incident-response-plan

name	incident-response-plan
language	en
description	Drafts incident response plans and playbooks for legal organizations, adapting NIST SP 800-61 to law firm contexts including privilege preservation, ethics obligations, and state breach notification compliance. Use when creating IR plans, cybersecurity playbooks, breach response policies, or data incident procedures for law firms or legal departments.

Incident Response Plan and Playbook

Drafts legally defensible IR plans for law firms and legal departments covering cybersecurity incidents, data breaches, privilege preservation, and professional responsibility compliance.

Prerequisites

Gather before drafting:

1. Organization profile — firm structure, practice areas, office locations, operating jurisdictions
2. Existing policies — infosec policies, business continuity plans, professional responsibility guidelines
3. Regulatory landscape — state breach notification statutes, sector overlays (HIPAA, GLBA, CMMC)
4. Technology environment — case management systems, DMS, email, backup infrastructure
5. Insurance coverage — cyber insurance policy, carrier contact, claim procedures

Quick Start

1. Map jurisdictions and applicable breach statutes
2. Classify incident types by severity tier
3. Define governance roles and escalation chains
4. Draft phased response procedures (NIST 800-61 adapted)
5. Build scenario-specific playbooks
6. Set communication protocols and notification templates
7. Establish training/testing cadence

Output Sections

1. Jurisdictional Analysis

Map per operating jurisdiction:

• Breach notification statutes — triggers, timeframes (typically 30–90 days), AG notification
• Professional conduct rules — ABA Model Rules 1.1 (tech competence), 1.4 (communication), 1.6 (confidentiality)
• Sector overlays — HIPAA, GLBA, CMMC, SEC as applicable
• Ethics opinions — relevant state bar opinions on cybersecurity duties

2. Incident Taxonomy

Four severity tiers:

Tier	Criteria	Response Time
Critical	Widespread client data compromise; privilege breach; mandatory reporting triggered	Immediate (24/7)
High	Multi-matter exposure; attorney email compromise	≤2 hours
Medium	Isolated access attempts; contained inadvertent disclosure	≤4 hours
Low	Blocked attempts; policy violations without data exposure	Next business day

Legal-specific incident types: inadvertent privilege disclosure, case management unauthorized access, conflicts data exposure, attorney email compromise, DMS ransomware, physical file breach.

3. Governance Structure

Role	Function	Key Authority
IR Coordinator	Activates plan, convenes team	Isolate systems, engage external resources
General Counsel / Ethics Counsel	Legal/ethical analysis, privilege protection	Direct privileged investigation, approve notifications
CISO / IT Director	Technical response, forensics	Evidence preservation, restoration
Managing Partner	Strategic decisions	Expenditures, client relationship decisions
Communications Director	Internal/external messaging	Media responses (with counsel approval)

Include after-hours contact roster and escalation chain for unavailable contacts.

4. Phased Response (NIST 800-61 Adapted)

Phase 1 — Preparation

• Preventive controls inventory
• Annual security awareness training + tabletop exercises
• External expert relationships (forensics, breach counsel, PR)

Phase 2 — Identification

• Validate incident; preliminary scope assessment
• Determine if privileged or client-confidential materials involved
• Assign severity tier; activate response team
• Initiate investigation under counsel direction to preserve privilege

Phase 3 — Containment

• Isolate systems; disable compromised accounts; block malicious IPs
• Enhanced monitoring; emergency patches; migrate to backups if needed

Phase 4 — Eradication

• Remove malware/unauthorized access; close vulnerabilities
• Verify no persistent backdoors

Phase 5 — Recovery

• Restore from verified clean backups
• System integrity testing; gradual return with heightened monitoring

Phase 6 — Lessons Learned (within 14 days)

• Post-incident review; document timeline and findings
• Update IR plan; implement preventive measures

5. Scenario Playbooks

Ransomware on DMS:

1. Isolate systems → notify cyber insurance carrier
2. Assess backup integrity; evaluate exfiltration indicators (double extortion)
3. Determine client notification obligations per jurisdiction
4. Consider law enforcement (FBI IC3); document all decisions under privilege

Attorney Email Compromise:

1. Reset credentials; revoke sessions; review forwarding/mailbox rules
2. Identify accessed client communications; assess privilege implications
3. Notify affected clients per Rule 1.4; implement MFA

Inadvertent Privilege Disclosure:

1. Notify opposing counsel per FRE 502(b) [VERIFY]; request return/destruction
2. Document inadvertence; assess waiver risk under applicable law
3. File clawback motion if necessary

6. Communication Protocols

Audience	Trigger	Timing	Approval
IR Team	Any confirmed incident	Immediate	IR Coordinator
Senior Leadership	High/Critical	Within 1 hour	IR Coordinator
Affected Clients	Client data compromised	Per statute + "prompt" ethics notice	GC + Managing Partner
State AG / Regulators	Statutory threshold met	Per state (30–90 days)	General Counsel
Law Enforcement	Criminal activity; ransomware	Case-by-case	General Counsel
Media	Public exposure/inquiry	Reactive only	GC + Communications

Mark all investigation communications "Privileged & Confidential — Attorney Work Product." Client notifications must satisfy both breach statutes and professional conduct rules.

7. Training and Testing

Activity	Frequency
Security awareness training	Annual (all personnel)
IR team specialized training	Annual
Tabletop exercises	Annual minimum
Phishing simulations	Quarterly
Backup restoration tests	Semi-annual
Plan review and update	Annual + post-incident

Track: time to detect, contain, eradicate, recover; notification compliance rate.

8. Appendices

• Contact roster (internal + external)
• Incident reporting form template
• Client notification letter templates (per jurisdiction)
• Regulatory filing templates
• Escalation matrix by severity
• Evidence preservation checklist
• Breach notification quick-reference table
• Version control and approval log

Pitfalls and Checks

• Privilege preservation — all investigation activities directed by counsel; mark work product accordingly
• Jurisdiction specificity — map each state's breach notification statute; never rely on generic summaries
• Dual obligation — every notification must satisfy both statutory AND ethics requirements
• Cite authority — reference specific statutes, ABA Model Rules, ethics opinions; mark uncertain citations [VERIFY]
• Defensibility — the plan itself evidences reasonable security measures under Rule 1.1 competence duty
• Internal only — this plan governs firm response; separate client advisory communications