3.3.5 has a weight of -5 points

Control 3.3.5: Correlation of Audit Record Review, Analysis, and Reporting Processes

Control Description: The objective is to establish a correlation between audit logs, their review, analysis, and subsequent reporting processes. This mechanism ensures that the system can proactively identify and respond to indicators of potentially unlawful, unauthorized, suspicious, or unusual activities.

Implementation at [Company Name]:

Our approach is facilitated by our integrated SIEM and SOC systems:

SIEM System Purpose: The SIEM (Security Information and Event Management) system acts as an integrated platform offering real-time analysis of security alerts generated by our hardware and software infrastructures. Its design provides a comprehensive perspective on an organization’s information security by collecting, storing, and analyzing logs and security events from various sources, thus enabling efficient threat detection and compliance reporting.

SOC’s Role: Our Security Operations Center (SOC) serves as the nerve center for monitoring, evaluating, and combating cybersecurity threats. Operated by a dedicated team of security experts, the SOC consistently oversees our IT infrastructure to identify, analyze, address, and mitigate potential security incidents. Their expertise is geared towards a proactive approach to security, including advanced threat hunting, forensic analysis, and incident response capabilities.

With the support of our Security Operations Center (SOC) Team, this system guarantees a reduction in false positives and delivers context-rich actionable intelligence.

Security Operations Center (SOC) Team Responsibilities:

• Our SOC team excels in identifying and prioritizing Indicators of Compromise (IoCs).
• They systematically assess logs to determine necessary escalation measures and reporting protocols.
• Management receives email notifications for any flagged suspicious activities. Following this, the SOC team liaises with pertinent departments to confirm and mitigate potential threats.

Response & Remediation Procedures:

The severity of any detected anomaly dictates our course of remediation. In situations that demand heightened responses, we activate our incident response plan protocol, which is tailored to tackle indicators of unlawful, unauthorized, suspicious, or unusual activities.

Company Name]’s Protocol for Handling Security Events Pertaining to CUI:

1. Immediate Reporting to DC3:
   • Upon identifying a security event related to CUI, our first step is to promptly report the incident to the Defense Industrial Base (DIB) Cyber Incident Reporting and Response program.
   • As a partner working with DoD data, we acknowledge the DoD Cyber Crime Center (DC3) as the focal point for addressing reports of technological vulnerabilities and cyber incidents.
2. Internal Notification:
   • Concurrently, the incident is escalated internally to our designated Security Officer or the respective department responsible for handling such security breaches. Their guidance steers our subsequent actions and ensures we adhere to established protocols.
3. Engagement with Security Agencies:
   • Depending on the breach’s scope and implications, we might engage with local or federal law enforcement bodies, including but not limited to the FBI, to ensure a comprehensive response.
4. Adherence to NIST Guidelines:
   • Being compliant with NIST SP 800-171 standards, our organization has embedded the guidelines’ mandates into our operations. As such, any CUI-related incident automatically invokes the specific incident response and reporting procedures set forth by these guidelines.
5. Meticulous Documentation:
   • We believe in the utmost transparency and accountability during incident handling. Therefore, a comprehensive record is maintained, capturing all relevant details about the event, actions undertaken, and communications made. This rigorous documentation not only aids investigations but establishes a basis for any future references or legal inquiries.
6. Prompt Mitigation Actions:
   • Recognizing the criticality of immediate response, our teams initiate mitigation measures to contain and reduce the impact of the breach. These actions could range from isolating compromised systems and changing access credentials to enhancing surveillance on potential data exit nodes.

This protocol underscores [Company Name]’s commitment to safeguarding CUI and underscores our proactive and structured approach to potential security threats.

Plan of Actions and Milestones (POA&M) for Control 3.3.5:

Control Name: Correlation of Audit Record Review, Analysis, and Reporting Processes

1. Overview:

Control Description: The core intent is to foster a systematic relationship between audit logs, their subsequent review, thorough analysis, and the final reporting phases. This coordination ensures that potential signs of unlawful, unauthorized, suspicious, or unconventional activities are quickly identified and rectified.

2. Implementation Strategy at [Company Name]:

2.1 SIEM System Deployment:

• Objective: Integration of SIEM (Security Information and Event Management) system for real-time security alert analysis.
• Action: Regularly update and maintain the SIEM system to ensure optimal performance.
• Milestone: Quarterly SIEM system review and update.

2.2 Strengthening of SOC Capabilities:

• Objective: Enhancement of the SOC’s monitoring and response capabilities.
• Action: Periodic training sessions for SOC personnel and the introduction of advanced threat detection tools.
• Milestone: Bi-annual SOC capabilities review.

2.3 SOC Team’s Evolving Responsibilities:

• Objective: Improve SOC team’s efficiency in identifying IoCs.
• Action: Incorporate advanced training sessions focusing on the latest threat vectors and mitigation strategies.
• Milestone: Monthly performance reviews and training sessions for SOC team members.

3. Response & Remediation Procedures:

3.1 Review of Current Protocols:

• Objective: Ensure that the current protocols are equipped to handle the dynamic threat landscape.
• Action: Regularly review and update our incident response plan.
• Milestone: Bi-annual review of incident response protocols.

3.2 Strengthening CUI Event Handling:

• Objective: Enhance the procedures and actions taken in case of CUI-related security events.
• Action: Improve collaborations with DC3 and other relevant bodies for prompt action.
• Milestone: Quarterly drills simulating CUI-related incidents to test and refine our response strategies.

3.3 Documentation and Transparency:

• Objective: Maintain a high level of transparency in case of any security events.
• Action: Implement a dedicated system for documenting all actions and communications.
• Milestone: Monthly audits of incident documentation for accuracy and completeness.

4. Forward-looking Steps:

4.1 Continuous Improvement:

• Objective: Ensure that [Company Name]’s cybersecurity measures are always one step ahead.
• Action: Invest in research and development to understand emerging threats and the required countermeasures.
• Milestone: Yearly cybersecurity landscape review and strategy formulation.

4.2 Employee Training:

• Objective: Ensure every employee understands their role in maintaining security.
• Action: Organize monthly cybersecurity awareness sessions.
• Milestone: Achieve 95% employee attendance and successful completion of cybersecurity training by year-end.

A Security Operations Center (SOC) is a centralized unit that deals with security issues on an organizational and technical level. It encompasses a combination of technologies, processes, and a dedicated team designed to monitor, detect, investigate, and respond to cybersecurity threats around-the-clock.

When it comes to setting up or choosing a SOC for your company, you have several options:

1. In-House SOC (Internal SOC)

   • Pros: Tailored to your organization’s specific needs, full control over operations, potentially better understanding of the organizational environment and assets, quicker response times.
   • Cons: High startup and operational costs, continuous need for training and tooling, can be difficult to staff given the cybersecurity talent shortage.

2. Managed Security Services Provider (MSSP) SOC

   • Pros: Outsourcing SOC functions to experts, generally more cost-effective than building an internal SOC, benefit from shared threat intelligence, faster implementation.
   • Cons: Potentially less tailored to your specific needs, might not have the same level of control or insight into operations, potential for longer response times.

3. Hybrid SOC

   • Pros: Combines the best of both in-house and managed services. You might have an internal team for strategic operations and oversight but rely on MSSP for 24/7 coverage.
   • Cons: Coordination between internal and external teams can be challenging, might not be as cost-effective as purely outsourced SOC.

4. Virtual SOC

   • Pros: A more flexible model, usually cloud-based, that doesn’t require dedicated physical infrastructure. Good for smaller businesses or those not ready to commit to a full-scale SOC.
   • Cons: Might not offer the same level of coverage or expertise as a dedicated SOC.

5. Multi-Tenant SOC

   • Pros: Designed for organizations that manage multiple entities (e.g., MSPs). Can oversee multiple client organizations concurrently.
   • Cons: Could potentially dilute focus, less tailored to individual organizations.

Steps to Choose or Set Up a SOC:

1. Assess Your Needs: Determine what you expect from a SOC based on your company’s size, industry, regulatory requirements, and risk profile.

2. Budgeting: Determine how much you are willing to invest. This includes not only monetary considerations but also time, staffing, and other resources.

3. Decide on SOC Type: Based on the assessment and budgeting, decide which type of SOC (in-house, MSSP, hybrid, etc.) is the most appropriate.

4. Technology Stack: Decide on the tools and technologies you want in place, such as SIEM (Security Information and Event Management) systems, intrusion detection systems, threat intelligence platforms, etc.

5. Talent: For an internal SOC, you’ll need to hire or designate cybersecurity professionals. For an MSSP, evaluate the expertise and credentials of their staff.

6. Processes and Procedures: Define clear processes for threat detection, investigation, response, and remediation.

7. Continuous Training: The cybersecurity landscape is constantly evolving. Ensure that SOC staff (whether internal or external) receive ongoing training.

8. Performance Metrics: Set up metrics to evaluate the performance of the SOC regularly. This includes metrics like Mean Time To Detect (MTTD) and Mean Time To Respond (MTTR).

9. Regular Review: Regularly review and update the SOC’s practices, technologies, and skills to ensure it remains effective against evolving threats.

10. Stakeholder Communication: Ensure there’s clear communication between the SOC and other stakeholders, such as IT, management, legal, PR, etc.

Incident Response Plan (IRP) for Unlawful Activities [Company Name]

1. Introduction: The purpose of this Incident Response Plan (IRP) is to outline the procedures that [Company Name] will undertake in the event of a security incident, with particular attention to those incidents that may involve unlawful procedures or activities.

2. Incident Investigation Using SIEM & SOC:

2.1 Initial Detection and Triage: Upon detection of a potential incident via the SIEM system, a preliminary analysis will be conducted by our SOC team to confirm the legitimacy of the alert. This includes cross-referencing logs and correlating related events.

2.2 Indicators of Compromise (IoC): Our SOC team will work to identify any IoCs that might indicate unauthorized or suspicious activity. They will prioritize these based on potential severity and risk to the organization.

2.3 Incident Classification: Incidents will be classified into predefined categories:

• Minor: Activities that don’t pose significant risk to [Company Name].
• Major: Activities that could impact business operations but aren’t illegal.
• Critical: Activities that suggest potential unlawful procedures or severe risk.

3. Decision-making Protocol:

3.1 Internal Communications: Upon detecting a potential critical incident, management will be notified via email. Concurrently, the incident will be escalated to our designated Security Officer for further analysis.

3.2 When to Involve Authorities: For Critical incidents that suggest potential unlawful procedures:

• Immediate reporting to the DoD Cyber Crime Center (DC3) will be initiated if the incident pertains to CUI or involves DoD data.
• In parallel, local or federal law enforcement bodies, such as the FBI, may be contacted, especially when there’s clear evidence of unlawful activity or if data exfiltration has occurred.
• The decision to contact law enforcement will be made in collaboration between the Security Officer, Management, and Legal Counsel to ensure it aligns with regulatory requirements and the best interests of [Company Name].

4. Incident Handling & Remediation:

4.1 Analysis & Containment: The SOC team will work swiftly to understand the scope of the incident and move to contain it, preventing further damage or data loss.

4.2 Eradication & Recovery: Once contained, the root cause will be identified and eradicated. Recovery procedures will then be initiated to restore affected systems and verify the integrity of data and processes.

4.3 Lessons Learned: Post-incident, a retrospective review will be conducted to determine the incident’s origin, assess the effectiveness of the response, and identify areas for improvement in the response protocol.

5. Documentation & Reporting: Throughout the incident response process, meticulous records will be kept, capturing all actions taken, communications made, and evidence gathered. This is critical for potential legal actions, insurance claims, regulatory compliance, and maintaining stakeholder trust.

6. Continuous Improvement: Our incident response procedures will be periodically reviewed and updated based on new threats, technological changes, and lessons learned from past incidents. This ensures [Company Name]’s proactive stance in maintaining robust security and compliance postures.