+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. Resumen
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Estándar |
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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 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 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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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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EULAW
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Artículo 17 Proceso de gestión de incidentes relacionados con las TIC
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EULAW
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Artículo 17 Proceso de gestión de incidentes relacionados con las TIC
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EULAW
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Artículo 17 1
1. Las entidades financieras definirán, establecerán y aplicarán un proceso de gestión de incidentes relacionados con las TIC para detectar, gestionar y notificar dichos incidentes.
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EULAW
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Artículo 17 2
2. Las entidades financieras registrarán todos los incidentes relacionados con las TIC y las ciberamenazas importantes. Las entidades financieras establecerán los procedimientos y procesos adecuados para que los incidentes relacionados con las TIC sean objeto de un seguimiento, un tratamiento y una respuesta coherentes e integrados, a fin de asegurarse de que se identifiquen, se documenten y se aborden las causas subyacentes para evitar que se produzcan.
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EULAW
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Artículo 17 3
3. El proceso de gestión de incidentes relacionados con las TIC mencionado en el apartado 1:
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a)
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establecerá indicadores de alerta temprana;
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b)
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establecerá procedimientos para identificar, rastrear, registrar, categorizar y clasificar los incidentes relacionados con las TIC en función de su prioridad y gravedad y en función del carácter esencial de los servicios perjudicados, conforme a los criterios establecidos en el artículo 18, apartado 1;
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c)
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asignará funciones y responsabilidades que deban activarse para los diferentes tipos y escenarios de incidentes relacionados con las TIC;
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d)
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expondrá planes para la comunicación con el personal, las partes interesadas externas y los medios de comunicación de conformidad con el artículo 14, para la notificación a los clientes, para los procedimientos internos de traslado a la instancia jerárquica superior, que abarquen también las reclamaciones de los clientes relacionadas con las TIC, así como para el suministro de información a las entidades financieras que actúen como contraparte, según proceda;
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e)
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garantizará que al menos los incidentes graves relacionados con las TIC se pongan en conocimiento de los altos directivos pertinentes y que se informe de ellos al órgano de dirección, explicando sus repercusiones, las medidas adoptadas como respuesta y los controles adicionales que se prevé implantar como resultado de estos incidentes graves relacionados con las TIC;
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f)
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establecerá procedimientos de respuesta a los incidentes relacionados con las TIC para mitigar sus repercusiones y garantizar que los servicios sean nuevamente operativos y seguros de manera oportuna.
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Incidencias vinculadas
- Secure Controls Framework -
"The SCF is the Common Controls Framework™ (CCF), the world's most comprehensive cybersecurity and data privacy metaframework - it is also free to use. The entire concept is building secure, compliant and resilient capabilities in the most efficient and cost-effective manner possible.
The SCF is more than just a unified control catalog, since its included content creates a playbook for Governance, Risk & Compliance (GRC) capabilities. Used globally by organizations of every size, the SCF is a robust and scalable solution for security, compliance and resilience controls. As a comprehensive security framework, the SCF maps 1,400+ controls across 200+ laws, regulations, and industry frameworks so you can implement once and comply everywhere.
Like it or not, cybersecurity is a protracted war on an asymmetric battlefield, where the threats are everywhere and as defenders we have to make the effort to work together to help improve cybersecurity and data privacy practices, since we all suffer when massive data breaches occur or when cyber attacks have physical impacts. Hackers share information on attack methods with other hackers, so why shouldn’t the good guys share information on how to best protect an organization? We decided to take action and make a difference, since we feel it is too important to wait for someone else to fix the problems that exist.
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