+Incident Response Plan (IRP)
---+Incident Response Plan (IRP) Update
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Incident Response Plan (IRP)
Description
Mechanisms exist to maintain and make available a current and viable Incident Response Plan (IRP) to all stakeholders.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Incident Response Plan (IRP)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Incident Response Plan (IRP)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Integrated Incident Response Program (IIRP)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Integrated Incident Response Program (IIRP)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Integrated Incident Response Program (IIRP)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Incident Response (IRO) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with IRO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with IRO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Incident response-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Incident response management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
Level 3 Well Defined
Incident Response (IRO) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with IRO domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ An incident response team, or similar function, is appropriately staffed and supported to implement and maintain IRO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of incident response operations (e.g., incident management software).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with IRO domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to maintain and make available a current and viable Incident Response Plan (IRP) to all stakeholders.
Level 4 Quantitatively Controlled
Incident Response (IRO) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
1. Přehled
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Standard |
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Incident Response Plan (IRP) Update
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Description
Mechanisms exist to regularly review and modify incident response practices to incorporate lessons learned, business process changes and industry developments, as necessary.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Basic incident response plan
∙ Designate incident response contact
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Documented incident response plan
∙ Incident log
∙ Designated IR team
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal incident response program
∙ IR playbooks
∙ Tabletop exercises
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise incident response program
∙ 24/7 SOC monitoring
∙ SOAR platform
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise SOC with SIEM/SOAR (e.g., Splunk SOAR, Palo Alto XSOAR)
∙ IR retainer
∙ Threat hunting
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Incident Response (IRO) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with IRO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with IRO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Incident response-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Incident response management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ On at least an annual basis, IT and/or cybersecurity personnel update incident response strategies to keep current with business needs, technology changes and regulatory requirements.
Level 3 Well Defined
Incident Response (IRO) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with IRO domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ An incident response team, or similar function, is appropriately staffed and supported to implement and maintain IRO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of incident response operations (e.g., incident management software).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with IRO domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to regularly review and modify incident response practices to incorporate lessons learned, business process changes and industry developments, as necessary.
Level 4 Quantitatively Controlled
Incident Response (IRO) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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1.1 Odkazy
1.2 Identifikované požadavky
1.3 Související regulace
2. Identifikované požadavky
Požadavky
| Zdroj |
Požadavek |
3. Související regulace
Regulace
| Zdroj |
Regulace |
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EULAW
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Článek 22 Politika pro řízení incidentů souvisejících s IKT
Článek 22
Politika pro řízení incidentů souvisejících s IKT
V rámci mechanismů pro detekci neobvyklých aktivit, včetně problémů s fungováním sítě IKT a incidentů souvisejících s IKT, finanční subjekty vypracují, zdokumentují a zavedou politiku pro incidenty související s IKT, prostřednictvím které:
a)
dokumentují proces řízení incidentů souvisejících s IKT uvedený v článku 17 nařízení (EU) 2022/2554;
b)
vypracují seznam příslušných kontaktů na interní funkce a externí zúčastněné strany, které se přímo podílejí na zajištění bezpečnosti operací IKT, včetně:
i)
detekce a monitorování kybernetických hrozeb;
ii)
detekce neobvyklých aktivit;
c)
vypracují, zavedou a používají technické, organizační a provozní mechanismy na podporu procesu řízení incidentů souvisejících s IKT, včetně mechanismů umožňujících včasnou detekci neobvyklých aktivit a chování v souladu s článkem 23 tohoto nařízení;
▼C1
d)
uchovávají veškeré důkazy týkající se incidentů souvisejících s IKT po dobu, která není delší, než je nezbytné pro účely, pro které jsou údaje shromažďovány, a která je úměrná významu zasažených obchodních funkcí, podpůrných procesů a aktiv v oblasti IKT a informačních aktiv, v souladu s čl. 8 odst. 2 nařízení Komise v přenesené pravomoci (EU) 2024/1772 (
2
) a je v souladu s použitelným požadavkem na uchovávání podle práva Unie;
▼B
e)
vypracují a zavedou mechanismy pro analýzu významných nebo opakujících se incidentů souvisejících s IKT a vzorců, pokud jde o počet a výskyt incidentů souvisejících s IKT.
Pro účely písmene d) uchovávají finanční subjekty důkazy uvedené v tomto písmenu bezpečným způsobem.
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EULAW
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Článek 22 Politika pro řízení incidentů souvisejících s IKT
Článek 22
Politika pro řízení incidentů souvisejících s IKT
V rámci mechanismů pro detekci neobvyklých aktivit, včetně problémů s fungováním sítě IKT a incidentů souvisejících s IKT, finanční subjekty vypracují, zdokumentují a zavedou politiku pro incidenty související s IKT, prostřednictvím které:
a)
dokumentují proces řízení incidentů souvisejících s IKT uvedený v článku 17 nařízení (EU) 2022/2554;
b)
vypracují seznam příslušných kontaktů na interní funkce a externí zúčastněné strany, které se přímo podílejí na zajištění bezpečnosti operací IKT, včetně:
i)
detekce a monitorování kybernetických hrozeb;
ii)
detekce neobvyklých aktivit;
c)
vypracují, zavedou a používají technické, organizační a provozní mechanismy na podporu procesu řízení incidentů souvisejících s IKT, včetně mechanismů umožňujících včasnou detekci neobvyklých aktivit a chování v souladu s článkem 23 tohoto nařízení;
▼C1
d)
uchovávají veškeré důkazy týkající se incidentů souvisejících s IKT po dobu, která není delší, než je nezbytné pro účely, pro které jsou údaje shromažďovány, a která je úměrná významu zasažených obchodních funkcí, podpůrných procesů a aktiv v oblasti IKT a informačních aktiv, v souladu s čl. 8 odst. 2 nařízení Komise v přenesené pravomoci (EU) 2024/1772 (
2
) a je v souladu s použitelným požadavkem na uchovávání podle práva Unie;
▼B
e)
vypracují a zavedou mechanismy pro analýzu významných nebo opakujících se incidentů souvisejících s IKT a vzorců, pokud jde o počet a výskyt incidentů souvisejících s IKT.
Pro účely písmene d) uchovávají finanční subjekty důkazy uvedené v tomto písmenu bezpečným způsobem.
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EULAW
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Článek 17 Proces řízení incidentů souvisejících s IKT
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EULAW
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Článek 17 Proces řízení incidentů souvisejících s IKT
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EULAW
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Článek 17 1
1. Finanční subjekty vymezí, zavedou a uplatňují proces řízení incidentů souvisejících s IKT za účelem detekce, řízení a hlášení incidentů souvisejících s IKT.
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EULAW
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Článek 17 2
2. Finanční subjekty zaznamenávají veškeré incidenty související s IKT a závažné kybernetické hrozby. Finanční subjekty zavedou vhodné postupy a procesy zajišťující konzistentní a integrované sledování, řešení a následná opatření pro incidenty související s IKT, aby byla zajištěna identifikace, zdokumentování a řešení jejich hlavních příčin, a zabránilo se tak výskytu těchto incidentů.
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EULAW
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Článek 17 3
3. Proces řízení incidentů souvisejících s IKT uvedený v odstavci 1:
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a)
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zavede ukazatele včasného varování;
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b)
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stanoví postupy k identifikaci, sledování, evidenci, kategorizaci a klasifikaci incidentů souvisejících s IKT podle jejich priority a závažnosti a podle toho, jak zásadní jsou zasažené služby v souladu s kritérii vymezenými v čl. 18 odst. 1;
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c)
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přiřadí úlohy a odpovědnosti, které je třeba aktivovat u různých typů a scénářů incidentů souvisejících s IKT;
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d)
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stanoví plány komunikace pro zaměstnance, externí zainteresované strany a média podle článku 14 a pro informování klientů, postupy interní eskalace, včetně stížností klientů souvisejících s IKT, a případně rovněž pro poskytování informací finančním subjektům jednajícím jako protistrany;
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e)
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zajistí, aby byly přinejmenším závažné incidenty související s IKT hlášeny příslušným vedoucím pracovníkům, a přinejmenším o závažných incidentech souvisejících s IKT informuje vedoucí orgán s vysvětlením dopadů, reakce a dalších kontrol, jež budou zavedeny v důsledku takových incidentů souvisejících s IKT;
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f)
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zavede postupy reakce na incidenty související s IKT ke zmírnění dopadů a zajistí, aby služby byly včas a bezpečně obnoveny.
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Propojené úkoly
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