,
but on the eastern shores the influence of the Gulf Stream has the
contrary effect, so that the North Cape may be taken as its southern
limit.
The principal genera (many species of which are common to the
whole sub-region) are Volutomitra, Buccinum, Buccinopsis,
Neptunea, Trophon, Bela, Admete, Velutina, Trichotropis, Lacuna,
Margarita, Philine, Pecten, Leda, Yoldia, Astarte, and Mya. The
shells are generally unicoloured, and of a dead white or rather
sombre tint.
(2) The Boreal Sub-region may be subdivided into two provinces,
the European and the American. The former includes the entire
coast-line of Norway, the Färoe Islands, and Iceland (except perhaps
the northern coast), and possibly the Shetland Islands; the latter the
American coasts from the Gulf of St. Lawrence to Cape Cod (lat.
42°). Thus the Boreal American province does not extend nearly so
far south as the Boreal European, the reason being that on the
American coasts the cold Labrador current, which hugs the land,
bars back the advance of southern genera, but allows Boreal genera
to spread southwards, while on the European side the warmer
conditions produced by the Gulf Stream keep the Boreal species
back, and allow more southern forms to spread northwards.
Many of the Boreal species occur on both sides of the Atlantic,
and thus support the theory of a more continuous fringe of
continental land once existing along the north of the Atlantic. Among
the prominent genera, besides several of those mentioned under the
Arctic Sub-region, are Purpura, Chenopus, Littorina, Gibbula, Natica,
Patella, Tectura, Chiton, Doris, Aeolis, Tellina, Thracia.
(3) The Celtic Sub-region includes the British Islands (excepting
perhaps the Shetland Islands), the coasts of the North Sea and the
Baltic, with N. France to Cape Ushant. The absence of any cold or
warm current exerting direct influence upon the coast-line of this
sub-region causes a very gradual change in the conditions of life as
we move either southward or northward. The fauna of the British
seas contains a decided mixture of northern and southern forms.
The following are among the common Boreal species which attain
their southward range on our coasts: Tectura testudinalis Müll. (to
Dublin Bay and Scarborough), Trichotropis borealis Brod. (to the
Dogger Bank), Margarita helicina Fabr. (to Yorkshire and Dublin
Bay), M. groenlandica Chem. (western Scotland), Natica montacuti
Forb. (to Cornwall), Trophon truncatus Str. (to Tenby), Chiton
marmoreus Fabr. (to Dublin Bay and Scarborough). Buccinum
undatum and Littorina littorea become very scarce on our extreme
south-western coasts. Among Lusitanian species which reach our
coasts are Gibbula magus L. (to Orkney and Shetland Islands),
Phasianella pullus L. (to Caithness), Galerus chinensis L. (to Milford
Haven), Galeomma Turtoni Turt. (to Weymouth), Cardium aculeatum
L. (to Isle of Man), Solen vagina L. (to north Ireland).
It appears from the Mollusca of our Crag formations that at the
time of their deposition the temperature of our seas must have been
considerably warmer than it is now. Thus in the Crag we find many
species and even genera (e.g. Mitra, Fossarus, Triton, Vermetus,
Ringicula, Chama) which now occur no farther north than the
southern coasts of the Channel, the west of France, and the
Mediterranean.
The Baltic, a sea specially liable to violent changes of
temperature, with a large admixture of fresh water at its eastern end,
appears to possess only about 65 species in all. More than 50
genera occurring on the western coasts of Denmark do not enter the
Sound. In the eastern portion of the Baltic marine and fresh-water
species live together (p. 12).
(4) The Lusitanian Sub-region extends from Cape Ushant in the
north to Cape Juby (lat. 28°) in the south, and includes the whole of
the Mediterranean, as well as the Azores, Canaries, and Madeira
groups.
The English Channel acts as an effectual barrier to the northward
extension of many species; as many as 81 species which occur in
western France do not reach British coasts (P. Fischer). At the same
time, the western coasts of France are rather intermediate between
the two sub-regions than distinctly Lusitanian, for between 50 and 60
Mediterranean genera do not occur on those coasts.
The Mediterranean itself is exceedingly rich in species, about
1200 in all (including deep-water species) being known. A certain
number of these belong to tropical genera which here find their
northern limit, e.g. Fasciolaria, Cancellaria, Sigaretus, Siliquaria,
Chama, Spondylus. Here too occur Carinaria, Lobiger, Oxynoe,
Pedicularia, Cypraea, Marginella, Mitra, Dolium, Cassis, Cassidaria,
Pisania, Euthria, Vermetus, Argonauta, and many others. A few
Celtic and even Boreal species, which occur on the western coasts
of Morocco, do not enter the Mediterranean. Among these are
Purpura lapillus, Helcion pellucidum, and Tellina balthica. Halia, a
rare West African genus akin to Pleurotoma, is found in Cadiz Bay,
and the West African Cymbium occurs on the Spanish coasts as far
as Malaga.
The Black Sea, whose northern and western coasts are
exceedingly cold, is comparatively poor in species. The Sea of Azof
is chiefly characterised by forms of Cardium.
(5) The West African Sub-region extends from Cape Juby to a
point probably not very far south of lat. 30° S., the cold current which
sweeps up from the Pole probably limiting the southward extension
of tropical species on this side of Africa, while the warm Mozambique
current on the eastern side permits the spread of many Indo-Pacific
species almost as far south as the Cape. Owing to its extreme
unhealthiness, and the absence of harbours, the sub-region is very
little known.
The principal genera are Cymbium, Pleurotoma, Marginella,
Terebra, Mitra, Agaronia, Murex, Cancellaria, Purpura, Pseudoliva,
Natica, Tellina, Lucina, Tugonia, Schizodesma, and Arca. Studer has
enumerated as many as 55 species common to West Africa and the
opposite American shores. The north and south equatorial currents,
which circulate in this part of the Atlantic, probably transport the
larvae from one coast to the other. Purpura coronata Lam., a
characteristic West African species, is represented by a well-marked
variety in Demerara.
The Mollusca of St. Helena (178 known species) most resemble
those of the West Indies, 50 per cent being common, while 30 per
cent are common to the Mediterranean. From Ascension Island only
33 species are known, which in their general relations resemble
those of St. Helena.[385]
(6) The South African Sub-region extends along the coast from
about lat. 30° on the west, to about East London on the east. Mr. G.
B. Sowerby enumerates 740 species from ‘South Africa,’ but
includes in this list Natal species, which more properly belong to the
Indo-Pacific fauna. Of these 740, 323 are peculiar, while 67 also
occur in European seas, some being familiar on our own shores. It is
remarkable to find in a sub-region separated from ourselves by the
whole width of the tropics, such well-known forms as Mangilia
costata Don., M. septangularis Mont., Cylichna cylindracea Penn.,
Pholas dactylus L., Solen marginatus Pult., Cultellus pellucidus
Penn., Ceratisolen legumen L., Lutraria oblonga Chem., Tellina
fabula Gmel., T. tenuis Da C., Modiolaria discors L., and many
others.
The leading genera are Euthria, Triton, Cominella, Bullia, Nassa,
Cypraeovula, Oxystele, Fissurella, Fissurellidaea, Patella, and
Chiton.
The Mollusca of Kerguelen Island and the Marion and Crozets
groups show relationship partly with South America, partly with the
Cape, and partly with South Australia and New Zealand, thus
showing some trace of a circumpolar antarctic fauna corresponding
to, but not nearly so well marked as that of the circumpolar arctic
sub-region. Among the remarkable forms discovered off Kerguelen
are Neobuccinum and a sub-genus of Struthiolaria (Perissodonta).
B. The Indo-Pacific Region
includes the whole of the coast-line of the Indian and western

Pacific oceans, from about East London in South Africa to the north
of Niphon (lat. 42°) in Japan, with the Red Sea and Persian Gulf, the
whole of the Indo-Malay Archipelago, Polynesia to the Sandwich
Islands in the north-east, and Easter Island in the south-east, and
Australia to Swan River in the west, and to Sandy Cape and Lord
Howe’s Island in the east. It is especially the region of coral reefs,
which furnish so favourite a home of the Mollusca, and which are
entirely absent from the Atlantic Region.
(1) The Indo-Pacific Sub-region proper (which includes the whole
of this region except that part defined below as the Japanese Sub-
region) is by far the richest in the world. The marine Mollusca of the
Philippines alone (in some respects the nucleus of the whole region)
have been estimated at between 5000 and 6000 species, and
Jousseaume estimates Red Sea species at about 1000. Some
prominent genera are very rich in species. Garrett enumerates from
Polynesia 81 species of Conus, 60 of which occur on the Viti Is., 21
on the Sandwich Is., and only 14 on the Marquesas, where coral
reefs are almost absent; 82 species of Cypraea, Viti Is. 44, Sandwich
Is. 31, Marquesas only 13; 167 species of Mitra (besides 29
recorded by others), Viti Is. 120, Sandwich Is. 36, Marquesas 7. Of
50 existing species of Strombus, 39 occur in this region, and 10 out
of 11 Eburna.
The following important genera are quite peculiar to the region:
Nautilus, several forms of Purpuridae, e.g. Rapana, Magilus, Rapa,
Melapium, and Ricinula; Tudicla, several forms of Strombidae, e.g.
Rostellaria, Terebellum, Pteroceras, and Rimella; Cithara, Melo,
Neritopsis, Stomatia, Malleus, Vulsella, Cucullaea, Tridacna,
Hippopus, Libitina, Glaucomya, Anatina, Aspergillum, and many
others.
The number of species common to the Red Sea and
Mediterranean is exceedingly small, some authorities even denying
the existence of a single common species. The present author, from
an examination of the shells dredged by MacAndrew at Suez,
regarded 17 species as common, and Mr. E. A. Smith has confirmed
this view with regard to 8 of the species in question.[386] The
Mollusca occurring in Post-pliocene beds at Suez show that
Mediterranean species lived there in comparatively recent geological
times.
The opening of the Suez Canal appears to have already induced
several species to start on their travels from the Mediterranean to the
Red Sea and vice versâ. Two Red Sea species (Mactra olorina Phil.,
Mytilus variabilis Kr.) had in 1882 established themselves at Port
Said, while two Mediterranean species (Pholas dactylus L., Solen
vagina L.) had reached Ismailia.[387]
(2) The Japanese Sub-region consists of the Japanese Islands to
Niphon, together with Corea and a stretch of adjacent mainland
coast of unknown extent. The warm Kuro Siwo current, sweeping up
between Luzon and Formosa, permits tropical species to extend
much farther north than on the opposite shores of America, where a
cold polar current keeps them back. A certain number of species,
however, are common to the two shores of the Pacific, and a few
circumpolar species occurring on our own coasts reach Japan,
e.g.Trophon clathratus, Puncturella noachina, Mya arenaria, Modiola
modiolus, Lasaea rubra, and Nucula tenuis.
Among the characteristic genera are Fusus, Siphonalia,
Columbarium, Hemifusus, Rapana, Chlorostoma, Pleurotomaria,
Haliotis, and Cyclina.
C. The Australian Region
includes the Australian coast-line from about Swan R.[388] (lat. 32°
S.) to Sandy Cape (lat. 25° S.), Tasmania, New Zealand, and the
adjacent islands (except Lord Howe’s I.).
(1) The Australian Sub-region proper (which consists of the whole
of the region excepting New Zealand and the adjacent islands) is
determined by the influence of the Antarctic Drift, which washes the
whole of the southern coasts of Australia, and runs strongly
northward between Australia and New Zealand. The E. Australian
warm current from the north is checked at Sandy Cape by this cold
current, and flows off to New Zealand, the western shores of which
island are consequently much warmer than the eastern. On the
western coast of Australia the Antarctic Drift has less force, and
tropical genera accordingly range some 7 degrees farther south on
the western than on the eastern coasts.
The characteristic genera are Voluta (of which half the known
species occur on Australian coasts[389]), Cominella, Siphonalia,
Struthiolaria, Risella, Phasianella, a number of genera belonging to
the Trochidae, e.g. Liotia, Clanculus, Euchelus, Thalotia, Elenchus,
Trochocochlea, Zizyphinus, Bankivia, Trigonia, Myodora, Myochama,
Solenomya, Ephippodonta, Anapa, Mylitta, Mesodesma, and
Chamostrea. Trigonia, originally discovered as a recent form in
Sydney Harbour (p. 65), is not peculiar to that locality, occurring also
off Cape York, West Australia, and Tasmania.
(2) The Neozealanian Sub-region includes New Zealand, with the
outlying islands (Chatham, Auckland, and Campbell Is.).
As many as 455 species (Cephalopoda, 8; Gasteropoda, 311;
Scaphopoda, 2; Pelecypoda, 134) have been enumerated by
Professor F. W. Hutton as occurring within the sub-region, of which
only 64 are found elsewhere, the proportion of peculiar species
being thus nearly 86 per cent. New Zealand therefore is, in its
marine, no less than its land Mollusca, greatly isolated.
The characteristic genera are Anthora, Cryptoconchus, and
Vanganella, which appear to be quite peculiar, Trophon, Cominella,
Euthria, most of the Trochidae also characteristic of S. Australia,
Haliotis, Patella, Taria, Mesodesma, Mylitta, Zenatia, Standella, and
Myodora.
D. The American Region

includes the entire coasts of North and South America with the
adjacent islands, south of Cape Avinoff on the western, and south of
Cape Cod on the eastern coast, the portions north of these points
belonging to the Arctic Sub-region.
(1) The Aleutian Sub-region consists of the islands of Yesso and
Saghalien, with the adjacent shores of the Sea of Okhotsk to Cape
Lopatka, the Aleutian Is., and the west American coast from about
Cape Avinoff (lat. 60° N.) to St. Jean de Fuca Straits.
A certain number of species, probably of arctic origin, are
common with British and also with East American shores, the former
being the more numerous. Species as familiar to us as Lacuna
divaricata Fabr., Trichotropis borealis Brod., Pholas crispata L., Mya
truncata L., M. arenaria L., Mytilus edulis L., and Modiolaria nigra
Gray, occur. The more characteristic genera are Chrysodomus,
Volutharpa, Buccinum, Tectura, Scurria, Chiton, Cryptochiton (Cr.
Stelleri Midd. is by far the largest known of the Chitonidae, 6 inches
long), Tellina and Pecten.
(2) The Californian Sub-region extends from St. Jean de Fuca
Straits (lat. 48° N.) to Cape St. Lucas, the Gulf of California
belonging to the Panamic sub-region. The northern polar current,
which washes the shores of this sub-region throughout their whole
extent, prolongs the southward range of the more northern genera,
and keeps back those more markedly tropical, the latter, however,
creeping northward in the warmer waters of the Gulf of California.
Some authorities subdivide this immense stretch of coast-line, as
characterised by sub-temperate, temperate, and sub-tropical genera,
into the Oregonian, Californian, and Lower Californian provinces.
The characteristic genera are—in the north, Argobuccinum,
Zizyphinus, Chlorostoma, Tectura, Scurria, Chiton (Katharina,
Mopalia, Tonicia), Cryptochiton, Placunanomia, and Mytilimeria; in
the centre, Purpura, Monoceros, Amphissa, Norrisia, Platyodon,
Tapes, and Macoma; and, towards the south, Olivella, Chorus,
Macron, Pseudoliva, Trivia, and Haliotis.
(3) The Panamic Sub-region extends from the head of the Gulf of
California to Payta in Peru (lat. 5° S.). It is exceedingly rich in
species, about 1500 having been described. The Mollusca are
entirely distinct from those of the Indo-Pacific Region, which,
although extending from Natal to the Sandwich Islands, are unable
to pass the enormous extent of sea which separates the nearest
Polynesian island from the American coast.
On the two sides of the isthmus of Panama there occur certain
pairs of species, which, while specifically distant, are evidently
closely related to one another. Amongst these are, on the Panamic
side, Purpura speciosa, Cypraea cervinetta, Cassis abbreviata,
Natica Chemnitzii, and Strombus gracilior, corresponding to Purpura
deltoidea, Cypraea exanthema, Cassis inflata, Natica maroccana,
and Strombus pugilis, on the Caribbean. It is reasonable to conclude
that these “analogous species” are descendants of a stock which
was common to both seas when the isthmus was open (probably not
later than Miocene times), and which have, since the closing of the
isthmus, become modified, some species considerably more than
others.
Among the characteristic genera (compare p. 3) are Conus,
Pleurotoma, Terebra, Murex, Purpura, Oliva, Northia, Cantharus,
Columbella, Anachis, Cypraea, Strombus, Cerithium, Coecum,
Crepidula, Crucibulum, Vitrinella; Tellina, Semele, Tellidora; and
Arca.
(4) The Peruvian Sub-region extends from Payta in Peru to about
the latitude of Conception in S. Chili (37° S.), being checked from
further extension southward by the cold Humboldt current, whose
force is distinctly felt as far north as Callao. This cold current thus
produces the same results as the similar current which impinges on
S. Africa, but has even more effect in decisively separating the fauna
on the two sides of the great peninsula, scarcely a single species
being common to the western and eastern coasts of S. America. The

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Fig. 234.—Rhodea gigantea

Fig. 235.—Bulimulus (Navicula)

Fig. 237.—Macrocyclis laxata Fér.,

Marine Mollusca may be divided roughly into Pelagic and non-

A. The Atlantic Region

B. The Indo-Pacific Region

includes the whole of the coast-line of the Indian and western

D. The American Region

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