NIST Incident Response Risk Controls (ir)

Policy and Procedures (ir-1)

Develop, document, and disseminate to organization-defined personnel or roles:

one or more,Organization-level,Mission/business process-level,System-level incident response policy that:

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;

Designate an organization-defined official to manage the development, documentation, and dissemination of the incident response policy and procedures; and

Review and update the current incident response:

Policy organization-defined frequency and following organization-defined events; and

Procedures organization-defined frequency and following organization-defined events.

Incident response policy and procedures address the controls in the IR family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of incident response policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to incident response policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

Incident Response Training (ir-2)

Provide incident response training to system users consistent with assigned roles and responsibilities:

Within organization-defined time period of assuming an incident response role or responsibility or acquiring system access;

When required by system changes; and

organization-defined frequency thereafter; and

Review and update incident response training content organization-defined frequency and following organization-defined events.

Incident response training is associated with the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail are included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of #at-2(#at-2) or #at-3(#at-3). Events that may precipitate an update to incident response training content include, but are not limited to, incident response plan testing or response to an actual incident (lessons learned), assessment or audit findings, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

Breach (ir-2.3)

Incident Response Testing (ir-3)

Test the effectiveness of the incident response capability for the system organization-defined frequency using the following tests: organization-defined tests.

Organizations test incident response capabilities to determine their effectiveness and identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations and assets and individuals due to incident response. The use of qualitative and quantitative data aids in determining the effectiveness of incident response processes.

Incident Handling (ir-4)

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;

Coordinate incident handling activities with contingency planning activities;

Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and

Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization.

Organizations recognize that incident response capabilities are dependent on the capabilities of organizational systems and the mission and business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission and business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. An effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive [function], operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in unauthorized disclosure, the loss of control, unauthorized acquisition, compromise, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes.

Incident Monitoring (ir-5)

Track and document incidents.

Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics as well as evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring, incident reports, incident response teams, user complaints, supply chain partners, audit monitoring, physical access monitoring, and user and administrator reports. #ir-4(#ir-4) provides information on the types of incidents that are appropriate for monitoring.

Incident Reporting (ir-6)

Require personnel to report suspected incidents to the organizational incident response capability within organization-defined time period; and

Report incident information to organization-defined authorities.

The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Incident information can inform risk assessments, control effectiveness assessments, security requirements for acquisitions, and selection criteria for technology products.

Incident Response Assistance (ir-7)

Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents.

Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required.

Incident Response Plan (ir-8)

Develop an incident response plan that:

Provides the organization with a roadmap for implementing its incident response capability;

Describes the structure and organization of the incident response capability;

Provides a high-level approach for how the incident response capability fits into the overall organization;

Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;

Defines reportable incidents;

Provides metrics for measuring the incident response capability within the organization;

Defines the resources and management support needed to effectively maintain and mature an incident response capability;

Addresses the sharing of incident information;

Is reviewed and approved by organization-defined personnel or roles organization-defined frequency; and

Explicitly designates responsibility for incident response to organization-defined entities, personnel, or roles.

Distribute copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;

Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;

Communicate incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and

Protect the incident response plan from unauthorized disclosure and modification.

It is important that organizations develop and implement a coordinated approach to incident response. Organizational mission and business functions determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information (i.e., breaches), include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly.

Breaches (ir-8.1)

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