+Artikkel 14 Tootjate teatamiskohustused
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Artikkel 14 Tootjate teatamiskohustused

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1. Ülevaade

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Artikkel 14 1.
Tootja teavitab kõigist digielemente sisaldava toote aktiivselt ärakasutatavatest nõrkustest, millest ta on teada saanud, samal ajal vastavalt käesoleva artikli lõikele 7 koordinaatoriks määratud CSIRTi ja ENISAt. Tootja teavitab igast aktiivselt ärakasutatavast nõrkusest artikli 16 kohaselt loodud ühtse teatamisplatvormi kaudu.
Artikkel 14 2.

Lõikes 1 osutatud teavitamise eesmärgil esitab tootja:

a) 

põhjendamatu viivituseta, ent igal juhul 24 tunni jooksul alates sellest, kui tootja sai aktiivselt ärakasutatavast nõrkusest teada, eelhoiatuse teavituse, milles märgib kohaldataval juhul liikmesriigid, kus tootja teada tema digielemente sisaldav toode on kättesaadavaks tehtud;

b) 

juhul, kui asjakohast teavet ei ole juba esitatud, põhjendamatu viivituseta, ent igal juhul 72 tunni jooksul alates sellest, kui tootja sai aktiivselt ärakasutatavast nõrkusest teada, nõrkuste teavituse, milles esitatakse kättesaadav üldteave asjakohase digielemente sisaldava toote, ärakasutamise üldise olemuse ja asjakohase nõrkuse, võetud parandus- või leevendusmeetmete ning nende parandus- või leevendusmeetmete kohta, mida kasutajad saavad võtta; teavituses märgitakse kohaldataval juhul ka see, kui tundlikuks tootja esitatud teavet peab;

c) 

juhul, kui asjakohast teavet ei ole juba esitatud, hiljemalt 14 päeva pärast parandus- või leevendusmeetme kättesaadavaks tegemist lõpparuande, mis sisaldab vähemalt järgmist:

i) 

nõrkuse, sealhulgas selle raskusastme ja mõju kirjeldus;

ii) 

teave kõigi kuritahtlike isikute kohta, kes on nõrkust ära kasutanud või kasutavad, kui see teave on kättesaadav;

iii) 

üksikasjad turvauuenduste ja muude parandusmeetmete kohta, mis on nõrkuse kõrvaldamiseks kättesaadavaks tehtud.
Artikkel 14 3.
Tootja teavitab kõigist digielemente sisaldava toote turvalisust mõjutavatest tõsistest intsidentidest, millest ta on saanud teada, samal ajal vastavalt käesoleva artikli lõikele 7 koordinaatoriks määratud CSIRTi ja ENISAt. Tootja teavitab igast intsidendist artikli 16 kohaselt loodud ühtse teatamisplatvormi kaudu.
Artikkel 14 4.

Lõikes 3 osutatud teavitamise eesmärgil esitab tootja:

a) 

põhjendamatu viivituseta, ent igal juhul 24 tunni jooksul alates sellest, kui tootja sai digielemente sisaldava toote turvalisust mõjutavast tõsisest intsidendist teada, eelhoiatuse teavituse, milles märgib muu hulgas vähemalt teabe selle kohta, kas intsidendi on kahtluste kohaselt põhjustanud ebaseaduslik või kuritahtlik tegevus, ning kohaldataval juhul ka liikmesriigid, kus tootja teada tema digielemente sisaldav toode on kättesaadavaks tehtud;

b) 

juhul, kui asjakohast teavet ei ole juba esitatud, põhjendamatu viivituseta, ent igal juhul 72 tunni jooksul alates sellest, kui tootja sai intsidendist teada, intsidendi teavituse, milles esitatakse kättesaadav üldteave intsidendi olemuse kohta, intsidendi esialgne hinnang, võetud parandus- või leevendusmeetmed ning teave parandus- või leevendusmeetmete kohta, mida kasutajad saavad võtta; teavituses märgitakse kohaldataval juhul ka see, kui tundlikuks tootja esitatud teavet peab;

c) 

juhul, kui asjakohast teavet ei ole juba esitatud, ühe kuu jooksul pärast punktis b osutatud intsidendi teavituse esitamist lõpparuande, mis sisaldab vähemalt järgmist:

i) 

intsidendi, sealhulgas selle raskusastme ja mõju üksikasjalik kirjeldus;

ii) 

ohu liik või algpõhjus, mis intsidendi tõenäoliselt põhjustas;

iii) 

kohaldatud ja kohaldamisel olevad leevendusmeetmed.
Artikkel 14 5.

Lõike 3 kohaldamisel loetakse digielemente sisaldava toote turvalisust mõjutav intsident tõsiseks, kui:

a) 

see mõjutab või võib mõjutada negatiivselt digielemente sisaldava toote võimet kaitsta tundlike või oluliste andmete või funktsioonide kättesaadavust, autentsust, terviklust või konfidentsiaalsust või

b) 

sellega on kaasnenud või võib kaasneda ründekoodi sisestamine digielemente sisaldavasse tootesse või digielemente sisaldava toote kasutaja võrgu- ja infosüsteemidesse või ründekoodi käivitamine nendes.
Artikkel 14 6.
Vajaduse korral võib koordinaatoriks määratud CSIRT, kes algselt teavituse saab, nõuda, et tootja esitaks vahearuande aktiivselt ärakasutatava nõrkuse või digielemente sisaldava toote turvalisust mõjutava tõsise intsidendi seisu kohta.
Artikkel 14 7.
Käesoleva artikli lõigetes 1 ja 3 osutatud teavitused esitatakse artiklis 16 osutatud ühtse teatamisplatvormi kaudu, kasutades ühte artikli 16 lõikes 1 osutatud teavitusahela lõpp-punkti. Teavitus esitatakse selle liikmesriigi koordinaatoriks määratud CSIRTi teavitusahela lõpp-punkti kaudu, kus on liidus tootja peamine tegevuskoht, ja teavitus on samal ajal kättesaadav ka ENISA-le.

Käesoleva määruse kohaldamisel käsitatakse tootja peamise tegevuskohana liidus liikmesriiki, kus tema digielemente sisaldava toote küberturvalisusega seotud otsused valdavalt tehakse. Kui sellist liikmesriiki ei ole võimalik kindlaks määrata, käsitatakse peamise tegevuskohana seda liikmesriiki, kus on asjaomase tootja kõige suurema arvu töötajatega tegevuskoht liidus.

Kui tootjal ei ole liidus peamist tegevuskohta, esitab ta lõigetes 1 ja 3 osutatud teavitused selle liikmesriigi koordinaatoriks määratud CSIRTi teavitusahela lõpp-punkti kaudu, mis määratakse kindlaks vastavalt järgmisele järjestusele ja tootjale kättesaadavale teabele:

a) 

liikmesriik, kus asub volitatud esindaja, kes tegutseb tootja nimel suurima arvu digielemente sisaldavate toodete puhul;

b) 

liikmesriik, kus asub importija, kes laseb turule kõige rohkem selle tootja digielemente sisaldavaid tooteid;

c) 

liikmesriik, kus asub turustaja, kes on teinud turul kättesaadavaks kõige rohkem selle tootja digielemente sisaldavaid tooteid;

d) 

liikmesriik, kus asub kõige rohkem selle tootja digielemente sisaldavate toodete kasutajaid.

Seoses kolmanda lõigu punktiga d võib tootja esitada samale koordinaatoriks määratud CSIRTile, keda ta esimesena teavitas, teavitused ka kõigi järgmiste aktiivselt ärakasutatavate nõrkuste või digielemente sisaldava toote turvalisust mõjutavate tõsiste intsidentide kohta.
Artikkel 14 8.
Kui tootja on saanud teada aktiivselt ärakasutatavast nõrkusest või tõsisest intsidendist, mis mõjutab digielemente sisaldava toote turvalisust, teavitab ta asjakohasel juhul struktureeritud kergesti automaattöödeldavas masinloetavas vormingus digielemente sisaldava toote kasutajaid, keda see mõjutab, ja asjakohasel juhul kõiki kasutajaid kõnealusest nõrkusest või intsidendist ning vajaduse korral riskimaandamis- ja parandusmeetmetest, mida kasutajad saavad võtta selle nõrkuse või intsidendi mõju leevendamiseks. Kui tootja ei teavita digielemente sisaldava toote kasutajaid piisavalt kiiresti, võivad koordinaatoriks määratud CSIRTid, keda nõrkusest või intsidendist teavitati, edastada kasutajatele seda teavet, kui seda peetakse proportsionaalseks ja vajalikuks kõnealuse nõrkuse või intsidendi mõju ennetamiseks või leevendamiseks.
Artikkel 14 9.
Hiljemalt 11. detsembriks 2025 võtab komisjon kooskõlas käesoleva määruse artikliga 61 vastu delegeeritud õigusaktid, et täiendada käesolevat määrust ja määrata kindlaks tingimused küberturvalisusega seotud aluste kohaldamiseks seoses teavituste edastamise edasilükkamisega, nagu on osutatud käesoleva määruse artikli 16 lõikes 2. Komisjon teeb delegeeritud õigusakti eelnõu väljatöötamisel koostööd direktiivi (EL) 2022/2555 artikli 15 kohaselt loodud CSIRTide võrgustiku ja ENISAga.
Artikkel 14 10.
Komisjon võib rakendusaktidega täpsustada käesolevas artiklis ning artiklites 15 ja 16 osutatud teavituste vormingut ja esitamise korda. Nimetatud rakendusaktid võetakse vastu kooskõlas artikli 62 lõikes 2 osutatud kontrollimenetlusega. Komisjon teeb nende rakendusaktide eelnõude väljatöötamisel koostööd CSIRTide võrgustiku ja ENISAga.

1.1 Viited

1.2 Tuvastatud nõuded

1.3 Seotud standardid

2. Tuvastatud nõuded

Nõuded

3. Seotud standardid

Standardid
SCF Incident Classification & Prioritization

Description

Mechanisms exist to identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

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

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH 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 IRO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Incident response-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Incident response management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ IT and/or cybersecurity personnel facilitate prompt response to suspected or confirmed security incidents, including timely notification to affected stakeholders.

Level 3 Well Defined

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ An incident response team, or similar function, is appropriately staffed and supported to implement and maintain IRO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of incident response operations (e.g., incident management 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 IRO 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 identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions.

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.
SCF Incident Stakeholder Reporting

Description

Mechanisms exist to timely-report incidents to applicable:
(1) Internal stakeholders;
(2) Affected clients & third-parties; and
(3) Regulatory authorities.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Basic incident response plan
∙ Designate incident response contact

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Documented incident response plan
∙ Incident log
∙ Designated IR team

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal incident response program
∙ IR playbooks
∙ Tabletop exercises

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Enterprise incident response program
∙ 24/7 SOC monitoring
∙ SOAR platform

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise SOC with SIEM/SOAR (e.g., Splunk SOAR, Palo Alto XSOAR)
∙ IR retainer
∙ Threat hunting

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

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH 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 IRO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Incident response-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Incident response management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ IT and/or cybersecurity personnel facilitate prompt response to suspected or confirmed security incidents, including timely notification to affected stakeholders.

Level 3 Well Defined

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ An incident response team, or similar function, is appropriately staffed and supported to implement and maintain IRO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of incident response operations (e.g., incident management 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 IRO 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 timely-report incidents to applicable:
(1) Internal stakeholders;
(2) Affected clients & third-parties; and
(3) Regulatory authorities.

Level 4 Quantitatively Controlled

Incident Response (IRO) 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.
SCF Cyber Incident Reporting for Sensitive / Regulated Data

Description

Mechanisms exist to report sensitive and/or regulated data incidents in a timely manner.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Incident Response Plan (IRP)

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Incident Response Plan (IRP)

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Integrated Incident Response Program (IIRP)
∙ Integrated Security Incident Response Team (ISIRT)

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Integrated Incident Response Program (IIRP)
∙ Integrated Security Incident Response Team (ISIRT)

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Integrated Incident Response Program (IIRP)
∙ Integrated Security Incident Response Team (ISIRT)

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

Incident Response (IRO) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IRO domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Incident response-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 use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.

Level 2 Planned Tracked

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH 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 IRO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Incident response-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Incident response management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.

Level 3 Well Defined

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ An incident response team, or similar function, is appropriately staffed and supported to implement and maintain IRO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of incident response operations (e.g., incident management 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 IRO 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 report sensitive/regulated data incidents in a timely manner.

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.
SCF Incident Classification & Prioritization

Description

Mechanisms exist to identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ National Cyber Incident Scoring
System (NCISS) (https://cisa.gov)

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

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH 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 IRO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Incident response-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Incident response management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ IT and/or cybersecurity personnel facilitate prompt response to suspected or confirmed security incidents, including timely notification to affected stakeholders.

Level 3 Well Defined

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ An incident response team, or similar function, is appropriately staffed and supported to implement and maintain IRO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of incident response operations (e.g., incident management 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 IRO 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 identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions.

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.
SCF Incident Stakeholder Reporting

Description

Mechanisms exist to timely-report incidents to applicable:
(1) Internal stakeholders;
(2) Affected clients & third-parties; and
(3) Regulatory authorities.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Basic incident response plan
∙ Designate incident response contact

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Documented incident response plan
∙ Incident log
∙ Designated IR team

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal incident response program
∙ IR playbooks
∙ Tabletop exercises

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Enterprise incident response program
∙ 24/7 SOC monitoring
∙ SOAR platform

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise SOC with SIEM/SOAR (e.g., Splunk SOAR, Palo Alto XSOAR)
∙ IR retainer
∙ Threat hunting

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

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH 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 IRO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Incident response-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Incident response management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ IT and/or cybersecurity personnel facilitate prompt response to suspected or confirmed security incidents, including timely notification to affected stakeholders.

Level 3 Well Defined

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ An incident response team, or similar function, is appropriately staffed and supported to implement and maintain IRO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of incident response operations (e.g., incident management 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 IRO 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 timely-report incidents to applicable:
(1) Internal stakeholders;
(2) Affected clients & third-parties; and
(3) Regulatory authorities.

Level 4 Quantitatively Controlled

Incident Response (IRO) 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.
SCF Cyber Incident Reporting for Sensitive / Regulated Data

Description

Mechanisms exist to report sensitive and/or regulated data incidents in a timely manner.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Incident Response Plan (IRP)

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Incident Response Plan (IRP)

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Integrated Incident Response Program (IIRP)
∙ Integrated Security Incident Response Team (ISIRT)

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Integrated Incident Response Program (IIRP)
∙ Integrated Security Incident Response Team (ISIRT)

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Integrated Incident Response Program (IIRP)
∙ Integrated Security Incident Response Team (ISIRT)

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

Incident Response (IRO) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IRO domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Incident response-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 use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.

Level 2 Planned Tracked

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH 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 IRO domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Incident response-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Incident response management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.

Level 3 Well Defined

Incident Response (IRO) 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 IRO domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel operate an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.
▪ An incident response team, or similar function, is appropriately staffed and supported to implement and maintain IRO domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of incident response operations (e.g., incident management 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 IRO 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 report sensitive/regulated data incidents in a timely manner.

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.
SCF Disclosure of Vulnerabilities

Description

Mechanisms exist to disclose information about vulnerabilities to relevant stakeholders, including:
(1) A description of the vulnerability(ies);
(2) Affected product(s) and/or service(s);
(3) Potential impact of the vulnerability(ies);
(4) Severity of the vulnerability(ies); and
(5) Guidance to remediate the vulnerability(ies).

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Notify customers of vulnerabilities in any developed products via email/website

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Security advisory template and distribution process
∙ security.txt / contact for vulnerability reports

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Vulnerability disclosure process with advisories (description, impact, remediation)
∙ Coordinated disclosure timelines

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Product Security Incident Response Team (PSIRT) disclosure process (ISO/IEC 29147)
∙ CVE issuance for product vulnerabilities
∙ Customer notification channels

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise coordinated vulnerability disclosure program (ISO/IEC 29147, CNA participation)
∙ Public advisory portal and machine-readable advisories (CSAF)
∙ Regulatory notification (e.g., EU CRA) integration

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

Technology Development & Acquisition (TDA) 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 TDA domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with TDA 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 TDA domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Technology development and acquisition-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Technology development and acquisition management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure development practices mostly conform to industry-recognized standards for secure engineering of Technology Assets, Applications and/or Services (TAAS) (e.g., OWASP, NIST SP 800-218 and NIST SP 800-160).
▪ An application development team, or similar function, uses a structured process to design, build and maintain secure configurations for test, development, staging and production environments.

Level 3 Well Defined

Technology Development & Acquisition (TDA) 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 TDA 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 TDA domain capabilities are well-documented and kept current by process owners.
▪ A software development team, or similar function, is appropriately staffed and supported to implement and maintain TDA domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of technology development and acquisition management (e.g., project management software, software escrow solution and software testing tools).
▪ 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 TDA 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 disclose information about vulnerabilities to relevant stakeholders, including:
(1) A description of the vulnerability(ies);
(2) Affected product(s) and/or service(s);
(3) Potential impact of the vulnerability(ies);
(4) Severity of the vulnerability(ies); and
(5) Guidance to remediate the vulnerability(ies).

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.