+Άρθρο 32 Διαδικασίες αξιολόγησης της συμμόρφωσης για προϊόντα με ψηφιακά στοιχεία
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Άρθρο 32 Διαδικασίες αξιολόγησης της συμμόρφωσης για προϊόντα με ψηφιακά στοιχεία
1. Επισκόπηση
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Κανονισμός |
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Άρθρο 32 1.
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Ο κατασκευαστής διενεργεί αξιολόγηση της συμμόρφωσης του προϊόντος με ψηφιακά στοιχεία και των διαδικασιών που εφαρμόζει ο κατασκευαστής για να διαπιστώσει αν πληρούνται οι ουσιώδεις απαιτήσεις κυβερνοασφάλειας που ορίζονται στο παράρτημα I. Ο κατασκευαστής αποδεικνύει τη συμμόρφωση προς τις ουσιώδεις απαιτήσεις κυβερνοασφάλειας εφαρμόζοντας οποιαδήποτε από τις ακόλουθες διαδικασίες:
α)
τη διαδικασία εσωτερικού ελέγχου (βάσει της ενότητας Α) που ορίζεται στο παράρτημα VIII·
β)
τη διαδικασία εξέτασης τύπου ΕΕ (βάσει της ενότητας Β) που αναφέρεται στο παράρτημα VIII, η οποία ακολουθείται από συμμόρφωση προς τον τύπο ΕΕ με βάση τον εσωτερικό έλεγχο παραγωγής (βάσει της ενότητας Γ) που αναφέρεται στο παράρτημα VIII·
γ)
αξιολόγηση συμμόρφωσης με βάση την πλήρη διασφάλιση ποιότητας (βάσει της ενότητας Η), που ορίζεται στο παράρτημα VIII· ή
δ)
εφόσον είναι διαθέσιμο και εφαρμοστέο, ευρωπαϊκό καθεστώς πιστοποίησης της κυβερνοασφάλειας, σύμφωνα με το άρθρο 27 παράγραφος 9.
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Άρθρο 32 2.
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Όταν, κατά την αξιολόγηση της συμμόρφωσης σημαντικού προϊόντος με ψηφιακά στοιχεία που εμπίπτει στην κλάση Ι που ορίζεται στο παράρτημα III και των διαδικασιών που εφαρμόζει ο κατασκευαστής του προς τις ουσιώδεις απαιτήσεις κυβερνοασφάλειας που ορίζονται στο παράρτημα I, ο κατασκευαστής δεν έχει εφαρμόσει ή έχει εφαρμόσει μόνο εν μέρει εναρμονισμένα πρότυπα, κοινές προδιαγραφές ή ευρωπαϊκά καθεστώτα πιστοποίησης της κυβερνοασφάλειας σε επίπεδο διασφάλισης τουλάχιστον «σημαντικό», όπως αναφέρονται στο άρθρο 27, ή όταν δεν υπάρχουν τα εν λόγω εναρμονισμένα πρότυπα, κοινές προδιαγραφές ή ευρωπαϊκά καθεστώτα πιστοποίησης της κυβερνοασφάλειας, το σχετικό προϊόν με ψηφιακά στοιχεία και οι διαδικασίες που εφαρμόζει ο κατασκευαστής υποβάλλονται, όσον αφορά τις εν λόγω ουσιώδεις απαιτήσεις κυβερνοασφάλειας, σε οποιαδήποτε από τις ακόλουθες διαδικασίες:
α)
τη διαδικασία εξέτασης τύπου ΕΕ (βάσει της ενότητας Β) που ορίζεται στο παράρτημα VIII, η οποία ακολουθείται από συμμόρφωση προς τον τύπο ΕΕ με βάση τον εσωτερικό έλεγχο παραγωγής (βάσει της ενότητας Γ) που ορίζεται στο παράρτημα VIII· ή
β)
αξιολόγηση συμμόρφωσης με βάση την πλήρη διασφάλιση ποιότητας (βάσει της ενότητας Η), που ορίζεται στο παράρτημα VIII.
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Άρθρο 32 3.
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Όταν το προϊόν είναι σημαντικό προϊόν με ψηφιακά στοιχεία που εμπίπτει στην κλάση ΙΙ, όπως ορίζεται στο παράρτημα III, ο κατασκευαστής αποδεικνύει τη συμμόρφωση προς τις ουσιώδεις απαιτήσεις κυβερνοασφάλειας που ορίζονται στο παράρτημα I εφαρμόζοντας οποιαδήποτε από τις ακόλουθες διαδικασίες:
α)
διαδικασία εξέτασης τύπου ΕΕ (βάσει της ενότητας Β) που αναφέρεται στο παράρτημα VIII, η οποία ακολουθείται από συμμόρφωση προς τον τύπο ΕΕ με βάση τον εσωτερικό έλεγχο παραγωγής (βάσει της ενότητας Γ) που ορίζεται στο παράρτημα VIII·
β)
αξιολόγηση συμμόρφωσης με βάση την πλήρη διασφάλιση ποιότητας (βάσει της ενότητας Η), που ορίζεται στο παράρτημα VIII· ή
γ)
εφόσον είναι διαθέσιμο και εφαρμοστέο, ευρωπαϊκό καθεστώς πιστοποίησης της κυβερνοασφάλειας σύμφωνα με το άρθρο 27 παράγραφος 9 του παρόντος κανονισμού σε επίπεδο διασφάλισης τουλάχιστον «σημαντικό» σύμφωνα με τον κανονισμό (ΕΕ) 2019/881.
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Άρθρο 32 4.
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Για τα κρίσιμα προϊόντα με ψηφιακά στοιχεία που απαριθμούνται στο παράρτημα IV, η συμμόρφωση προς τις ουσιώδεις απαιτήσεις κυβερνοασφάλειας που καθορίζονται στο παράρτημα I αποδεικνύεται με την εφαρμογή μίας από τις ακόλουθες διαδικασίες:
α)
ευρωπαϊκού καθεστώτος πιστοποίησης της κυβερνοασφάλειας σύμφωνα με το άρθρο 8 παράγραφος 1· ή
β)
όταν δεν πληρούνται οι προϋποθέσεις του άρθρου 8 παράγραφος 1, οποιασδήποτε από τις διαδικασίες που αναφέρονται στην παράγραφο 3 του παρόντος άρθρου.
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Άρθρο 32 5.
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Οι κατασκευαστές προϊόντων με ψηφιακά στοιχεία που χαρακτηρίζονται ως ελεύθερο λογισμικό ανοικτού κώδικα και τα οποία εμπίπτουν στις κατηγορίες που ορίζονται στο παράρτημα III, είναι σε θέση να αποδείξουν τη συμμόρφωση με τις ουσιώδεις απαιτήσεις κυβερνοασφάλειας που ορίζονται στο παράρτημα I χρησιμοποιώντας μία από τις διαδικασίες που αναφέρονται στην παράγραφο 1 του παρόντος άρθρου, υπό την προϋπόθεση ότι ο τεχνικός φάκελος που αναφέρεται στο άρθρο 31 διατίθεται στο κοινό τη στιγμή που τα εν λόγω προϊόντα τίθενται σε κυκλοφορία στην αγορά.
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Άρθρο 32 6.
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Τα ειδικά συμφέροντα και οι ανάγκες των πολύ μικρών και των μικρών και μεσαίων επιχειρήσεων, συμπεριλαμβανομένων των νεοφυών επιχειρήσεων, λαμβάνονται υπόψη κατά τον καθορισμό των τελών για τις διαδικασίες αξιολόγησης της συμμόρφωσης και τα εν λόγω τέλη μειώνονται κατ’ αναλογία προς τα ειδικά συμφέροντα και τις ανάγκες τους.
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1.1 Παραπομπές
1.2 Εντοπισμένες απαιτήσεις
1.3 Σχετικά πρότυπα
2. Εντοπισμένες απαιτήσεις
3. Σχετικά πρότυπα
Πρότυπα
| Πηγή |
Απαίτηση |
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SCF
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Ability To Demonstrate Conformity
Description
Mechanisms exist to ensure the organization is able to demonstrate security, compliance and/or resilience capability conformity with applicable cybersecurity and data protection laws, regulations and/or contractual obligations.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Document applicable regulatory requirements in a checklist
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Compliance checklist
∙ Annual compliance review
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Compliance management program
∙ Regulatory mapping
∙ Compliance calendar
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)
∙ Compliance team
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)
∙ Dedicated compliance team
∙ Automated compliance monitoring
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
Compliance (CPL) 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 CPL domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CPL 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 CPL domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Compliance management controls-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Compliance management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ External compliance requirements for cybersecurity and data privacy are identified and documented, based on applicable laws, regulations and contractual obligations.
Level 3 Well Defined
Compliance (CPL) 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 CPL 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 CPL domain capabilities are well-documented and kept current by process owners.
▪ A Governance, Risk & Compliance (GRC) team, or similar function, is appropriately staffed and supported to implement and maintain CPL domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of governance, risk management and compliance operations (e.g., GRC platform).
▪ 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 CPL 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 ensure the organization is able to demonstrate security, compliance and/or resilience capability conformity with applicable cybersecurity and data protection laws, regulations and/or contractual obligations.
Level 4 Quantitatively Controlled
Compliance (CPL) 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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SCF
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Conformity Assessment
Description
Mechanisms exist to conduct assessments to demonstrate security, compliance and/or resilience capability conformity with applicable cybersecurity and data protection laws, regulations and/or contractual obligations.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Document applicable regulatory requirements in a checklist
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Compliance checklist
∙ Annual compliance review
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Compliance management program
∙ Regulatory mapping
∙ Compliance calendar
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)
∙ Compliance team
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)
∙ Dedicated compliance team
∙ Automated compliance monitoring
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
Compliance (CPL) 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 CPL domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CPL 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 CPL domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Compliance management controls-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Compliance management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ External compliance requirements for cybersecurity and data privacy 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 assigned cybersecurity and/or data protection controls to comply with specific compliance requirements.
Level 3 Well Defined
Compliance (CPL) 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 CPL 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 CPL domain capabilities are well-documented and kept current by process owners.
▪ A Governance, Risk & Compliance (GRC) team, or similar function, is appropriately staffed and supported to implement and maintain CPL domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of governance, risk management and compliance operations (e.g., GRC platform).
▪ 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 CPL 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 conduct assessments to demonstrate security, compliance and/or resilience capability conformity with applicable cybersecurity and data protection laws, regulations and/or contractual obligations.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
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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SCF
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Control Validation Testing (CVT)
Description
Mechanisms exist to formally assess the security, compliance and resilience controls in Technology Assets, Applications and/or Services (TAAS) through Information Assurance Program (IAP) activities to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting expected requirements.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Controls Validation Testing (CVT)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Controls Validation Testing (CVT)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Controls Validation Testing (CVT)
∙ Information Assurance (IA) program
∙ VisibleOps security management
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Controls Validation Testing (CVT)
∙ Information Assurance (IA) program
∙ VisibleOps security management
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Controls Validation Testing (CVT)
∙ Information Assurance (IA) program
∙ VisibleOps security management
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
Information Assurance (IAO) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IAO domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Pre-production security testing-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 implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/or contractual requirements for pre-production cybersecurity and data protection control testing.
Level 2 Planned Tracked
Information Assurance (IAO) 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 IAO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAO 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 IAO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Information Assurance (IA)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ IA management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IT and/or cybersecurity personnel implement and maintain a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/or contractual requirements for pre-production cybersecurity and data protection control testing.
▪ IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ IT and/or cybersecurity personnel coordinate IAP activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations.
▪ IAP testing results in a formal risk assessment where Business process owners (BPOs) are required to make a decision to (1) reduce, (2) avoid, (3) transfer and/or (4) accept risk(s) on behalf of the organization.
Level 3 Well Defined
Information Assurance (IAO) 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 IAO 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 IAO domain capabilities are well-documented and kept current by process owners.
▪ An information assurance team, or similar function, is appropriately staffed and supported to implement and maintain IAO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of information assurance operations (e.g., assessment scheduling software and risk assessment software).
▪ 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 IAO 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 formally assess the security, compliance and resilience controls in Technology Assets, Applications and/or Services (TAAS) through Information Assurance Program (IAP) activities to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting expected requirements.
Level 4 Quantitatively Controlled
Information Assurance (IAO) 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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SCF
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Specialized Assessments
Description
Mechanisms exist to conduct specialized assessments for:
(1) Statutory, regulatory and contractual compliance obligations;
(2) Monitoring capabilities;
(3) Mobile devices;
(4) Databases;
(5) Application security;
(6) Embedded technologies (e.g., IoT and OT);
(7) Vulnerability management;
(8) Malicious code;
(9) Insider threats;
(10) Performance/load testing;
(11) Artificial Intelligence and Autonomous Technologies (AAT); and/or
(12) Other Technology Assets, Applications and/or Services (TAAS) that require specialized expertise to determine conformity with security, compliance and/or resilience requirements.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Controls Validation Testing (CVT)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Controls Validation Testing (CVT)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Controls Validation Testing (CVT)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Controls Validation Testing (CVT)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Controls Validation Testing (CVT)
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
Information Assurance (IAO) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IAO domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Pre-production security testing-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 implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/or contractual requirements for pre-production cybersecurity and data protection control testing.
Level 2 Planned Tracked
Information Assurance (IAO) 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 IAO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAO 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 IAO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Information Assurance (IA)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ IA management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IT and/or cybersecurity personnel implement and maintain a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/or contractual requirements for pre-production cybersecurity and data protection control testing.
▪ IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
Level 3 Well Defined
Information Assurance (IAO) 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 IAO 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 IAO domain capabilities are well-documented and kept current by process owners.
▪ An information assurance team, or similar function, is appropriately staffed and supported to implement and maintain IAO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of information assurance operations (e.g., assessment scheduling software and risk assessment software).
▪ 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 IAO 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 conduct specialized assessments for:
(1) Statutory, regulatory and contractual compliance obligations;
(2) Monitoring capabilities;
(3) Mobile devices;
(4) Databases;
(5) Application security;
(6) Embedded technologies (e.g., IoT and OT);
(7) Vulnerability management;
(8) Malicious code;
(9) Insider threats;
(10) Performance/load testing;
(11) Artificial Intelligence and Autonomous Technologies (AAT); and/or
(12) Other Technology Assets, Applications and/or Services (TAAS) that require specialized expertise to determine conformity with security, compliance and/or resilience requirements.
Level 4 Quantitatively Controlled
Information Assurance (IAO) 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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SCF
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Control Validation Testing (CVT)
Description
Mechanisms exist to formally assess the security, compliance and resilience controls in Technology Assets, Applications and/or Services (TAAS) through Information Assurance Program (IAP) activities to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting expected requirements.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Controls Validation Testing (CVT)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Controls Validation Testing (CVT)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Controls Validation Testing (CVT)
∙ Information Assurance (IA) program
∙ VisibleOps security management
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Controls Validation Testing (CVT)
∙ Information Assurance (IA) program
∙ VisibleOps security management
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Controls Validation Testing (CVT)
∙ Information Assurance (IA) program
∙ VisibleOps security management
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
Information Assurance (IAO) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IAO domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Pre-production security testing-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 implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/or contractual requirements for pre-production cybersecurity and data protection control testing.
Level 2 Planned Tracked
Information Assurance (IAO) 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 IAO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAO 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 IAO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Information Assurance (IA)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ IA management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IT and/or cybersecurity personnel implement and maintain a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/or contractual requirements for pre-production cybersecurity and data protection control testing.
▪ IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ IT and/or cybersecurity personnel coordinate IAP activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations.
▪ IAP testing results in a formal risk assessment where Business process owners (BPOs) are required to make a decision to (1) reduce, (2) avoid, (3) transfer and/or (4) accept risk(s) on behalf of the organization.
Level 3 Well Defined
Information Assurance (IAO) 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 IAO 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 IAO domain capabilities are well-documented and kept current by process owners.
▪ An information assurance team, or similar function, is appropriately staffed and supported to implement and maintain IAO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of information assurance operations (e.g., assessment scheduling software and risk assessment software).
▪ 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 IAO 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 formally assess the security, compliance and resilience controls in Technology Assets, Applications and/or Services (TAAS) through Information Assurance Program (IAP) activities to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting expected requirements.
Level 4 Quantitatively Controlled
Information Assurance (IAO) 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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