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Articolo 14 Obblighi di segnalazione dei fabbricanti

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1. Panoramica

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Articolo 14 1.
Un fabbricante notifica simultaneamente al CSIRT designato come coordinatore, conformemente al paragrafo 7 del presente articolo, e all’ENISA, qualsiasi vulnerabilità attivamente sfruttata contenuta nel prodotto con elementi digitali di cui viene a conoscenza. Il fabbricante notifica tale vulnerabilità attivamente sfruttata tramite la piattaforma unica di segnalazione istituita a norma dell’articolo 16.
Articolo 14 2.

Ai fini della notifica di cui al paragrafo 1, il fabbricante presenta:

a) 

una notifica di preallarme di una vulnerabilità attivamente sfruttata, senza indebito ritardo e in ogni caso entro 24 ore dal momento in cui il fabbricante ne è venuto a conoscenza, che indichi, se del caso, gli Stati membri sul cui territorio il fabbricante sia al corrente del fatto che il suo prodotto con elementi digitali è stato messo a disposizione;

b) 

a meno che non siano già state fornite le informazioni pertinenti, una notifica delle vulnerabilità, senza indebito ritardo e in ogni caso entro 72 ore dal momento in cui il fabbricante è venuto a conoscenza della vulnerabilità attivamente sfruttata, che fornisca informazioni generali, se disponibili, sul prodotto con elementi digitali interessato, sulla natura generale dello sfruttamento e della vulnerabilità in questione, nonché sulle eventuali misure correttive o di attenuazione adottate e sulle misure correttive o di attenuazione che gli utilizzatori possono adottare, e che indichi anche, se del caso, il grado di sensibilità attribuito dal fabbricante alle informazioni notificate;

c) 

a meno che non siano già state fornite le informazioni pertinenti, una relazione finale, entro 14 giorni dalla messa a disposizione di una misura correttiva o di attenuazione, che comprenda almeno:

i) 

una descrizione della vulnerabilità, compresi la sua gravità e il suo impatto;

ii) 

se disponibili, informazioni relative a qualsiasi soggetto malintenzionato che abbia sfruttato o che sfrutti la vulnerabilità;

iii) 

informazioni dettagliate relative all’aggiornamento di sicurezza o ad altre misure correttive messe a disposizione per porre rimedio alla vulnerabilità.
Articolo 14 3.
Un fabbricante notifica simultaneamente al CSIRT designato come coordinatore, conformemente al paragrafo 7 del presente articolo, e all’ENISA, qualsiasi incidente grave che abbia un impatto sulla sicurezza del prodotto con elementi digitali di cui viene a conoscenza. Il fabbricante notifica tale incidente tramite la piattaforma unica di segnalazione istituita a norma dell’articolo 16.
Articolo 14 4.

Ai fini della notifica di cui al paragrafo 3, il fabbricante presenta:

a) 

una notifica di preallarme di un incidente grave che ha un impatto sulla sicurezza del prodotto con elementi digitali, senza indebito ritardo e in ogni caso entro 24 ore dal momento in cui il fabbricante ne è venuto a conoscenza, che precisi, come minimo, se si sospetta che l’incidente sia il risultato di atti illegittimi o malevoli, e che indichi, se del caso, gli Stati membri sul cui territorio il fabbricante sia al corrente del fatto che il suo prodotto con elementi digitali è stato messo a disposizione;

b) 

a meno che non siano già state fornite le informazioni pertinenti, una notifica dell’incidente, senza indebito ritardo e in ogni caso entro 72 ore dal momento in cui il fabbricante ne è venuto a conoscenza, che fornisca informazioni generali, se disponibili, sulla natura dell’incidente, una valutazione iniziale dell’incidente, nonché le eventuali misure correttive o di attenuazione adottate e le misure correttive o di attenuazione che gli utilizzatori possono adottare, e che indichi anche, se del caso, il grado di sensibilità attribuito dal fabbricante alle informazioni notificate;

c) 

a meno che non siano già state fornite le informazioni pertinenti, una relazione finale entro un mese dalla trasmissione della notifica di incidente di cui alla lettera b), che comprenda almeno:

i) 

una descrizione dettagliata dell’incidente, comprensiva della sua gravità e del suo impatto;

ii) 

il tipo di minaccia o la causa di fondo che ha probabilmente innescato l’incidente;

iii) 

le misure di attenuazione adottate e in corso;
Articolo 14 5.

Ai fini del paragrafo 3, un incidente che ha un impatto sulla sicurezza del prodotto con elementi digitali è considerato grave se:

a) 

incide negativamente o è in grado di incidere negativamente sulla capacità di un prodotto con elementi digitali di proteggere la disponibilità, l’autenticità, l’integrità o la riservatezza di dati o funzioni sensibili o importanti; o

b) 

ha portato o è in grado di portare all’introduzione o all’esecuzione di un codice maligno in un prodotto con elementi digitali o nei sistemi informativi e di rete di un utilizzatore del prodotto con elementi digitali.
Articolo 14 6.
Se necessario, il CSIRT designato come coordinatore che ha ricevuto per primo la notifica può chiedere ai fabbricanti di fornire una relazione intermedia sui pertinenti aggiornamenti della situazione sulla vulnerabilità attivamente sfruttata o sull’incidente grave che ha un impatto sulla sicurezza del prodotto con elementi digitali.
Articolo 14 7.
Le notifiche di cui ai paragrafi 1 e 3 del presente articolo sono trasmesse attraverso la piattaforma unica di segnalazione di cui all’articolo 16 utilizzando uno dei terminali per la notifica elettronica di cui all’articolo 16, paragrafo 1. La notifica è trasmessa utilizzando il terminale per la notifica elettronica del CSIRT designato come coordinatore dello Stato membro in cui i fabbricanti hanno lo stabilimento principale nell’Unione ed è contemporaneamente accessibile all’ENISA.

Ai fini del presente regolamento, si considera che un fabbricante abbia il suo stabilimento principale nell’Unione nello Stato membro in cui sono prevalentemente adottate le decisioni relative alla cibersicurezza dei suoi prodotti con elementi digitali. Se non è possibile determinare detto Stato membro, si considera che lo stabilimento principale sia nello Stato membro in cui il fabbricante ha lo stabilimento con il maggior numero di dipendenti nell’Unione.

Se non ha uno stabilimento principale nell’Unione, il fabbricante trasmette le notifiche di cui ai paragrafi 1 e 3 utilizzando il terminale per la notifica elettronica del CSIRT designato come coordinatore nello Stato membro determinato secondo l’ordine seguente e sulla base delle informazioni a disposizione del fabbricante:

a) 

lo Stato membro in cui è stabilito il rappresentante autorizzato che agisce per conto del fabbricante per il maggior numero di prodotti con elementi digitali di tale fabbricante;

b) 

lo Stato membro in cui è stabilito l’importatore che immette sul mercato il maggior numero di prodotti con elementi digitali di tale fabbricante;

c) 

lo Stato membro in cui è stabilito il distributore che mette a disposizione sul mercato il maggior numero di prodotti con elementi digitali di tale fabbricante;

d) 

lo Stato membro in cui è situato il maggior numero di utilizzatori di prodotti con elementi digitali di tale fabbricante.

In relazione al terzo comma, lettera d), un fabbricante può presentare notifiche relative a qualsiasi successiva vulnerabilità attivamente sfruttata o incidente grave che ha un impatto sulla sicurezza del prodotto con elementi digitali allo stesso CSIRT designato come coordinatore a cui ha presentato la prima notifica.
Articolo 14 8.
Dal momento in cui è venuto a conoscenza di una vulnerabilità attivamente sfruttata o di un incidente grave avente un impatto sulla sicurezza del prodotto con elementi digitali, il fabbricante informa gli utilizzatori interessati del prodotto con elementi digitali e, se del caso, tutti gli utilizzatori, di tale vulnerabilità o incidente e, se necessario, di qualsiasi attenuazione dei rischi e misure correttive che gli utilizzatori possono adottare per attenuare l’impatto di tale vulnerabilità o incidente, se del caso in un formato strutturato, leggibile da un dispositivo automatico e che possa essere facilmente elaborato automaticamente. Se il fabbricante non informa tempestivamente gli utilizzatori del prodotto con elementi digitali, i CSIRT designati come coordinatori che hanno ricevuto la notifica possono fornire tali informazioni agli utilizzatori se ritenuto proporzionato e necessario per prevenire o attenuare l’impatto di tale vulnerabilità o incidente.
Articolo 14 9.
Entro l’11 dicembre 2025 la Commissione adotta atti delegati conformemente all’articolo 61 per integrare il presente regolamento specificando i termini e le condizioni per l’applicazione dei motivi connessi alla cibersicurezza relativamente al ritardo nella diffusione delle notifiche di cui all’articolo 16, paragrafo 2. La Commissione coopera con la rete di CSIRT istituita a norma dell’articolo 15 della direttiva (UE) 2022/2555 e con l’ENISA nella preparazione dei progetti di atti delegati.
Articolo 14 10.
La Commissione può, mediante atti di esecuzione, specificare ulteriormente il formato e le procedure di trasmissione delle notifiche di cui al presente articolo, nonché agli articoli 15 e 16. Tali atti di esecuzione sono adottati secondo la procedura d’esame di cui all’articolo 62, paragrafo 2. La Commissione coopera con la rete di CSIRT e con l’ENISA nella preparazione del progetto di atto delegato.

1.1 Riferimenti

1.2 Requisiti identificati

1.3 Standard correlati

2. Requisiti identificati

Requisiti

3. Standard correlati

Standard
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.