compliance controls are associated with this Policy definition 'Maintain incident response plan' (37546841-8ea1-5be0-214d-8ac599588332)
| Control Domain |
Control |
Name |
MetadataId |
Category |
Title |
Owner |
Requirements |
Description |
Info |
Policy# |
| FedRAMP_High_R4 |
IR-4 |
FedRAMP_High_R4_IR-4 |
FedRAMP High IR-4 |
Incident Response |
Incident Handling |
Shared |
n/a |
The organization:
a. Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
b. Coordinates incident handling activities with contingency planning activities; and
c. Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly.
Supplemental Guidance: Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function). Related controls: AU-6, CM-6, CP-2, CP-4, IR-2, IR-3, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
References: Executive Order 13587; NIST Special Publication 800-61. |
link |
24 |
| FedRAMP_High_R4 |
IR-8 |
FedRAMP_High_R4_IR-8 |
FedRAMP High IR-8 |
Incident Response |
Incident Response Plan |
Shared |
n/a |
The organization:
a. Develops an incident response plan that:
1. Provides the organization with a roadmap for implementing its incident response capability;
2. Describes the structure and organization of the incident response capability;
3. Provides a high-level approach for how the incident response capability fits into the overall organization;
4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
5. Defines reportable incidents;
6. Provides metrics for measuring the incident response capability within the organization;
7. Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
8. Is reviewed and approved by [Assignment: organization-defined personnel or roles];
b. Distributes copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
c. Reviews the incident response plan [Assignment: organization-defined frequency];
d. Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;
e. Communicates incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and
f. Protects the incident response plan from unauthorized disclosure and modification.
Supplemental Guidance: It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems. Related controls: MP-2, MP-4, MP-5.
Control Enhancements: None.
References: NIST Special Publication 800-61. |
link |
6 |
| FedRAMP_Moderate_R4 |
IR-4 |
FedRAMP_Moderate_R4_IR-4 |
FedRAMP Moderate IR-4 |
Incident Response |
Incident Handling |
Shared |
n/a |
The organization:
a. Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
b. Coordinates incident handling activities with contingency planning activities; and
c. Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly.
Supplemental Guidance: Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function). Related controls: AU-6, CM-6, CP-2, CP-4, IR-2, IR-3, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
References: Executive Order 13587; NIST Special Publication 800-61. |
link |
24 |
| FedRAMP_Moderate_R4 |
IR-8 |
FedRAMP_Moderate_R4_IR-8 |
FedRAMP Moderate IR-8 |
Incident Response |
Incident Response Plan |
Shared |
n/a |
The organization:
a. Develops an incident response plan that:
1. Provides the organization with a roadmap for implementing its incident response capability;
2. Describes the structure and organization of the incident response capability;
3. Provides a high-level approach for how the incident response capability fits into the overall organization;
4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
5. Defines reportable incidents;
6. Provides metrics for measuring the incident response capability within the organization;
7. Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
8. Is reviewed and approved by [Assignment: organization-defined personnel or roles];
b. Distributes copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
c. Reviews the incident response plan [Assignment: organization-defined frequency];
d. Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;
e. Communicates incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and
f. Protects the incident response plan from unauthorized disclosure and modification.
Supplemental Guidance: It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems. Related controls: MP-2, MP-4, MP-5.
Control Enhancements: None.
References: NIST Special Publication 800-61. |
link |
6 |
| hipaa |
1501.02f1Organizational.123-02.f |
hipaa-1501.02f1Organizational.123-02.f |
1501.02f1Organizational.123-02.f |
15 Incident Management |
1501.02f1Organizational.123-02.f 02.03 During Employment |
Shared |
n/a |
Sanctions are fairly applied to employees following violations of the information security policies once a breach is verified and includes consideration of multiple factors. The organization documents personnel involved in incidents, steps taken, and the timeline associated with those steps, steps taken for notification, the rationale for discipline, and the final outcome for each incident. |
|
11 |
| hipaa |
1505.11a1Organizational.13-11.a |
hipaa-1505.11a1Organizational.13-11.a |
1505.11a1Organizational.13-11.a |
15 Incident Management |
1505.11a1Organizational.13-11.a 11.01 Reporting Information Security Incidents and Weaknesses |
Shared |
n/a |
A formal security incident response program has been established to respond, report (without fear of repercussion), escalate and treat breaches and reported security events or incidents. Organization-wide standards are specified for the time required for system administrators and other personnel to report anomalous events to the incident handling team, the mechanisms for such reporting, and the kind of information that should be included in the incident notification. This reporting includes notifying internal and external stakeholders, the appropriate community Computer Emergency Response Team, and law enforcement agencies in accordance with all legal or regulatory requirements for involving such organizations in computer incidents. |
|
19 |
| hipaa |
1509.11a2Organizational.236-11.a |
hipaa-1509.11a2Organizational.236-11.a |
1509.11a2Organizational.236-11.a |
15 Incident Management |
1509.11a2Organizational.236-11.a 11.01 Reporting Information Security Incidents and Weaknesses |
Shared |
n/a |
The incident management program formally defines information security incidents and the phases of incident response; roles and responsibilities; incident handling, reporting and communication processes; third-party relationships and the handling of third-party breaches; and the supporting forensics program. The organization formally assigns job titles and duties for handling computer and network security incidents to specific individuals and identifies management personnel who will support the incident handling process by acting in key decision-making roles. |
|
17 |
| hipaa |
1510.11a2Organizational.47-11.a |
hipaa-1510.11a2Organizational.47-11.a |
1510.11a2Organizational.47-11.a |
15 Incident Management |
1510.11a2Organizational.47-11.a 11.01 Reporting Information Security Incidents and Weaknesses |
Shared |
n/a |
Reports and communications are made without unreasonable delay and no later than 60 days after the discovery of an incident, unless otherwise stated by law enforcement orally or in writing, and include the necessary elements. |
|
11 |
| hipaa |
1511.11a2Organizational.5-11.a |
hipaa-1511.11a2Organizational.5-11.a |
1511.11a2Organizational.5-11.a |
15 Incident Management |
1511.11a2Organizational.5-11.a 11.01 Reporting Information Security Incidents and Weaknesses |
Shared |
n/a |
All employees, contractors and third-party users receive mandatory incident response training to ensure they are aware of their responsibilities to report information security events as quickly as possible, the procedure for reporting information security events, and the point(s) of contact, including the incident response team, and the contact information is published and made readily available. |
|
13 |
| hipaa |
1515.11a3Organizational.3-11.a |
hipaa-1515.11a3Organizational.3-11.a |
1515.11a3Organizational.3-11.a |
15 Incident Management |
1515.11a3Organizational.3-11.a 11.01 Reporting Information Security Incidents and Weaknesses |
Shared |
n/a |
Incidents (or a sample of incidents) are reviewed to identify necessary improvement to the security controls. |
|
11 |
| hipaa |
1516.11c1Organizational.12-11.c |
hipaa-1516.11c1Organizational.12-11.c |
1516.11c1Organizational.12-11.c |
15 Incident Management |
1516.11c1Organizational.12-11.c 11.02 Management of Information Security Incidents and Improvements |
Shared |
n/a |
The security incident response program accounts for and prepares the organization for a variety of incidents. |
|
10 |
| hipaa |
1517.11c1Organizational.3-11.c |
hipaa-1517.11c1Organizational.3-11.c |
1517.11c1Organizational.3-11.c |
15 Incident Management |
1517.11c1Organizational.3-11.c 11.02 Management of Information Security Incidents and Improvements |
Shared |
n/a |
There is a point of contact who is responsible for coordinating incident responses and has the authority to direct actions required in all phases of the incident response process. |
|
6 |
| hipaa |
1520.11c2Organizational.4-11.c |
hipaa-1520.11c2Organizational.4-11.c |
1520.11c2Organizational.4-11.c |
15 Incident Management |
1520.11c2Organizational.4-11.c 11.02 Management of Information Security Incidents and Improvements |
Shared |
n/a |
The incident response plan is communicated to the appropriate individuals throughout the organization. |
|
8 |
| hipaa |
1521.11c2Organizational.56-11.c |
hipaa-1521.11c2Organizational.56-11.c |
1521.11c2Organizational.56-11.c |
15 Incident Management |
1521.11c2Organizational.56-11.c 11.02 Management of Information Security Incidents and Improvements |
Shared |
n/a |
Testing exercises are planned, coordinated, executed, and documented periodically, at least annually, using reviews, analyses, and simulations to determine incident response effectiveness. Testing includes personnel associated with the incident handling team to ensure that they understand current threats and risks, as well as their responsibilities in supporting the incident handling team. |
|
16 |
| hipaa |
1560.11d1Organizational.1-11.d |
hipaa-1560.11d1Organizational.1-11.d |
1560.11d1Organizational.1-11.d |
15 Incident Management |
1560.11d1Organizational.1-11.d 11.02 Management of Information Security Incidents and Improvements |
Shared |
n/a |
The information gained from the evaluation of information security incidents is used to identify recurring or high-impact incidents, and update the incident response and recovery strategy. |
|
8 |
| hipaa |
1563.11d2Organizational.3-11.d |
hipaa-1563.11d2Organizational.3-11.d |
1563.11d2Organizational.3-11.d |
15 Incident Management |
1563.11d2Organizational.3-11.d 11.02 Management of Information Security Incidents and Improvements |
Shared |
n/a |
The organization incorporates lessons learned from ongoing incident handling activities and industry developments into incident response procedures, training and testing exercises, and implements the resulting changes accordingly. |
|
4 |
| hipaa |
1587.11c2Organizational.10-11.c |
hipaa-1587.11c2Organizational.10-11.c |
1587.11c2Organizational.10-11.c |
15 Incident Management |
1587.11c2Organizational.10-11.c 11.02 Management of Information Security Incidents and Improvements |
Shared |
n/a |
The incident management plan is reviewed and updated annually. |
|
9 |
| ISO27001-2013 |
A.16.1.1 |
ISO27001-2013_A.16.1.1 |
ISO 27001:2013 A.16.1.1 |
Information Security Incident Management |
Responsibilities and procedures |
Shared |
n/a |
Management responsibilities and procedures shall be established to ensure a quick, effective and orderly response to information security incidents. |
link |
7 |
| ISO27001-2013 |
A.16.1.4 |
ISO27001-2013_A.16.1.4 |
ISO 27001:2013 A.16.1.4 |
Information Security Incident Management |
Assessment of and decision on information security events |
Shared |
n/a |
Information security events shall be assessed and it shall be decided if they are to be classified as information security incidents. |
link |
23 |
| ISO27001-2013 |
A.16.1.5 |
ISO27001-2013_A.16.1.5 |
ISO 27001:2013 A.16.1.5 |
Information Security Incident Management |
Response to information security incidents |
Shared |
n/a |
Information security incidents shall be responded to in accordance with the documented procedures. |
link |
12 |
| ISO27001-2013 |
A.16.1.6 |
ISO27001-2013_A.16.1.6 |
ISO 27001:2013 A.16.1.6 |
Information Security Incident Management |
Learning from information security incidents |
Shared |
n/a |
Knowledge gained from analyzing and resolving information security incidents shall be used to reduce the likelihood or impact of future incidents. |
link |
13 |
| NIST_SP_800-53_R4 |
IR-4 |
NIST_SP_800-53_R4_IR-4 |
NIST SP 800-53 Rev. 4 IR-4 |
Incident Response |
Incident Handling |
Shared |
n/a |
The organization:
a. Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
b. Coordinates incident handling activities with contingency planning activities; and
c. Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly.
Supplemental Guidance: Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function). Related controls: AU-6, CM-6, CP-2, CP-4, IR-2, IR-3, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
References: Executive Order 13587; NIST Special Publication 800-61. |
link |
24 |
| NIST_SP_800-53_R4 |
IR-8 |
NIST_SP_800-53_R4_IR-8 |
NIST SP 800-53 Rev. 4 IR-8 |
Incident Response |
Incident Response Plan |
Shared |
n/a |
The organization:
a. Develops an incident response plan that:
1. Provides the organization with a roadmap for implementing its incident response capability;
2. Describes the structure and organization of the incident response capability;
3. Provides a high-level approach for how the incident response capability fits into the overall organization;
4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
5. Defines reportable incidents;
6. Provides metrics for measuring the incident response capability within the organization;
7. Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
8. Is reviewed and approved by [Assignment: organization-defined personnel or roles];
b. Distributes copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
c. Reviews the incident response plan [Assignment: organization-defined frequency];
d. Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;
e. Communicates incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and
f. Protects the incident response plan from unauthorized disclosure and modification.
Supplemental Guidance: It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems. Related controls: MP-2, MP-4, MP-5.
Control Enhancements: None.
References: NIST Special Publication 800-61. |
link |
6 |
| NIST_SP_800-53_R5 |
IR-4 |
NIST_SP_800-53_R5_IR-4 |
NIST SP 800-53 Rev. 5 IR-4 |
Incident Response |
Incident Handling |
Shared |
n/a |
a. Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;
b. Coordinate incident handling activities with contingency planning activities;
c. Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and
d. Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization. |
link |
24 |
| NIST_SP_800-53_R5 |
IR-8 |
NIST_SP_800-53_R5_IR-8 |
NIST SP 800-53 Rev. 5 IR-8 |
Incident Response |
Incident Response Plan |
Shared |
n/a |
a. Develop an incident response plan that:
1. Provides the organization with a roadmap for implementing its incident response capability;
2. Describes the structure and organization of the incident response capability;
3. Provides a high-level approach for how the incident response capability fits into the overall organization;
4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
5. Defines reportable incidents;
6. Provides metrics for measuring the incident response capability within the organization;
7. Defines the resources and management support needed to effectively maintain and mature an incident response capability;
8. Addresses the sharing of incident information;
9. Is reviewed and approved by [Assignment: organization-defined personnel or roles] [Assignment: organization-defined frequency]; and
10. Explicitly designates responsibility for incident response to [Assignment: organization-defined entities, personnel, or roles].
b. Distribute copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
c. Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;
d. Communicate incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and
e. Protect the incident response plan from unauthorized disclosure and modification. |
link |
6 |
| PCI_DSS_v4.0 |
12.10.2 |
PCI_DSS_v4.0_12.10.2 |
PCI DSS v4.0 12.10.2 |
Requirement 12: Support Information Security with Organizational Policies and Programs |
Suspected and confirmed security incidents that could impact the CDE are responded to immediately |
Shared |
n/a |
At least once every 12 months, the security incident response plan is:
• Reviewed and the content is updated as needed.
• Tested, including all elements listed in Requirement 12.10.1. |
link |
6 |
| PCI_DSS_v4.0 |
12.10.6 |
PCI_DSS_v4.0_12.10.6 |
PCI DSS v4.0 12.10.6 |
Requirement 12: Support Information Security with Organizational Policies and Programs |
Suspected and confirmed security incidents that could impact the CDE are responded to immediately |
Shared |
n/a |
The security incident response plan is modified and evolved according to lessons learned and to incorporate industry developments. |
link |
2 |
| SOC_2 |
CC7.4 |
SOC_2_CC7.4 |
SOC 2 Type 2 CC7.4 |
System Operations |
Security incidents response |
Shared |
The customer is responsible for implementing this recommendation. |
Assigns Roles and Responsibilities — Roles and responsibilities for the design, implementation, maintenance, and execution of the incident response program are assigned, including the use of external resources when necessary.
• Contains Security Incidents — Procedures are in place to contain security incidents
that actively threaten entity objectives.
• Mitigates Ongoing Security Incidents — Procedures are in place to mitigate the effects of ongoing security incidents.
• Ends Threats Posed by Security Incidents — Procedures are in place to end the
threats posed by security incidents through closure of the vulnerability, removal of
unauthorized access, and other remediation actions.
• Restores Operations — Procedures are in place to restore data and business operations to an interim state that permits the achievement of entity objectives.
• Develops and Implements Communication Protocols for Security Incidents — Protocols for communicating security incidents and actions taken to affected parties
are developed and implemented to meet the entity's objectives.
• Obtains Understanding of Nature of Incident and Determines Containment Strategy
— An understanding of the nature (for example, the method by which the incident
occurred and the affected system resources) and severity of the security incident is
obtained to determine the appropriate containment strategy, including (1) a determination of the appropriate response time frame, and (2) the determination and execution of the containment approach.
• Remediates Identified Vulnerabilities — Identified vulnerabilities are remediated
through the development and execution of remediation activities.
• Communicates Remediation Activities — Remediation activities are documented
and communicated in accordance with the incident-response program.
• Evaluates the Effectiveness of Incident Response — The design of incident-response
activities is evaluated for effectiveness on a periodic basis.
• Periodically Evaluates Incidents — Periodically, management reviews incidents related to security, availability, processing integrity, confidentiality, and privacy and
identifies the need for system changes based on incident patterns and root causes
Communicates Unauthorized Use and Disclosure — Events that resulted in unauthorized use or disclosure of personal information are communicated to the data
subjects, legal and regulatory authorities, and others as required.
• Application of Sanctions — The conduct of individuals and organizations operating
under the authority of the entity and involved in the unauthorized use or disclosure
of personal information is evaluated and, if appropriate, sanctioned in accordance with entity policies and legal and regulatory requirements |
|
17 |
| SOC_2 |
CC7.5 |
SOC_2_CC7.5 |
SOC 2 Type 2 CC7.5 |
System Operations |
Recovery from identified security incidents |
Shared |
The customer is responsible for implementing this recommendation. |
• Restores the Affected Environment — The activities restore the affected environment
to functional operation by rebuilding systems, updating software, installing patches,
and changing configurations, as needed.
• Communicates Information About the Event — Communications about the nature of
the incident, recovery actions taken, and activities required for the prevention of future security events are made to management and others as appropriate (internal
and external).
• Determines Root Cause of the Event — The root cause of the event is determined.
• Implements Changes to Prevent and Detect Recurrences — Additional architecture
or changes to preventive and detective controls, or both, are implemented to prevent
and detect recurrences on a timely basis.
• Improves Response and Recovery Procedures — Lessons learned are analyzed and
the incident-response plan and recovery procedures are improved.
• Implements Incident-Recovery Plan Testing — Incident-recovery plan testing is performed on a periodic basis. The testing includes (1) development of testing scenarios based on threat likelihood and magnitude; (2) consideration of relevant system
components from across the entity that can impair availability; (3) scenarios that
consider the potential for the lack of availability of key personnel; and (4) revision
of continuity plans and systems based on test results |
|
19 |
| SWIFT_CSCF_v2022 |
11.2 |
SWIFT_CSCF_v2022_11.2 |
SWIFT CSCF v2022 11.2 |
11. Monitor in case of Major Disaster |
Ensure a consistent and effective approach for the management of incidents (Problem Management). |
Shared |
n/a |
Ensure a consistent and effective approach for the management of incidents (Problem Management). |
link |
20 |