Banking and Finance Sector-Specific Plan
[Pages:116]Banking and Finance
Critical Infrastructure and Key Resources Sector-Specific Plan as input to the National Infrastructure Protection Plan
May 2007
Banking and Finance Government Coordinating Council Letter of Support
ii
Banking and Finance Sector-Specific Plan
Table of Contents
Executive Summary
1
1. Sector Profile and Goals
1
2. Identify Assets, Systems, Networks, and Functions
2
3. Assess Risks
3
4. Prioritize Infrastructure
3
5. Develop and Implement Protective Programs
3
6. Measure Progress
3
7. CI/KR Protection Research & Development (R&D)
4
8. Managing and Coordinating SSA Responsibilities
4
Introduction
5
1. Sector Profile and Goals
7
1.1 Sector Profile
8
1.1.1 Deposit, Consumer Credit, and Payment Systems Products
9
1.1.2 Credit and Liquidity Products
9
1.1.3 Investment Products
9
1.1.4 Risk-Transfer Products (Including Insurance)
10
1.1.5 Federal and Self-Regulation of Financial Services Firms
10
1.1.6 State Regulation of Financial Services Firms
10
1.2 Security Partners
11
1.2.1 Relationships with Federal and State Regulators and Related Associations
11
1.2.2 Relationships with Private Sector Owner/Operators and Organizations
14
1.3 Sector Security Goals
19
1.4 Value Proposition
20
2. Identify Assets, Systems, Networks, and Functions
21
2.1 Defining Information Parameters
22
2.2 Collecting Infrastructure Information
23
2.2.1 Deposit and Payment System Products
23
2.2.2 Credit and Liquidity Products
24
2.2.3 Investment Products
24
2.2.4 Risk-Transfer Products
24
Table of Contents
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2.2.5 Collecting Asset Data 2.3 Verifying Infrastructure Information 2.4 Updating Infrastructure Information
3. Assess Risks 3.1 Use of Risk Assessment in the Sector 3.2 Screening Infrastructure 3.3 Assessing Consequences 3.4 Assessing Vulnerabilities 3.5 Assessing Threats
4. Prioritize Infrastructure 5. Develop and Implement Protective Programs
5.1 Overview of Sector Protective Programs 5.2 Determining Protective Program Needs 5.3 Protective Program Implementation Going Forward 5.4 Protective Program Performance 6. Measure Progress 6.1 CI/KR Performance Measurement 6.1.1 Developing Sector-Specific Metrics 6.1.2 Information Collection and Verification 6.1.3 Reporting 6.2 Implementation Actions 6.3 Challenges and Continuous Improvement 7. CI/KR Protection R&D 7.1 Overview of Sector R&D 7.2 Sector R&D Requirements 7.3 Sector R&D Plan 7.4 R&D Management Processes 8. Manage and Coordinate SSA Responsibilities 8.1 Program Management Approach 8.2 Process and Responsibilities 8.2.1 SSP Maintenance and Update 8.2.2 Annual Reporting 8.2.3 Training and Education 8.3 Implementing the Sector Partnership Model 8.4 Information Sharing and Protection
iv
25 25 25 27 28 29 29 29 30 31 33 33 34 34 36 38 41 41 42 43 43 44 46 47 47 47 48 48 51 51 51 51 51 51 52 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
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Figure 1-4. Locations of Regional Partnerships
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Figure 1-5. Vision Statement for the Banking and Finance Sector
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Figure 2-1. Vulnerability Assessment Methodology
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Figure 3-1. Vulnerability Assessment Methodology
28
Figure 3-2. Dependent Relationships
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Figure 4-1. Vulnerability Assessment Methodology
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Figure 5-1. Vulnerability Assessment Methodology
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Figure 6-1. Vulnerability Assessment Methodology
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Figure 8-1. Information Flow
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List of Tables
Table 6-1. Implementation Actions
44
Table A-1. Comparison Matrix: FSSCC R&D Challenges vs. NIPP R&D Themes
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Table of Contents
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