DS10.1:

DS 10.1 Identification and Classification of Problems

Control Objective:

Controls provide reasonable assurance that any problems and/or incidents are properly responded to, recorded, resolved or investigated for proper resolution.

Implement processes to report and classify problems that have been identified as part of incident management. The steps involved in problem classification are similar to the steps in classifying incidents; they are to determine category, impact, urgency and priority. Problems should be categorized as appropriate into related groups or domains (e.g., hardware, software, support software). These groups may match the organizational responsibilities or the user and customer base, and are the basis for allocating problems to support staff.

Rationale — The process of managing problems and incidents addresses how an organization identifies, documents and responds to events that fall outside of normal operations. Deficiencies in this area could significantly impact financial reporting.

Applicability:

Sarbanes-Oxley

HIPAA

GLBA

PCI

FISMA

NIST SP 800-66

Ditscap

Control Exception

User Defined

Risk Association Control Activities:

1. Risk: Security incidents and incompliance with information security procedures may go overlooked and not addressed.

a. SOX.3.1.1: Management should monitor security incidents and the extent of compliance with information security procedures.

2. Risk: Problems and/or incidents are not properly responded to, recorded, resolved or investigated for proper resolution and could significantly impact financial reporting.

a. SOX.2.7.6 IT management has defined and implemented a problem management system such that data integrity and access control issues are recorded, analyzed, resolved in a timely manner and reported to management.

3. Risk: Problems and/or incidents are not properly responded to, recorded, resolved or investigated for proper resolution and could significantly impact financial reporting. .

a. SOX.2.7.7 The problem management system provides for adequate audit trail facilities, which allow tracing from incident to underlying cause.

4. Risk: Problems and/or incidents are not properly responded to, recorded, resolved or investigated for proper resolution and could significantly impact financial reporting. .

a. SOX.2.7.8 A security incident response process exists to support timely response and investigation of unauthorized activities.

Implementation Guide:

Process Narrative
Insert a description of the process narration that is applicable to the existing control statement this narrative refers to.

Process Illustration
Insert a process diagram, flowchart or other visual representation here to illustrate the process narrative.

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Control Commentary
Insert a description of the control that is applicable to the existing control statement this commentary refers to.

Control Exception Commentary
Insert a description of the control exception that is applicable to the existing control statement this commentary refers to.

Evidence Archive Location
Insert Evidence Description Here.

Control Status and Auditors Commentary
Describe the condition of the applicable control and its effectiveness. Set the color icon to a redlock.jpg, yellowlock.jpg or greenlock.jpg.

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Remediation Plan
Insert remediation plan, applicability, or any information that indicates what needs to be done.

Supplemental Information:
ITIL Service Support
ITIL 4. The Service Desk Service Support
ITIL 5. Incident Management Service Support
ITIL 6. Problem Management Service Support
ITIL Incident Management
ITIL 5.3.5 Relationship between incidents, problems and known errors

ISO 6.3 Responding to security incidents and malfunctions
ISO 8.1 Operational procedures and responsibilities

--Mdpeters 11:00, 8 August 2006 (EDT)