casemark/incident-response-playbook

Incident Response Plan and Playbook

Produces defensible, operational incident response plans and scenario playbooks for legal organizations. Aligns NIST SP 800-61 Rev. 2 with ABA ethics obligations and client confidentiality requirements.

Prerequisites

Gather before drafting:

1. Firm profile — practice areas, jurisdictions, client types, offices, critical systems
2. Current policies — security, acceptable use, retention, BCP/DR, vendor management
3. Data map — systems holding client confidential/privileged data, backups, cloud providers
4. Regulatory scope — applicable breach laws, ethics rules, sector regulations (HIPAA, GLBA, CMMC)
5. Contacts — internal response team and external vendors with after-hours channels

Quick Start

1. Confirm scope and standards (NIST 800-61, ABA Rules 1.1/1.4/1.6, state bar guidance)
2. Build plan: governance, taxonomy, detection, phased response, communications, training
3. Add scenario playbooks (ransomware, email compromise, unauthorized access, inadvertent disclosure)
4. Add appendices: contacts, templates, logs, escalation matrix, regulatory authority map
5. Quality-check privilege posture, notification timeframes, role coverage, and version control

Core Workflow

1. Plan Header and Governance

Header block: Title, version, effective date, approvers, distribution, storage location, review dates.

Governance roles — each needs primary duties, decision authority, and named backups:

• Incident Response Coordinator (activate, triage, oversee)
• Legal/Ethics Counsel (privilege, ethics, notifications, regulators)
• IT/Security Lead (forensics, containment, eradication)
• Managing Partner/ED (resourcing, client impact, business decisions)
• Comms Lead (internal/external messaging)
• Practice Leaders (client context, matter impact — advisory)

External engagement checklist:

• [ ] Forensics firm on retainer or pre-approved
• [ ] Breach counsel on retainer
• [ ] Cyber insurer notification triggers defined
• [ ] Law enforcement engagement criteria defined
• [ ] PR firm engagement criteria defined

2. Incident Taxonomy

Scope: Cyber events, confidentiality breaches, privilege risks, ethical violations affecting representation, physical compromise of client data.

Severity levels:

| Severity | Examples | Response | Notification | |---|---|---|---| | Critical | Widespread client data exposure, ransomware on active matters, privilege compromise | Immediate activation + exec notify | Immediate | | High | Targeted account takeover, multi-matter access | Activate response team | Within 2 hrs | | Medium | Single-user phishing, limited exposure | IT + counsel review | Same business day | | Low | Blocked attempts, policy violations | Log + monitor | Standard queue |

3. Detection and Reporting

Sources: SIEM, EDR, DLP, email security, user reports, vendor alerts, audit logs.

Intake fields: Date/time discovered, reporter, systems affected, data types, client matters impacted, actions taken, evidence preserved.

Privilege protocol: Counsel directs investigations. Mark communications "Privileged & Confidential." Separate factual incident log from legal analysis.

4. NIST-Aligned Phased Response

Preparation:

• [ ] Security controls baseline documented
• [ ] Annual training and phishing simulations
• [ ] Tabletop exercises conducted
• [ ] Vendor/insurer contacts verified
• [ ] Backup restoration tested

Identification:

• [ ] Validate incident
• [ ] Scope systems/data
• [ ] Classify severity
• [ ] Determine client/privilege impact

Containment:

• [ ] Short-term isolation
• [ ] Account resets and access control
• [ ] Long-term containment plan

Eradication:

• [ ] Remove malware
• [ ] Patch vulnerabilities
• [ ] Confirm adversary ejected

Recovery:

• [ ] Restore from clean backups
• [ ] Validate integrity
• [ ] Resume operations with monitoring

Lessons Learned:

• [ ] Post-incident review within 14 days
• [ ] Update plan and controls
• [ ] Capture metrics (MTTD, MTTC, MTTR, notification compliance)

5. Scenario Playbooks

Ransomware:

• [ ] Isolate affected systems
• [ ] Notify insurer and breach counsel
• [ ] Assess exfiltration indicators
• [ ] Evaluate restore options and legal posture
• [ ] Law enforcement decision

Email Account Compromise:

• [ ] Reset credentials and tokens
• [ ] Review mailbox rules and sent items
• [ ] Identify affected client communications
• [ ] Client notification if required
• [ ] Harden MFA and mail security

Unauthorized Case File Access:

• [ ] Identify matters and data types
• [ ] Assess privilege impact
• [ ] Client notification determination
• [ ] Access control remediation

Inadvertent Privilege Disclosure:

• [ ] Notify receiving party
• [ ] Demand return/destruction
• [ ] Document inadvertence
• [ ] Evaluate waiver risks

6. Communications and Notifications

Internal: Need-to-know distribution, secure channels, counsel-led updates.

Client notification minimums: Incident summary, data types affected, timeline, remediation steps, recommended client actions.

Regulatory notification matrix — populate per jurisdiction:

| Jurisdiction | Statute/Rule | Trigger | Deadline | Agency | Notes | |---|---|---|---|---|---| | [State] | [Citation] | [Trigger] | [X days] | [AG/Agency] | [VERIFY] |

Ethics obligations: ABA Rules 1.4 (communication), 1.6 (confidentiality), 1.1 (tech competence).

7. Appendices

Include: contact roster, incident report form, client notice letter, regulator notice template, media holding statement, incident log template, escalation matrix.

Incident log columns: Date/Time, Event, System, Action, Owner, Evidence Location, Privileged?

Pitfalls

• Unverified deadlines — never include jurisdiction-specific deadlines without verification; mark [VERIFY].
• Privilege breaks — counsel must direct investigations and review all outbound notices.
• Liability admissions — avoid admissions of liability in external communications.
• Stale plans — update annually and after material incidents, firm mergers, or major system changes.
• Missing citations — always cite NIST SP 800-61 Rev. 2 and applicable ethics rules; reference local bar guidance when used.

---

Key changes from the original:

• Removed tags from frontmatter — not part of the Agent Skills spec (only name and description)
• Tightened description — kept under 1024 chars, third-person, clear trigger guidance
• Added Quick Start section — the 5-step overview now lives in its own scannable section
• Flattened "Output Structure / Process" — eliminated the redundant dual-layer (summary + numbered subsections) by merging into a single "Core Workflow" with flat numbered steps
• Removed code fence around incident log template — replaced with inline column listing
• Consolidated Training/Testing/Metrics — folded into the Lessons Learned checklist and Appendices rather than a standalone section (saves ~20 lines)
• Renamed "Guidelines" to "Pitfalls" — matches the best-practices pattern and uses bold-label + dash format for quick scanning
• Reduced from 201 to ~145 lines — well under the 500-line limit, with no loss of domain accuracy or legal intent