+Chain of Custody & Forensics
---+Licensed Forensic Investigators
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Chain of Custody & Forensics
Description
Mechanisms exist to perform digital forensics and maintain the integrity of the chain of custody, in accordance with applicable laws, regulations and industry-recognized secure practices.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Third-party advisors (e.g., virtual CISO, Managed Security Services Provider (MSSP), etc.)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Third-party advisors (e.g., virtual CISO, Managed Security Services Provider (MSSP), etc.)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Chain of custody procedures
∙ OpenText Encase (https://opentext.com)
∙ AccessData Forensic Toolkit (FTK) (https://pluralsight.com)
∙ Extero (https://exterro.com)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Chain of custody procedures
∙ OpenText Encase (https://opentext.com)
∙ AccessData Forensic Toolkit (FTK) (https://pluralsight.com)
∙ Extero (https://exterro.com)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Chain of custody procedures
∙ OpenText Encase (https://opentext.com)
∙ AccessData Forensic Toolkit (FTK) (https://pluralsight.com)
∙ Extero (https://exterro.com)
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 perform digital forensics and maintain the integrity of the chain of custody, in accordance with applicable laws, regulations and industry-recognized secure practices.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
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. Resumen
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Estándar |
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Licensed Forensic Investigators
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Description
Mechanisms exist to utilize licensed forensic investigators to perform data analysis for evidentiary purposes that may be used in legal proceedings or to prove wrongdoing.
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
Incident Response (IRO) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IRO domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Incident response-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IT and/or cybersecurity personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ For eDiscovery, IT and/or cybersecurity personnel manually identify and collect Electronically Stored Information (ESI) in order to respond to a request from a lawsuit or investigation.
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.
▪ Incident responders are proficient on their specific IRP role(s) and responsibilities through recurring training events (e.g., annual rock drill).
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 utilize licensed forensic investigators to perform data analysis for evidentiary purposes that may be used in legal proceedings or to prove wrongdoing.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
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 Referencias
1.2 Requisitos identificados
1.3 Regulaciones relacionadas
2. Requisitos identificados
Requisitos
| Fuente |
Requisito |
3. Regulaciones relacionadas
Regulaciones
| Fuente |
Regulación |
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EULAW
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Artículo 13 2
2. Las entidades financieras llevarán a cabo revisiones tras incidentes relacionados con las TIC después de que un incidente grave relacionado con las TIC perturbe sus actividades principales, analizando sus causas e identificando las mejoras necesarias para las operaciones de TIC o en la política de continuidad de la actividad en materia de TIC a que se refiere el artículo 11.
Las entidades financieras que no sean microempresas comunicarán, previa petición, a las autoridades competentes los cambios que se hayan introducido después de las revisiones tras incidentes relacionados con las TIC a que se refiere el párrafo primero.
Las revisiones tras incidentes relacionados con las TIC a que se refiere el párrafo primero determinarán si se han seguido los procedimientos establecidos y si las medidas adoptadas han sido eficaces, inclusive en relación con lo siguiente:
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a)
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la rapidez a la hora de responder a las alertas de seguridad y determinar las repercusiones de los incidentes relacionados con las TIC y su gravedad;
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b)
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la calidad y rapidez en la realización de un análisis forense, cuando se considere oportuno;
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c)
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la eficacia de la activación de los niveles sucesivos de intervención en caso de incidente dentro de la entidad financiera;
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d)
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la eficacia de la comunicación interna y externa.
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EULAW
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Artículo 13 3
3. Las enseñanzas derivadas de las pruebas de resiliencia operativa digital llevadas a cabo de conformidad con los artículos 26 y 27 y de los incidentes reales relacionados con las TIC, en particular los ciberataques, junto con los problemas que se hayan planteado al activar los planes de continuidad de la actividad en materia de TIC y los planes de respuesta y recuperación en materia de TIC, además de la información pertinente intercambiada con las contrapartes y evaluada durante las revisiones supervisoras, se incorporarán debidamente de forma continua al proceso de evaluación del riesgo relacionado con las TIC. Tales hallazgos conformarán la base para las revisiones adecuadas de los componentes pertinentes del marco de gestión del riesgo relacionado con las TIC a que se refiere el artículo 6, apartado 1.
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EULAW
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Artículo 23 Obligaciones de notificación
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EULAW
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Artículo 22 Política de gestión de incidentes relacionados con las TIC
Artículo 22
Política de gestión de incidentes relacionados con las TIC
Dentro de los mecanismos para la detección de actividades anómalas, incluidos los problemas de rendimiento de las redes de TIC y los incidentes relacionados con las TIC, las entidades financieras elaborarán, documentarán y aplicarán una política de incidentes relacionados con las TIC en virtud de la cual:
a)
documentarán el proceso de gestión de incidentes relacionados con las TIC a que se refiere el artículo 17 del Reglamento (UE) 2022/2554;
b)
establecerán una lista de los contactos pertinentes con las funciones internas y las partes interesadas externas que participen directamente en la seguridad de las operaciones de TIC, en particular por lo que respecta a:
i)
la detección y el seguimiento de las ciberamenazas,
ii)
la detección de actividades anómalas,
iii)
la gestión de vulnerabilidades;
c)
establecerán, implementarán y aplicarán mecanismos técnicos, organizativos y operativos en apoyo del proceso de gestión de incidentes relacionados con las TIC, en particular mecanismos que permitan la rápida detección de actividades y comportamientos anómalos de conformidad con el artículo 23 del presente Reglamento;
▼C1
d)
conservarán todas las pruebas sobre los incidentes relacionados con las TIC por un período no superior al necesario para los fines con los que se hayan recopilado los datos y acorde con el carácter esencial de las funciones empresariales, los procesos de apoyo y los activos de información y de TIC afectados, de conformidad con el artículo 8, apartado 2, del Reglamento Delegado (UE) 2024/1772 de la Comisión (
2
) y con cualquier requisito de conservación aplicable en virtud del Derecho de la Unión;
▼B
e)
establecerán y aplicarán mecanismos para analizar los incidentes relacionados con las TIC significativos o recurrentes y los patrones en el número y la frecuencia de los incidentes relacionados con las TIC.
A efectos de la letra d), las entidades financieras conservarán las pruebas a que se refiere dicha letra de manera segura.
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Incidencias vinculadas
- Secure Controls Framework -
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