+Člen 32 Fizična varnost in varnost okolja
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Člen 32 Fizična varnost in varnost okolja

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1. Pregled

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Člen 32 1.
Finančni subjekti iz člena 16(1) Uredbe (EU) 2022/2554 opredelijo in izvajajo ukrepe fizične varnosti, oblikovane na podlagi okolja groženj in v skladu z razvrstitvijo iz člena 30(1) te uredbe, splošnim profilom tveganja sredstev IKT in dostopnimi informacijskimi sredstvi.
Člen 32 2.
Ukrepi iz odstavka 1 ščitijo prostore finančnih subjektov in, kadar je ustrezno, podatkovne centre finančnih subjektov, kjer so nameščena sredstva IKT in informacijska sredstva, pred nepooblaščenim dostopom, napadi in nesrečami ter pred okoljskimi grožnjami in nevarnostmi.
Člen 32 3.
Zaščita pred okoljskimi grožnjami in nevarnostmi je sorazmerna s pomembnostjo zadevnih prostorov in, kadar je ustrezno, podatkovnih centrov ter kritičnostjo operacij ali sistemov IKT, ki se nahajajo v njih.

1.1 Sklici

1.2 Ugotovljene zahteve

1.3 Povezani standardi

2. Ugotovljene zahteve

Zahteve

3. Povezani standardi

Standardi
SCF Physical & Environmental Protections

Description

Mechanisms exist to facilitate the operation of physical and environmental protection controls.

Possible Solutions & Considerations

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

∙ Physical security policy
∙ Door locks and key management

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

∙ Physical security policy
∙ Access log
∙ Visitor sign-in procedure

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

∙ Formal physical security program
∙ Card-based access control
∙ CCTV

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

∙ Enterprise physical security program
∙ Multi-zone card access
∙ CCTV monitoring
∙ Security guard coverage

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

∙ Enterprise physical security platform (e.g., Lenel, Genetec)
∙ Integrated access control/CCTV
∙ 24/7 security operations
∙ Environmental monitoring

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

Physical & Environmental Security (PES) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PES domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Physical security-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs).
▪ IT and/or cybersecurity personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization's technology assets and data.

Level 2 Planned Tracked

Physical & Environmental Security (PES) 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 PES domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PES 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 PES domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Physical security / facilities management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Physical security / facilities management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Physical security controls and technologies primarily focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ The Human Resources (HR) department maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls.
▪ Physical security controls and technologies ensure that only authorized personnel are allowed access to secure areas.
▪ A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Level 3 Well Defined

Physical & Environmental Security (PES) 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 PES 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 PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ 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 PES 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 operation of physical and environmental protection controls.

Level 4 Quantitatively Controlled

Physical & Environmental Security (PES) 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 Physical & Environmental Protections

Description

Mechanisms exist to facilitate the operation of physical and environmental protection controls.

Possible Solutions & Considerations

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

∙ Physical security policy
∙ Door locks and key management

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

∙ Physical security policy
∙ Access log
∙ Visitor sign-in procedure

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

∙ Formal physical security program
∙ Card-based access control
∙ CCTV

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

∙ Enterprise physical security program
∙ Multi-zone card access
∙ CCTV monitoring
∙ Security guard coverage

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

∙ Enterprise physical security platform (e.g., Lenel, Genetec)
∙ Integrated access control/CCTV
∙ 24/7 security operations
∙ Environmental monitoring

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

Physical & Environmental Security (PES) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PES domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Physical security-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs).
▪ IT and/or cybersecurity personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization's technology assets and data.

Level 2 Planned Tracked

Physical & Environmental Security (PES) 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 PES domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PES 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 PES domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Physical security / facilities management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Physical security / facilities management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Physical security controls and technologies primarily focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ The Human Resources (HR) department maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls.
▪ Physical security controls and technologies ensure that only authorized personnel are allowed access to secure areas.
▪ A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Level 3 Well Defined

Physical & Environmental Security (PES) 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 PES 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 PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ 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 PES 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 operation of physical and environmental protection controls.

Level 4 Quantitatively Controlled

Physical & Environmental Security (PES) 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 Physical & Environmental Protections

Description

Mechanisms exist to facilitate the operation of physical and environmental protection controls.

Possible Solutions & Considerations

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

∙ Physical security policy
∙ Door locks and key management

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

∙ Physical security policy
∙ Access log
∙ Visitor sign-in procedure

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

∙ Formal physical security program
∙ Card-based access control
∙ CCTV

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

∙ Enterprise physical security program
∙ Multi-zone card access
∙ CCTV monitoring
∙ Security guard coverage

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

∙ Enterprise physical security platform (e.g., Lenel, Genetec)
∙ Integrated access control/CCTV
∙ 24/7 security operations
∙ Environmental monitoring

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

Physical & Environmental Security (PES) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PES domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Physical security-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs).
▪ IT and/or cybersecurity personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization's technology assets and data.

Level 2 Planned Tracked

Physical & Environmental Security (PES) 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 PES domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PES 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 PES domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Physical security / facilities management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Physical security / facilities management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Physical security controls and technologies primarily focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ The Human Resources (HR) department maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls.
▪ Physical security controls and technologies ensure that only authorized personnel are allowed access to secure areas.
▪ A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Level 3 Well Defined

Physical & Environmental Security (PES) 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 PES 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 PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ 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 PES 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 operation of physical and environmental protection controls.

Level 4 Quantitatively Controlled

Physical & Environmental Security (PES) 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 Physical Access Control

Description

Physical access control mechanisms exist to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

Possible Solutions & Considerations

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

∙ Physical security policy
∙ Door locks and key management

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

∙ Physical security policy
∙ Access log
∙ Visitor procedures

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

∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.

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

∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.

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

∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.

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

Physical & Environmental Security (PES) 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 PES domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PES 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 PES domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Physical security / facilities management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Physical security / facilities management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Physical security controls and technologies primarily focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ Physical security controls and technologies ensure that only authorized personnel are allowed access to secure areas.
▪ A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.
▪ Physical security controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

Level 3 Well Defined

Physical & Environmental Security (PES) 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 PES 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 PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ 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 PES 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 physical security capability exists to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

Level 4 Quantitatively Controlled

Physical & Environmental Security (PES) 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 Supporting Utilities

Description

Facility security mechanisms exist to protect power equipment and power cabling for the system from damage and destruction.

Possible Solutions & Considerations

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

∙ Power strips/UPS kept in secured area; cords protected from damage

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

∙ UPS and power equipment in locked server room
∙ Power cabling protected from accidental damage

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

∙ Power distribution units and UPS in access-controlled rooms
∙ Protected power cabling pathways
∙ Facilities maintenance program

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

∙ Data center power infrastructure (UPS, PDUs, generators) in restricted areas
∙ Protected and documented power cabling
∙ Regular inspection and maintenance

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

∙ Enterprise power infrastructure protection (secured electrical rooms, redundant feeds, protected cabling)
∙ DCIM monitoring of power equipment
∙ Formal maintenance and inspection 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

Physical & Environmental Security (PES) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PES domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Physical security-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs).
▪ IT and/or cybersecurity personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization's technology assets and data.

Level 2 Planned Tracked

Physical & Environmental Security (PES) 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 PES domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PES 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 PES domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Physical security / facilities management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Physical security / facilities management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Physical security controls and technologies primarily focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.

Level 3 Well Defined

Physical & Environmental Security (PES) 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 PES 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 PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ 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 PES 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 physical security capability exists to protect power equipment and power cabling for the system from damage and destruction.

Level 4 Quantitatively Controlled

Physical & Environmental Security (PES) 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.