+Artikolu 9 Ipproċessar ta' kategoriji speċjali ta' data personali
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Artikolu 9 Ipproċessar ta' kategoriji speċjali ta' data personali
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1. Ħarsa ġenerali
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Regolamentazzjoni |
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Artikolu 9 1.
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L-ipproċessar ta' data personali, li jiżvela oriġini razzjali jew etnika, opinjonijiet politiċi, twemmin reliġjuż jew filosofiku, jew sħubija fi trade union, u l-ipproċessar ta' data ġenetika, data bijometrika sabiex tidentifika b'mod uniku persuna fiżika, data dwar is-saħħa jew data dwar il-ħajja sesswali u l-orjentazzjoni sesswali ta' persuna fiżika huma projbiti.
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Artikolu 9 2.
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Il-paragrafu 1 ma għandux japplika jekk japplika wieħed minn dawn li ġejjin:
(a)
is-suġġett tad-data jkun ta kunsens espliċitu għall-ipproċessar ta' dik id-data personali għal fini speċifiku wieħed jew aktar, għajr fejn il-liġi tal-Unjoni jew il-liġi ta' Stat Membru tipprevedi li l-projbizzjoni msemmija fil-paragrafu 1 ma tistax titneħħa mis-suġġett tad-data;
(b)
l-ipproċessar ikun meħtieġ għall-finijiet tat-twettiq tal-obbligi u l-eżerċizzju ta' drittijiet speċifiċi tal-kontrollur jew tas-suġġett tad-data fil-qasam tal-liġi dwar l-impjiegi u dwar il-protezzjoni soċjali u s-sigurtà soċjali sa fejn dan ikun awtorizzat mil-liġi tal-Unjoni jew mil-liġi ta' Stat Membru jew minn ftehim kollettiv skont il-liġi ta' Stat Membru li jipprevedu salvagwardji xierqa għad-drittijiet fundamentali u l-interessi tas-suġġett tad-data;
(c)
l-ipproċessar ikun meħtieġ għall-protezzjoni tal-interessi vitali tas-suġġett tad-data jew ta' persuna fiżika oħra fejn is-suġġett tad-data ma jkunx fiżikament jew legalment kapaċi li jagħti l-kunsens;
(d)
l-ipproċessar isir waqt l-attivitajiet leġittimi tiegħu b'salvagwardji adatti minn fondazzjoni, assoċjazzjoni jew kwalunkwe korp ieħor mingħajr skop ta' qligħ b'għan politiku, filosofiku, reliġjuż jew ta' trade union u bil-kondizzjoni li l-ipproċessar ikun relatat biss mal-membri jew ex membri tal-korp jew ma' persuni li għandhom kuntatt regolari miegħu b'rabta mal-finijiet tiegħu u li d-data personali ma tkunx żvelata barra dak il-korp mingħajr il-kunsens tas-suġġetti tad-data;
(e)
l-ipproċessar ikun relatat ma' data personali li b'mod ċar tkun saret pubblika mis-suġġett tad-data;
(f)
l-ipproċessar ikun meħtieġ għall-istabbiliment, l-eżerċizzju jew id-difiża ta' talbiet legali jew kull darba li l-qrati jkunu qed jaġixxu fil-kapaċità ġudizzjarja tagħhom;
(g)
l-ipproċessar ikun meħtieġ għal raġunijiet ta' interess pubbliku sostanzjali, fuq il-bażi tal-liġi tal-Unjoni jew ta' Stat Membru, li għandha tkun proporzjonata mal-għan segwit, tirrispetta l-essenza tad-dritt għall-protezzjoni tad-data u tipprevedi miżuri xierqa u speċifiċi sabiex tissalvagwardja d-drittijiet fundamentali u l-interessi tas-suġġett tad-data;
(h)
l-ipproċessar ikun meħtieġ għall-finijiet ta' mediċina preventiva jew okkupazzjonali, għall-valutazzjoni tal-kapaċità ta' ħaddiem għax-xogħol, dijanjosi medika, il-forniment ta' kura tas-saħħa jew soċjali jew it-trattament jew il-ġestjoni ta' sistemi u servizzi tal-kura tas-saħħa u soċjali abbażi tal-liġi tal-Unjoni jew tal-liġi ta' Stat Membru jew skont kuntratt ma' professjonista fil-kura medika u soġġett għall-kondizzjonijiet u s-salvagwardji msemmija fil-paragrafu 3;
(i)
l-ipproċessar ikun meħtieġ għal raġunijiet ta' interess pubbliku fil-qasam tas-saħħa pubblika, bħall-protezzjoni kontra theddid transkonfinali serju għas-saħħa jew biex jiġu żgurati standards għoljin ta' kwalità u sikurezza tal-kura tas-saħħa u ta' prodotti mediċinali jew apparat mediku, fuq il-bażi tal-liġi tal-Unjoni, jew tal-liġi ta' Stat Membru li tipprevedi miżuri adatti u speċifiċi sabiex jiġu protetti d-drittijiet u l-libertajiet tas-suġġett tad-data, b'mod partikulari s-segretezza professjonali;
(j)
l-ipproċessar ikun meħtieġ għal finijiet ta' arkivjar fl-interess pubbliku, għal finijiet ta' riċerka xjentifika jew storika jew għal finijiet ta' statistika f'konformità mal-Artikolu 89(1) fuq il-bażi tal-liġi tal-Unjoni jew ta' Stat Membru, li għandha tkun proporzjonata mal-għan segwit, tirrispetta l-essenza tad-dritt għall-protezzjoni tad-data u tipprevedi miżuri xierqa u speċifiċi sabiex tissalvagwardja d-drittijiet fundamentali u l-interessi tas-suġġett tad-data.
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Artikolu 9 3.
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Id-data personali msemmija fil-paragrafu 1 tista' tiġi pproċessata għall-finijiet imsemmija fil-punt (h) tal-paragrafu 2 meta dik id-data tiġi pproċessata minn professjonista jew taħt ir-responsabbiltà tiegħu li jkun soġġett għall-obbligu ta' segretezza professjonali skont il-liġi tal-Unjoni jew ta' Stat Membru jew regoli stabbiliti minn korpi kompetenti nazzjonali jew minn persuna oħra li tkun ukoll soġġetta għal obbligu ta' segretezza skont il-liġi tal-Unjoni jew ta' Stat Membru jew ir-regoli stabbiliti minn korpi kompetenti nazzjonali.
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Artikolu 9 4.
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L-Istati Membri jistgħu jżommu jew jintroduċu aktar kondizzjonijiet, inklużi limitazzjonijiet, fir-rigward tal-ipproċessar ta' data ġenetika, data bijometrika jew data dwar is-saħħa.
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1.1 Referenzi
1.2 Rekwiżiti identifikati
1.3 Standards relatati
2. Rekwiżiti identifikati
3. Standards relatati
Standards
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Rekwiżit |
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SCF
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Data Privacy Policy
Description
Mechanisms exist to establish a formal, documented data privacy policy that:
(1) Conveys executive management's intent;
(2) Provides organizational direction and expected behaviors;
(3) Is reviewed at least annually; and
(4) Is updated, as necessary, to adapt to evolving risks, threats and other changes that affect the organization.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Executive-approved written policy with documented annual review
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Executive-approved written policy with documented annual review
∙ Policy acknowledgement tracking (e.g., HR onboarding records)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.) for policy lifecycle management
∙ Documented annual policy review with version control
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.) for policy lifecycle management
∙ Policy governance committee with formal annual review and approval workflow
∙ Automated policy attestation and acknowledgement tracking
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Steering committee
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Enterprise GRC platform (e.g., Cyturus, Archer, MetricStream, ServiceNow IRM) for policy lifecycle management
∙ Automated policy attestation, exception tracking and change history
∙ Annual executive approval and board-level reporting
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
Privacy (PRI) 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 PRI domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRI 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 PRI domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data privacy management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data privacy management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Privacy (PRI) 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 PRI 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 PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ 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 PRI 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).
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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Data Privacy Accountability Structure
Description
Mechanisms exist to establish a data privacy accountability structure that:
(1) Identifies data privacy roles required by applicable statutory, regulatory and/or contractual obligations;
(2) Assigns each role to one or more individuals with the requisite qualifications, authority, independence and resources; and
(3) Is reviewed and updated as data privacy obligations, operating jurisdictions and/or business practices change.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Designated privacy point of contact (may be the owner or office manager)
∙ Documented privacy responsibilities
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Assigned privacy lead with documented responsibilities
∙ External DPO or privacy counsel where legally required
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data privacy program with assigned Chief Privacy Officer (CPO) or equivalent
∙ Data Protection Officer (DPO) where required
∙ Privacy roles documented in a RACI
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Formal privacy office with CPO and DPO(s) by jurisdiction
∙ Privacy management platform (e.g., OneTrust, TrustArc)
∙ Annual review of privacy roles against obligations
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise privacy governance structure with CPO, regional DPOs and privacy champions
∙ Privacy management platform (e.g., OneTrust, TrustArc, Securiti)
∙ Board-level privacy reporting
∙ Annual accountability structure review
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
Privacy (PRI) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PRI domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Data privacy-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity.
Level 2 Planned Tracked
Privacy (PRI) 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 PRI domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRI 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 PRI domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data privacy management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data privacy management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Privacy (PRI) 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 PRI 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 PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ 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 PRI 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).
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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Data Privacy Program
Description
Mechanisms exist to facilitate the implementation and operation of data protection controls throughout the data lifecycle to ensure all forms of Personal Data (PD) are processed lawfully, fairly and transparently.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Data privacy program
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Data privacy program
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data privacy program
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Data privacy program
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Data privacy program
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
Privacy (PRI) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PRI domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Data privacy-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity.
▪ Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
▪ No formal data privacy principles are identified for the organization.
▪ Data/process owners perform their own Data Protection Impact Assessment (DPIA).
Level 2 Planned Tracked
Privacy (PRI) 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 PRI domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRI 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 PRI domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data privacy management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data privacy management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization's data privacy program. This individual may be assigned to multiple data privacy-related roles.
▪ The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and/or contractual data privacy obligations for Personal Data (PD) are properly identified and implemented.
Level 3 Well Defined
Privacy (PRI) 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 PRI 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 PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ 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 PRI 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 facilitate the implementation and operation of data protection controls throughout the data lifecycle to ensure all forms of Personal Data (PD) are processed lawfully, fairly and transparently.
Level 4 Quantitatively Controlled
Privacy (PRI) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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Authority To Collect, Process, Store & Share Personal Data (PD)
Description
Mechanisms exist to determine and document the legal authority that permits the organization to collect, receive, process, store, transmit, share, update and/or dispose Personal Data (PD), either generally or in support of a specific business process.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
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
SCR-CMM Level 2 criteria definitions are not available for this control:
▪ A reasonable person would conclude a well-defined and standardized process is required.
▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization.
▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts).
Level 3 Well Defined
Privacy (PRI) 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 PRI 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 PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ 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 PRI 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 determine and document the legal authority that permits the organization to collect, receive, process, store, transmit, share, update and/or dispose Personal Data (PD), either generally or in support of a specific business process.
Level 4 Quantitatively Controlled
Privacy (PRI) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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Data Subject Consent
Description
Mechanisms exist to enable data subjects to authorize the collection, receipt, processing, storage, transmission, sharing, updating and/or disposal of their Personal Data (PD), where the data subject is provided, prior to collection, with:
(1) Plain language explaining the potential data privacy risks of the authorization;
(2) A means to decline the authorization; and
(3) Necessary choice and consent-related criteria required by applicable statutory, regulatory and contractual obligations.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
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
Privacy (PRI) 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 PRI domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRI 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 PRI domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data privacy management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data privacy management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and/or contractual data privacy obligations for Personal Data (PD) are properly identified and implemented.
Level 3 Well Defined
Privacy (PRI) 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 PRI 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 PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ 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 PRI 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 Mechanisms exist to enable data subjects to authorize the collection, receipt, processing, storage, transmission, sharing, updating and/or disposal of their Personal Data (PD), where the data subject is provided, prior to collection, with:
(1) Plain language explaining the potential data privacy risks of the authorization;
(2) A means to decline the authorization; and
(3) Necessary choice and consent-related criteria required by applicable statutory, regulatory and contractual obligations.
Level 4 Quantitatively Controlled
Privacy (PRI) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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Data Privacy Program
Description
Mechanisms exist to facilitate the implementation and operation of data protection controls throughout the data lifecycle to ensure all forms of Personal Data (PD) are processed lawfully, fairly and transparently.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Data privacy program
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Data privacy program
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data privacy program
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Data privacy program
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Data privacy program
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
Privacy (PRI) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PRI domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Data privacy-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity.
▪ Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
▪ No formal data privacy principles are identified for the organization.
▪ Data/process owners perform their own Data Protection Impact Assessment (DPIA).
Level 2 Planned Tracked
Privacy (PRI) 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 PRI domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRI 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 PRI domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data privacy management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data privacy management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization's data privacy program. This individual may be assigned to multiple data privacy-related roles.
▪ The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and/or contractual data privacy obligations for Personal Data (PD) are properly identified and implemented.
Level 3 Well Defined
Privacy (PRI) 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 PRI 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 PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ 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 PRI 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 facilitate the implementation and operation of data protection controls throughout the data lifecycle to ensure all forms of Personal Data (PD) are processed lawfully, fairly and transparently.
Level 4 Quantitatively Controlled
Privacy (PRI) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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Authority To Collect, Process, Store & Share Personal Data (PD)
Description
Mechanisms exist to determine and document the legal authority that permits the organization to collect, receive, process, store, transmit, share, update and/or dispose Personal Data (PD), either generally or in support of a specific business process.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
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
SCR-CMM Level 2 criteria definitions are not available for this control:
▪ A reasonable person would conclude a well-defined and standardized process is required.
▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization.
▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts).
Level 3 Well Defined
Privacy (PRI) 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 PRI 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 PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ 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 PRI 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 determine and document the legal authority that permits the organization to collect, receive, process, store, transmit, share, update and/or dispose Personal Data (PD), either generally or in support of a specific business process.
Level 4 Quantitatively Controlled
Privacy (PRI) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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Data Subject Consent
Description
Mechanisms exist to enable data subjects to authorize the collection, receipt, processing, storage, transmission, sharing, updating and/or disposal of their Personal Data (PD), where the data subject is provided, prior to collection, with:
(1) Plain language explaining the potential data privacy risks of the authorization;
(2) A means to decline the authorization; and
(3) Necessary choice and consent-related criteria required by applicable statutory, regulatory and contractual obligations.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Data classification program
∙ Data privacy program
∙ Data Protection Impact Assessment (DPIA)
∙ Product / project management
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
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
Privacy (PRI) 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 PRI domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRI 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 PRI domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data privacy management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data privacy management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and/or contractual data privacy obligations for Personal Data (PD) are properly identified and implemented.
Level 3 Well Defined
Privacy (PRI) 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 PRI 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 PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ 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 PRI 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 Mechanisms exist to enable data subjects to authorize the collection, receipt, processing, storage, transmission, sharing, updating and/or disposal of their Personal Data (PD), where the data subject is provided, prior to collection, with:
(1) Plain language explaining the potential data privacy risks of the authorization;
(2) A means to decline the authorization; and
(3) Necessary choice and consent-related criteria required by applicable statutory, regulatory and contractual obligations.
Level 4 Quantitatively Controlled
Privacy (PRI) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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