+Incident Response Policy
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Incident Response Policy
Description
Mechanisms exist to establish a formal, documented incident response policy that:
(1) Conveys executive management's intent;
(2) Provides organizational direction and expected behaviors;
(3) Is reviewed at least annually; and
(4) Is updated, as necessary, to adapt to evolving risks, threats and other changes that affect the organization.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Executive-approved written policy with documented annual review
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Executive-approved written policy with documented annual review
∙ Policy acknowledgement tracking (e.g., HR onboarding records)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.) for policy lifecycle management
∙ Documented annual policy review with version control
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.) for policy lifecycle management
∙ Policy governance committee with formal annual review and approval workflow
∙ Automated policy attestation and acknowledgement tracking
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Steering committee
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Enterprise GRC platform (e.g., Cyturus, Archer, MetricStream, ServiceNow IRM) for policy lifecycle management
∙ Automated policy attestation, exception tracking and change history
∙ Annual executive approval and board-level reporting
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).
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. Forbhreathnú
1.1 Tagairtí
1.2 Ceanglais aitheanta
1.3 Rialacháin ghaolmhara
2. Ceanglais aitheanta
Ceanglais
| Foinse |
Ceanglas |
3. Rialacháin ghaolmhara
Rialacháin
| Foinse |
Rialáil |
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EULAW
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Airteagal 9 4
4. Mar chuid de chreat bainistíochta riosca TFC dá dtagraítear in Airteagal 6(1), déanfaidh eintitis airgeadais na nithe seo a leanas:
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(a)
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beartas slándála faisnéise a fhorbairt agus a dhoiciméadú lena sainítear rialacha chun infhaighteacht, barántúlacht, sláine agus rúndacht sonraí, sócmhainní faisnéise agus sócmhainní TFC, lena n-áirítear cinn a gcustaiméirí, a chosaint, i gcás inarb infheidhme;
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(b)
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i gcomhréir le cur chuige bunaithe ar riosca, struchtúr bainistíochta fónta gréasáin agus bonneagair a bhunú trí úsáid a bhaint as teicnící, modhanna agus prótacail iomchuí ar a bhféadfar a áireamh sásraí uathoibrithe a chur chun feidhme chun sócmhainní faisnéise, a ndearnadh difear dóibh, a scaradh amach i gcás cibirionsaithe;
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(c)
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beartais a chur i bhfeidhm lena ndéantar an rochtain fhisiciúil nó loighciúil ar shócmhainní faisnéise agus sócmhainní TFC a theorannú dá bhfuil riachtanach le haghaidh feidhmeanna agus gníomhaíochtaí dlisteanacha formheasta amháin, agus sraith beartas, nósanna imeachta agus rialuithe a bhunú chuige sin lena dtugtar aghaidh ar chearta rochtana agus lena n-áirithítear riarachán fónta orthu sin;
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(d)
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beartais agus prótacail le haghaidh sásraí láidre fíordheimhnithe a chur chun feidhme, bunaithe ar chaighdeáin ábhartha agus ar chórais thiomnaithe rialuithe, agus bearta cosanta i ndáil le heochracha cripteagrafacha trína ndéantar sonraí a chriptiú bunaithe ar thorthaí próiseas formheasta aicmithe sonraí agus measúnaithe riosca TFC;
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(e)
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beartais, nósanna imeachta agus rialuithe doiciméadaithe a chur chun feidhme le haghaidh bainistíocht athruithe TFC, lena n-áirítear athruithe ar bhogearraí, crua-earraí, comhpháirteanna dochtearraí, paraiméadair ar chórais nó paraiméadair slándála, atá bunaithe ar chur chuige measúnaithe riosca agus mar chuid dhílis de phróiseas foriomlán bainistíochta athruithe an eintitis airgeadais, chun a áirithiú go ndéanfar gach athrú ar chórais TFC a thaifeadadh, a thástáil, a mheasúnú, a fhormheas, a chur chun feidhme agus a fhíorú ar bhealach rialaithe;
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(f)
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beartais iomchuí chuimsitheacha dhoiciméadaithe a bheith acu maidir le paistí agus nuashonruithe.
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Chun críocha na chéad fhomhíre, pointe (b), ceapfaidh eintitis airgeadais an bonneagar nasctha gréasáin ar bhealach lenar féidir é a ghearradh ar an toirt nó a dheighilt chun tógálacht a íoslaghdú agus a chosc, go háirithe i gcás próisis airgeadais idirnasctha.
Chun críocha na chéad fhomhíre, pointe (e), déanfar próiseas bainistíochta athruithe TFC a fhormheas ag línte bainistíochta iomchuí agus beidh prótacail shonracha i bhfeidhm aige.
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EULAW
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Airteagal 14 1
1. Mar chuid de chreat bainistíochta riosca TFC dá dtagraítear in Airteagal 6(1), beidh pleananna cumarsáide géarchéime i bhfeidhm ag eintitis airgeadais lena gcumasófar, ar a laghad, mórtheagmhais a bhaineann le TFC nó leochaileachtaí a nochtadh ar bhealach freagrach do chliaint agus contrapháirtithe agus don phobal chomh maith, de réir mar is iomchuí.
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EULAW
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Airteagal 14 2
2. Mar chuid de chreat bainistíochta rioscaí TFC, cuirfidh eintitis airgeadais beartais chumarsáide chun feidhme don fhoireann inmheánach agus do gheallsealbhóirí seachtracha. Cuirfear san áireamh le beartais chumarsáide don fhoireann an gá le hidirdhealú a dhéanamh idir baill foirne a a ghlacann páirt i mbainistíocht rioscaí TFC, go háirithe an fhoireann atá freagrach as freagairt agus athshlánú, agus na baill foirne is gá a chur ar an eolas.
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EULAW
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Airteagal 14 3
3. Cuirfear de chúram ar dhuine amháin ar a laghad san eintiteas airgeadais an straitéis cumarsáide le haghaidh teagmhas a bhaineann le TFC a chur chun feidhme agus comhlíonfaidh an duine sin an fheidhm phoiblí agus an fheidhm a bhaineann leis na meáin chun na críche sin.
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EULAW
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Airteagal 17 1
1. Déanfaidh eintitis airgeadais próiseas bainistíochta teagmhas a bhaineann le TFC a shainiú, a bhunú agus a chur chun feidhme chun teagmhais a bhaineann le TFC a bhrath, a bhainistiú agus fógra a thabhairt ina leith.
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EULAW
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Airteagal 17 2
2. Déanfaidh eintitis airgeadais taifead ar gach teagmhas a bhaineann le TFC agus ar chibearbhagairtí suntasacha. Bunóidh eintitis airgeadais nósanna imeachta agus próisis iomchuí chun a áirithiú go ndéanfar faireachán comhsheasmhach comhtháite, láimhseáil chomhsheasmhach chomhtháite agus bearta leantacha comhsheasmhacha comhtháite maidir le teagmhais a bhaineann le TFC, chun a áirithiú go sainaithneofar na bunchúiseanna, go ndéanfar iad a dhoiciméadú agus go dtabharfar aghaidh orthu, chun cosc a chur ar theagmhais den sórt sin.
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EULAW
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Airteagal 17 3
3. Maidir leis an bpróiseas bainistíochta teagmhas a bhaineann le TFC dá dtagraítear i mír 1, déanfaidh sé an méid seo a leanas:
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(a)
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táscairí luathrabhaidh a chur i bhfeidhm;
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(b)
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nósanna imeachta a bhunú chun teagmhais a bhaineann le TFC a shainaithint, a rianú, a logáil, a chatagóiriú agus a aicmiú de réir a dtosaíochta agus a ndéine agus de réir chriticiúlacht na seirbhísí ar imríodh tionchar orthu, i gcomhréir leis na critéir a leagtar amach in Airteagal 18(1);
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(c)
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róil agus freagrachtaí a shannadh is gá a ghníomhachtú le haghaidh cineálacha difriúla teagmhas a bhaineann le TFC agus cásanna insamhlaithe difriúla teagmhas a bhaineann le TFC;
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(d)
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pleananna a leagan amach chun nósanna imeachta inmheánacha méadúcháin, lena n-áirítear gearáin ó chustaiméirí a bhaineann le TFC, a chur in iúl don fhoireann, do gheallsealbhóirí seachtracha agus do na meáin chumarsáide i gcomhréir le hAirteagal 14, agus chun fógra a thabhairt do chliaint ina dtaobh, chomh maith le pleananna chun faisnéis a sholáthar d’eintitis airgeadais a ghníomhaíonn mar chontrapháirtithe, de réir mar is iomchuí;
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(e)
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a áirithiú go dtuairisceofar ar a laghad mórtheagmhais a bhaineann le TFC do bhaill ábhartha den ardbhainistíocht agus go gcuirfear an comhlacht bainistíochta ar an eolas faoi mhórtheagmhais a bhaineann le TFC ar a laghad, ag míniú an tionchair, na freagartha agus na rialuithe breise a bheidh le bunú de thoradh an teagmhais sin a bhaineann le TFC;
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(f)
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nósanna imeachta freagartha ar theagmhais a bhaineann le TFC a bhunú chun tionchair a mhaolú agus chun a áirithiú go mbeidh na seirbhísí oibríochtúil agus slán go tráthúil.
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EULAW
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Airteagal 21 Bearta bainistíochta riosca cibearshlándála
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EULAW
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Airteagal 23 Oibleagáidí maidir le tuairisciú
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Saincheisteanna nasctha
- 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.
The SCF is made up of volunteers, mainly specialists within the cybersecurity profession, who focus on GRC and the cybersecurity side of data privacy. These are auditors, engineers, architects, incident responders, consultants and other specialists who live and breathe these topics on a daily basis. The end product is "expert-derived content" that makes up the SCF." https://securecontrolsframework.com/
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