+Operations Security

Operations Security

Description

Mechanisms exist to facilitate the implementation of operational security controls.

Possible Solutions & Considerations

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

∙ Documented Standardized Operating Procedures (SOP)

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

∙ Documented Standardized Operating Procedures (SOP)

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

∙ Documented Standardized Operating Procedures (SOP)
∙ VisibleOps (https://itpi.org)
∙ ITIL 4 (https://axelos.com)

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

∙ Documented Standardized Operating Procedures (SOP)
∙ VisibleOps (https://itpi.org)
∙ ITIL 4 (https://axelos.com)
∙ COBIT 2019 Framework (https://isaca.org)

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

∙ Documented Standardized Operating Procedures (SOP)
∙ VisibleOps (https://itpi.org)
∙ ITIL 4 (https://axelos.com)
∙ COBIT 2019 Framework (https://isaca.org)

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

Security Operations (OPS) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with OPS domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Cybersecurity operations-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Cybersecurity operations are primarily viewed as additional duties for IT staff.
▪ There is no Security Operations Center (SOC) with 24x7x365 operations coverage.

Level 2 Planned Tracked

Security Operations (OPS) 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 OPS domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with OPS 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 OPS domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Security operations management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Security operations 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

Security Operations (OPS) 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 OPS 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 OPS domain capabilities are well-documented and kept current by process owners.
▪ A Security Operations Center (SOC), or similar function, is appropriately staffed and supported to implement and maintain OPS domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of security operations management (e.g., SIEM solution and EDR/XDR 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 OPS 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).
▪ Cybersecurity personnel create “run books,” or SOPs, to capture operational knowledge in documentation form for critical business functions and/or for sensitive/regulated obligations.
▪ An implemented and operational capability exists to facilitate the implementation of operational security controls.

Level 4 Quantitatively Controlled

Security Operations (OPS) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.

1. Visão geral

1.1 Referências

1.2 Requisitos identificados

1.3 Regulamentos relacionados

2. Requisitos identificados

Requisitos

3. Regulamentos relacionados

Regulamentos
EULAW Article 9 1

1.   For the purposes of adequately protecting ICT systems and with a view to organising response measures, financial entities shall continuously monitor and control the security and functioning of ICT systems and tools and shall minimise the impact of ICT risk on ICT systems through the deployment of appropriate ICT security tools, policies and procedures.
EULAW Article 9 2

2.   Financial entities shall design, procure and implement ICT security policies, procedures, protocols and tools that aim to ensure the resilience, continuity and availability of ICT systems, in particular for those supporting critical or important functions, and to maintain high standards of availability, authenticity, integrity and confidentiality of data, whether at rest, in use or in transit.
EULAW Artigo 8.o Políticas e procedimentos ao nível do funcionamento das TIC
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EULAW Artigo 28.o Governação e organização
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EULAW Artigo 34.o Segurança das operações de TIC

Artigo 34.o

Segurança das operações de TIC

As entidades financeiras a que se refere o artigo 16.o, n.o 1, do Regulamento (UE) 2022/2554 devem, no âmbito dos seus sistemas, protocolos e ferramentas, e em relação a todos os ativos de TIC:

a) 

Acompanhar e gerir o ciclo de vida de todos os ativos de TIC;

b) 

Verificar se os ativos de TIC são apoiados por terceiros prestadores de serviços de TIC de entidades financeiras, se for caso disso;

c) 

Identificar as necessidades de capacidade dos seus ativos de TIC e as medidas para manter e melhorar a disponibilidade e a eficiência dos sistemas de TIC e evitar défices de capacidade das TIC antes da sua ocorrência;

d) 

Realizar análises automatizadas das vulnerabilidades e avaliações de ativos de TIC proporcionadas à sua classificação, tal como referido no artigo 30.o, n.o 1, e ao perfil de risco global do ativo de TIC, bem como aplicar correções para resolver as vulnerabilidades identificadas;

e) 

Gerir os riscos relacionados com ativos de TIC obsoletos, não apoiados ou legados;

f) 

Registar eventos relacionados com o controlo lógico e físico do acesso e com as operações de TIC, incluindo atividades de tráfego nos sistemas e redes e a gestão de alterações das TIC;

g) 

Identificar e aplicar medidas para monitorizar e analisar informações sobre atividades e comportamentos anómalos em operações críticas ou importantes no domínio das TIC;

h) 

Aplicar medidas para monitorizar informações pertinentes e atualizadas sobre as ciberameaças;

i) 

Aplicar medidas para identificar possíveis fugas de informação, códigos maliciosos e outras ameaças à segurança, bem como vulnerabilidades do conhecimento público em software e hardware, e verificar se existem novas atualizações de segurança correspondentes.

Para efeitos da alínea f), as entidades financeiras devem alinhar o nível de pormenor dos registos com a sua finalidade e a utilização do ativo de TIC que dá origem a esses registos.
EULAW Artigo 9.o Proteção e prevenção
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Pedidos ligados

Ligações
is related to Annual
is related to relative Control Weighting = 09
is related to Process
is related to Protect
is related to SCRM Focus Tier 1 STRATEGIC
is related to SCRM Focus Tier 2 OPERATIONAL
is related to SCRM Focus Tier 3 TACTICAL
blocks Unauthorized Retention / Inability to Dispose of Data
blocks Failure to Support Business / Mission Objectives
blocks Unaddressed Security / Compliance Exposure
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Internal Security / Privacy Exposure
blocks Uncontrolled Third-Party Security / Privacy Exposure
blocks Lack of oversight of internal controls
blocks Lack of oversight of third-party controls
blocks Undetected / Delayed Detection of Adverse Activity
blocks Lack of a security-minded workforce
blocks Third-Party Cybersecurity Compromise / Exposure
blocks Third-Party Physical Security Disruption / Exposure
blocks Sub-Tier / Fourth-Party Supply Chain Exposure
blocks Third-Party Legal / Compliance Exposure
blocks Harm from Unauthorized / Unintended Product or Service Use
blocks Third-Party Dependency Failure
is related to relative Control Weighting = 08
is related to Govern
blocks Data from Local System
blocks Data from Removable Media
blocks System / Data Compromise (Technical Vector)
blocks Regulatory / Legal / Contractual Financial Liability
blocks Exposure from Unaddressed Vulnerabilities
blocks System / Service Compromise
blocks Failure to Achieve Strategic / Mission Objectives
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Delayed Containment / Increased Incident Impact
blocks Drought & Water Shortage
blocks Earthquakes
blocks Fire & Wildfires
blocks Floods
blocks Hurricanes & Tropical Storms
blocks Landslides & Debris Flow
blocks Pandemic (Disease) Outbreaks
blocks Severe Weather
blocks Space Weather
blocks Thunderstorms & Lightning
blocks Tornadoes
blocks Tsunamis
blocks Volcanoes
blocks Winter Storms & Extreme Cold
blocks Malicious Cyber Activity
blocks Dysfunctional Management Practices
blocks Human Error
blocks Statutory / Regulatory / Contractual Change
blocks Fraud, Corruption and/or Intentional Criminal Conduct
blocks Conflict of Interest (COI) / Undue Influence / Insider Misconduct
blocks Economic Shock / Market Disruption
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
is blocked by OPS-02 Operations Security – Assessment Procedure
blocks SC-38 Operations Security
blocks SR-07 Supply Chain Operations Security
blocks 03.15.01 Policy and Procedures
blocks ID.IM Improvement
  • Secure Controls Framework -

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    Terms & Conditions

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