Canada: U.S. Department Of Justice Issues Guidance For Cyber Incident Planning And Response

Last Updated: May 12 2015
Article by Bradley J. Freedman

Most Read Contributor in Canada, September 2016

In April 2015, the U.S. Department of Justice ("DOJ") issued guidance to assist organizations to prepare for and respond to cyber incidents. The guidance discusses the important steps that an organization should take before, during and after a cyber incident. The guidance is intended for smaller, less well-resourced organizations, but is useful for larger organizations as well.


Cyber-risk management is an increasingly important challenge for organizations of all sizes and kinds. Cyber-risk is the risk of damage, loss and liability (e.g. financial loss, business disruption loss, loss to stakeholder value, reputational harm and legal noncompliance liability) to an organization resulting from a failure or breach of the organization's information technology systems. Cyber-risk can result from internal sources (e.g. employees, contractors, service providers and suppliers) or external sources (e.g. nation states, terrorists, hacktivists and competitors). Commentators have said that there are only two kinds of organizations – those that have been hacked and know it, and those that have been hacked and don't know it yet.


U.S. Department of Justice Criminal Division, Cybersecurity Unit's Best Practices for Victim Response and Reporting of Cyber Incidents (version 1.0, Apr. 2015) provides helpful guidance for organizations that want to prepare for cyber incidents. Following is a summary.

1. Before a Cyber Incident

An organization should have a well-established, robust, actionable and tested plan for managing and responding to a cyber incident. Following are some key considerations:

  • Identification/Prioritization: The organization should identify its mission critical data, assets and services, so that the organization can prioritize its efforts and plan its cyber-incident response.
  • Risk Management: The organization should implement appropriate cyber-risk management practices.
  • Actionable Response Plan: The organization should have a comprehensive, actionable plan for responding to a cyber incident. The organization's relevant personnel should be familiar with the plan and participate in appropriate training and regular exercises to test and update the plan.
  • Required Technologies and Services: The organization should have in place, or have easy access to, ready-to-deploy technologies and services that will be used to respond to a cyber incident.
  • Lawful Access: The organization should obtain from each user of the organization's computer systems all authorizations required for the organization to lawfully monitor the use of the computer systems (including accessing email and other communications) and respond to a cyber incident.
  • Legal Advice: The organization should obtain legal advice from experienced legal counsel when preparing for cyber incidents, and should ensure that required legal advice will be available promptly when the organization responds to a cyber incident.
  • Policies/Practices: The organization should ensure that its policies, procedures and practices (including those relating to human resources and information technology) are designed to minimize the risk of cyber incidents and align with the organization's cyber incident response plan.
  • Proactive Relationships: The organization should establish relationships with relevant law enforcement agencies, cyber-risk management information sharing associations, cyber investigation/security firms and outside legal counsel.

2. During a Cyber Incident

An organization's cyber incident response plan should provide actionable procedures for handling a cyber incident, continuing regular business operations during and after a cyber incident and working with law enforcement and incident response service providers. A response plan should have the following key steps:

  • Initial Assessment: The organization should make an initial assessment of the nature and scope of the incident, and attempt to determine the cause of the incident.
  • Mitigating Measures: The organization should promptly take steps (both practical and technological) to stop the incident and minimize resulting harm.
  • Data/Information: Throughout the incident response process, the organization should collect, record and preserve all relevant data and information (including creating a forensic image of the affected computer systems) regarding the incident (including an ongoing incident) and the steps taken, and costs incurred, by the organization to respond to the incident, mitigate resulting harm and prevent similar incidents in the future. The data and information should be protected and properly handled (e.g. by designated personnel) so that they are admissible as evidence in legal proceedings.
  • Notifications: The organization should give timely and appropriate notice to internal personnel (e.g. senior management, security coordinators, communications/public affairs personnel and legal counsel), law enforcement agencies, regulators (if notice is required by breach notification laws) and other potential victims (either by direct notice or through law enforcement).

An organization that is a victim of a cyber incident should not do the following:

  • Do Not Use Compromised System: To the extent possible, the organization should not use a computer system that is suspected of being compromised by a cyber incident to communicate about the incident or the organization's response to the incident.
  • Avoid Social Engineering: The organization should avoid becoming the victim of social engineering (e.g. attempts by a perpetrator to deceive a target to take harmful action) by not disclosing incident-specific information to unknown persons.
  • Do Not Hack Back: The organization should not attempt to access, damage or impair another computer system that appears to be involved in the cyber incident. Hacking back is likely illegal and the identified computer system might itself be an innocent victim of a cyber incident.

3. After a Cyber Incident

After a cyber incident appears to be under control, the organization should remain vigilant and continue to monitor its computer systems for anomalous activity; take steps to prevent similar attacks in the future; conduct a post-incident review of the organization's response to the incident; and assess and improve the organization's incident response plan and related preparation activities.


The DOJ guidance is a helpful summary of some basic, best practices for preparing for and responding to a cyber incident. More comprehensive guidance (including helpful questionnaires and checklists) is available from various regulators in the United States and Canada (e.g. the U.S. National Institute of Standards and Technology, the U.S. Securities and Exchange Commission, the U.S. Financial Industry Regulatory Authority, the Investment Industry Regulatory Organization of Canada, Canadian Securities Administrators and the Office of the Superintendent of Financial Institutions of Canada). Organizations of all sizes and kinds would be well served by following best practices to manage cyber-risks and prepare to respond to cyber incidents.

About BLG

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on

Click to Login as an existing user or Register so you can print this article.

In association with
Related Video
Up-coming Events Search
Font Size:
Mondaq on Twitter
Register for Access and our Free Biweekly Alert for
This service is completely free. Access 250,000 archived articles from 100+ countries and get a personalised email twice a week covering developments (and yes, our lawyers like to think you’ve read our Disclaimer).
Email Address
Company Name
Confirm Password
Mondaq Topics -- Select your Interests
 Law Performance
 Law Practice
 Media & IT
 Real Estate
 Wealth Mgt
Asia Pacific
European Union
Latin America
Middle East
United States
Worldwide Updates
Check to state you have read and
agree to our Terms and Conditions

Terms & Conditions and Privacy Statement (the Website) is owned and managed by Mondaq Ltd and as a user you are granted a non-exclusive, revocable license to access the Website under its terms and conditions of use. Your use of the Website constitutes your agreement to the following terms and conditions of use. Mondaq Ltd may terminate your use of the Website if you are in breach of these terms and conditions or if Mondaq Ltd decides to terminate your license of use for whatever reason.

Use of

You may use the Website but are required to register as a user if you wish to read the full text of the content and articles available (the Content). You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these terms & conditions or with the prior written consent of Mondaq Ltd. You may not use electronic or other means to extract details or information about’s content, users or contributors in order to offer them any services or products which compete directly or indirectly with Mondaq Ltd’s services and products.


Mondaq Ltd and/or its respective suppliers make no representations about the suitability of the information contained in the documents and related graphics published on this server for any purpose. All such documents and related graphics are provided "as is" without warranty of any kind. Mondaq Ltd and/or its respective suppliers hereby disclaim all warranties and conditions with regard to this information, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. In no event shall Mondaq Ltd and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use or performance of information available from this server.

The documents and related graphics published on this server could include technical inaccuracies or typographical errors. Changes are periodically added to the information herein. Mondaq Ltd and/or its respective suppliers may make improvements and/or changes in the product(s) and/or the program(s) described herein at any time.


Mondaq Ltd requires you to register and provide information that personally identifies you, including what sort of information you are interested in, for three primary purposes:

  • To allow you to personalize the Mondaq websites you are visiting.
  • To enable features such as password reminder, newsletter alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our information providers who provide information free for your use.

Mondaq (and its affiliate sites) do not sell or provide your details to third parties other than information providers. The reason we provide our information providers with this information is so that they can measure the response their articles are receiving and provide you with information about their products and services.

If you do not want us to provide your name and email address you may opt out by clicking here .

If you do not wish to receive any future announcements of products and services offered by Mondaq by clicking here .

Information Collection and Use

We require site users to register with Mondaq (and its affiliate sites) to view the free information on the site. We also collect information from our users at several different points on the websites: this is so that we can customise the sites according to individual usage, provide 'session-aware' functionality, and ensure that content is acquired and developed appropriately. This gives us an overall picture of our user profiles, which in turn shows to our Editorial Contributors the type of person they are reaching by posting articles on Mondaq (and its affiliate sites) – meaning more free content for registered users.

We are only able to provide the material on the Mondaq (and its affiliate sites) site free to site visitors because we can pass on information about the pages that users are viewing and the personal information users provide to us (e.g. email addresses) to reputable contributing firms such as law firms who author those pages. We do not sell or rent information to anyone else other than the authors of those pages, who may change from time to time. Should you wish us not to disclose your details to any of these parties, please tick the box above or tick the box marked "Opt out of Registration Information Disclosure" on the Your Profile page. We and our author organisations may only contact you via email or other means if you allow us to do so. Users can opt out of contact when they register on the site, or send an email to with “no disclosure” in the subject heading

Mondaq News Alerts

In order to receive Mondaq News Alerts, users have to complete a separate registration form. This is a personalised service where users choose regions and topics of interest and we send it only to those users who have requested it. Users can stop receiving these Alerts by going to the Mondaq News Alerts page and deselecting all interest areas. In the same way users can amend their personal preferences to add or remove subject areas.


A cookie is a small text file written to a user’s hard drive that contains an identifying user number. The cookies do not contain any personal information about users. We use the cookie so users do not have to log in every time they use the service and the cookie will automatically expire if you do not visit the Mondaq website (or its affiliate sites) for 12 months. We also use the cookie to personalise a user's experience of the site (for example to show information specific to a user's region). As the Mondaq sites are fully personalised and cookies are essential to its core technology the site will function unpredictably with browsers that do not support cookies - or where cookies are disabled (in these circumstances we advise you to attempt to locate the information you require elsewhere on the web). However if you are concerned about the presence of a Mondaq cookie on your machine you can also choose to expire the cookie immediately (remove it) by selecting the 'Log Off' menu option as the last thing you do when you use the site.

Some of our business partners may use cookies on our site (for example, advertisers). However, we have no access to or control over these cookies and we are not aware of any at present that do so.

Log Files

We use IP addresses to analyse trends, administer the site, track movement, and gather broad demographic information for aggregate use. IP addresses are not linked to personally identifiable information.


This web site contains links to other sites. Please be aware that Mondaq (or its affiliate sites) are not responsible for the privacy practices of such other sites. We encourage our users to be aware when they leave our site and to read the privacy statements of these third party sites. This privacy statement applies solely to information collected by this Web site.

Surveys & Contests

From time-to-time our site requests information from users via surveys or contests. Participation in these surveys or contests is completely voluntary and the user therefore has a choice whether or not to disclose any information requested. Information requested may include contact information (such as name and delivery address), and demographic information (such as postcode, age level). Contact information will be used to notify the winners and award prizes. Survey information will be used for purposes of monitoring or improving the functionality of the site.


If a user elects to use our referral service for informing a friend about our site, we ask them for the friend’s name and email address. Mondaq stores this information and may contact the friend to invite them to register with Mondaq, but they will not be contacted more than once. The friend may contact Mondaq to request the removal of this information from our database.


This website takes every reasonable precaution to protect our users’ information. When users submit sensitive information via the website, your information is protected using firewalls and other security technology. If you have any questions about the security at our website, you can send an email to

Correcting/Updating Personal Information

If a user’s personally identifiable information changes (such as postcode), or if a user no longer desires our service, we will endeavour to provide a way to correct, update or remove that user’s personal data provided to us. This can usually be done at the “Your Profile” page or by sending an email to

Notification of Changes

If we decide to change our Terms & Conditions or Privacy Policy, we will post those changes on our site so our users are always aware of what information we collect, how we use it, and under what circumstances, if any, we disclose it. If at any point we decide to use personally identifiable information in a manner different from that stated at the time it was collected, we will notify users by way of an email. Users will have a choice as to whether or not we use their information in this different manner. We will use information in accordance with the privacy policy under which the information was collected.

How to contact Mondaq

You can contact us with comments or queries at

If for some reason you believe Mondaq Ltd. has not adhered to these principles, please notify us by e-mail at and we will use commercially reasonable efforts to determine and correct the problem promptly.