+Encrypting Data At Rest
---+Encrypting Storage Media
---+Encrypting Offline Storage
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Encrypting Data At Rest
Description
Cryptographic mechanisms exist to prevent the unauthorized disclosure of data at rest.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Cryptographic Protections (CRY) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CRY domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Cryptography management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IT and/or cybersecurity personnel provide an encryption solution (software or hardware) for the storage of sensitive/regulated data.
Level 2 Planned Tracked
Cryptographic Protections (CRY) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CRY domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CRY domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CRY domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Cryptographic management controls-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Cryptographic management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Technology Assets, Applications and/or Services (TAAS) that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
▪ External compliance requirements for cryptography are identified and documented, based on applicable laws, regulations and contractual obligations.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to implement cryptographic mechanisms that are applicability for statutory, regulatory and/or contractual compliance obligations.
Level 3 Well Defined
Cryptographic Protections (CRY) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CRY domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CRY domain capabilities are well-documented and kept current by process owners.
▪ A security engineering team, or similar function, is appropriately staffed and supported to implement and maintain CRY domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of cryptographic protections operations (e.g., PKI management tool).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CRY domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational cryptographic capability exists to prevent unauthorized disclosure of data at rest.
Level 4 Quantitatively Controlled
Cryptographic Protections (CRY) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
1. Übersicht
| Bezeichnung |
Standard |
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Encrypting Storage Media
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Description
Cryptographic mechanisms exist to protect the confidentiality and integrity of sensitive and/or regulated data residing on storage media.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ NIST Cryptographic Module Validation Program (CMVP) (https://csrc.nist.gov)
∙ Microsoft BitLocker (https://microsoft.com)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Cryptographic Protections (CRY) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CRY domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CRY domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CRY domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Cryptographic management controls-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Cryptographic management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Technology Assets, Applications and/or Services (TAAS) that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
Level 3 Well Defined
Cryptographic Protections (CRY) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CRY domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CRY domain capabilities are well-documented and kept current by process owners.
▪ A security engineering team, or similar function, is appropriately staffed and supported to implement and maintain CRY domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of cryptographic protections operations (e.g., PKI management tool).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CRY domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational cryptographic capability exists to protect the confidentiality and integrity of sensitive/regulated data residing on storage media.
Level 4 Quantitatively Controlled
Cryptographic Protections (CRY) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Encrypting Offline Storage
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Description
Mechanisms exist to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Move old files to encrypted offline/archive storage; delete when no longer needed
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Encrypted archive storage (e.g., encrypted external media, cloud archive tier)
∙ Retention schedule
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Encrypted off-line archive process with retention tracking
∙ Cloud archive tiers with encryption (e.g., AWS Glacier, Azure Archive)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Records management with encrypted offline archiving
∙ Archive media encryption and key escrow
∙ Retention-driven disposal
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise archiving platform with encryption and retention management (e.g., Veritas, Microsoft Purview)
∙ Encrypted offline/vaulted media
∙ Defensible disposal workflows
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Cryptographic Protections (CRY) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CRY domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Cryptography management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
SCR-CMM Level 2 criteria definitions are not available for this control:
▪ A reasonable person would conclude a well-defined and standardized process is required.
▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization.
▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts).
Level 3 Well Defined
Cryptographic Protections (CRY) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CRY domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CRY domain capabilities are well-documented and kept current by process owners.
▪ A security engineering team, or similar function, is appropriately staffed and supported to implement and maintain CRY domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of cryptographic protections operations (e.g., PKI management tool).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CRY domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements.
Level 4 Quantitatively Controlled
Cryptographic Protections (CRY) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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1.1 Referenzen
1.2 Identifizierte Anforderungen
1.3 Zugehörige Regulierungen
2. Identifizierte Anforderungen
Anforderungen
| Quelle |
Anforderung |
3. Zugehörige Regulierungen
Regulierungen
| Quelle |
Regulierung |
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EULAW
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Artikel 6 Verschlüsselung und kryptografische Kontrollen
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EULAW
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Artikel 35 Daten-, System- und Netzwerksicherheit
Artikel 35
Daten-, System- und Netzwerksicherheit
Die in Artikel 16 Absatz 1 der Verordnung (EU) 2022/2554 genannten Finanzunternehmen entwickeln und implementieren im Rahmen ihrer Systeme, Protokolle und Tools Schutzvorrichtungen, die die Sicherheit der Netzwerke gegen Eindringen und den Missbrauch von Daten gewährleisten und die Verfügbarkeit, Authentizität, Integrität und Vertraulichkeit der Daten wahren. Insbesondere tragen die Finanzunternehmen unter Berücksichtigung der in Artikel 30 Absatz 1 genannten Klassifizierung für alles Folgende Sorge:
a)
Ermittlung und Umsetzung von Maßnahmen zum Schutz von Daten, die gerade verwendet oder übermittelt werden, sowie von Daten, die gespeichert sind;
b)
Ermittlung und Umsetzung von Sicherheitsmaßnahmen für die Nutzung von Software, Datenträgern, Systemen und Endgeräten, die Daten des Finanzunternehmens übertragen und speichern;
c)
Ermittlung und Umsetzung von Maßnahmen zur Verhinderung und Aufdeckung unbefugter Verbindungen mit dem Netz des Finanzunternehmens und zur Sicherung des Netzverkehrs zwischen den internen Netzwerken des Finanzunternehmens und dem Internet und anderen externen Verbindungen;
d)
Ermittlung und Umsetzung von Maßnahmen zur Gewährleistung der Verfügbarkeit, Authentizität, Integrität und Vertraulichkeit der Daten bei Netzwerkübertragungen;
e)
ein Verfahren zur sicheren Löschung von Daten in den Räumlichkeiten oder von extern gespeicherten Daten, die das Finanzunternehmen nicht mehr erheben oder speichern muss;
f)
ein Verfahren zur sicheren Entsorgung oder Außerbetriebnahme von Datenspeichern in den Räumlichkeiten oder von extern gelagerten Datenspeichern, die vertrauliche Informationen enthalten;
g)
Ermittlung und Umsetzung von Maßnahmen, mit denen sichergestellt wird, dass Telearbeit und die Nutzung privater Endgeräte die Fähigkeit des Finanzunternehmens, seine kritischen Tätigkeiten angemessen, rechtzeitig und sicher auszuführen, nicht beeinträchtigen.
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Verknüpfte Vorgänge
- Secure Controls Framework -
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