Banking and Finance Sector-Specific Plan - U.S. Department of ...

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iv 2.2.5 Collecting Asset Data 25 2.3 Verifying Infrastructure Information 25 2.4 Updating Infrastructure Information 25 3. Assess Risks 27 3.1 Use of Risk Assessment in the Sector 28 3.2 Screening Infrastructure 29 3.3 Assessing Consequences 29 3.4 Assessing Vulnerabilities 29 3.5 Assessing Threats 30 4. Prioritize Infrastructure 31 5. Develop and Implement Protective Programs 33 5.1 Overview of Sector Protective Programs 33 5.2 Determining Protective Program Needs 34 5.3 Protective Program Implementation 34 Going Forward 36 5.4 Protective Program Performance 38 6. Measure Progress 41 6.1 CI/KR Performance Measurement 41 6.1.1 Developing Sector-Specific Metrics 42 6.1.2 Information Collection and Verification 43 6.1.3 Reporting 43 6.2 Implementation Actions 44 6.3 Challenges and Continuous Improvement 46 7. CI/KR Protection R&D 47 7.1 Overview of Sector R&D 47 7.2 Sector R&D Requirements 47 7.3 Sector R&D Plan 48 7.4 R&D Management Processes 48 8. Manage and Coordinate SSA Responsibilities 51 8.1 Program Management Approach 51 8.2 Process and Responsibilities 51 8.2.1 SSP Maintenance and Update 51 8.2.2 Annual Reporting 51 8.2.3 Training and Education 51 8.3 Implementing the Sector Partnership Model 52 8.4 Information Sharing and Protection 52 Banking and Finance Sector-Specific Plan
Appendix 1: List of Acronyms and Abbreviations 55 Appendix 2: Statutory Authorities 57 Federal Regulators 57 State Regulators 62 Guidance and Key Documents: Federal Regulators 73 Guidance and Key Documents: State Regulators 92 Appendix 3: FSSCC Research and Development Agenda 95 List of Figures Figure E-1. Vision Statement for the Banking and Finance Sector 2 Figure 1-1. FBIIC Members 12 Figure 1-2. FSSCC Members 15 Figure 1-3. Regional Partnerships 18 Figure 1-4. Locations of Regional Partnerships 19 Figure 1-5. Vision Statement for the Banking and Finance Sector 19 Figure 2-1. Vulnerability Assessment Methodology 21 Figure 3-1. Vulnerability Assessment Methodology 28 Figure 3-2. Dependent Relationships 30 Figure 4-1. Vulnerability Assessment Methodology 32 Figure 5-1. Vulnerability Assessment Methodology 33 Figure 6-1. Vulnerability Assessment Methodology 41 Figure 8-1. Information Flow 53 List of Tables Table 6-1. Implementation Actions 44 Table A-1. Comparison Matrix: FSSCC R&D Challenges vs. NIPP R&D Themes 103 Table of Contents v
Page 1: Banking and Finance Critical Infras
Page 4 and 5: ii Banking and Finance Sector-Speci
Page 9 and 10: Executive Summary The Banking and F
Page 11 and 12: 3. Assess Risks Risk assessments ar
Page 13: Introduction According to Homeland
Page 16 and 17: and technological systems. These ex
Page 18 and 19: in various organized markets, from
Page 20 and 21: Figure 1-1: FBIIC Members FBIIC Mem
Page 22 and 23: • The NCUA regulates Federally ch
Page 24 and 25: • Identify voluntary efforts wher
Page 26 and 27: Continuity in the Financial Service
Page 28 and 29: The Banking and Finance Sector has
Page 30 and 31: system. All of the systemically cri
Page 32 and 33: linked to payments occurring in sys
Page 35 and 36: 3. Assess Risks Both the public and
Page 37 and 38: the FBIIC agencies identify financi
Page 39 and 40: 4. Prioritize Infrastructure In the
Page 41 and 42: 5. Develop and Implement Protective
Page 43 and 44: - The Treasury Department acquired
Page 45 and 46: work of the SSA and various public
Page 47: • In 2003, BITS and SIA drafted C
Page 50 and 51: 6.1.1 Developing Sector-Specific Me
Page 52 and 53: updates on the sector metrics in su
Page 54 and 55: 6 Implementation Action Milestone S
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• Understanding and Avoiding of t
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8. Manage and Coordinate SSA Respon
Page 61:
information. This information-shari
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NFA National Futures Association NI
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Federal Deposit Insurance Corporati
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Office of Comptroller of the Curren
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Department of the Treasury U.S. Cod
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State Banking Law/Statute Maryland
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National Association of Insurance C
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Code & Regulations State URL §§ 5
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Code & Regulations State URL §§ 3
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State Statute Nebraska NE ST §§ 8
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Date Title URL 08-05 Information Te
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Date Title URL 08-01 Examination Pr
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Federal Financial Institution Exami
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Date Title URL 03-31 FFIEC Retail P
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Date Title URL 12-05 Interagency Gu
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National Credit Union Administratio
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Date Title URL 09-01 NCUA Letter to
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Date Title URL 05-04 Risk Managemen
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Summary of Regulatory Guidance on E
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Date Title URL 04-03 Interagency Gu
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Appendix 3: FSSCC Research and Deve
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1. Common operating picture archite
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members are very active. One of the
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K Financial information tracing is
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SCC R&D Challenges vs. NIPP R&D The
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