+Standardized Operating Procedures (SOP)
---+System Administrative Processes
---+Database Administrative Processes
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Standardized Operating Procedures (SOP)
Description
Mechanisms exist to identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
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
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.
▪ IT and/or cybersecurity personnel create “run books,” or SOPs, to capture operational knowledge in documentation form for critical business functions and/or for sensitive/regulated obligations to protect the Confidentiality, Integrity, Availability and Safety (CIAS) of the organization's TAASD.
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 identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.
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. Översikt
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Standard |
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System Administrative Processes
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Description
Mechanisms exist to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining Technology Assets, Applications and/or Services (TAAS).
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Documented Standardized Operating Procedures (SOP)
∙ ComplianceForge - Cybersecurity Standardized Operating Procedures (CSOP)
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
Asset Management (AST) 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 AST domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with AST 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 AST domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Asset management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Asset 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 IT department establishes, maintains and updates an inventory that contains a listing of all organizational-owned TAASD, at a minimum covering common devices (e.g., laptops, workstations and servers).
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 develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining Technology Assets, Applications and/or Services (TAAS).
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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Database Administrative Processes
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Description
Mechanisms exist to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Basic documented steps for database backups and administration
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Database administration procedures (backup, patching, access management)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Database management SOPs covering administration, patching, backup and access
∙ Database activity logging
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Formal database administration standards and SOPs
∙ Database Activity Monitoring (DAM)
∙ DBA access via PAM
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise database governance (SOPs, DAM, PAM, encryption, automated compliance checks)
∙ Database security posture 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
Asset Management (AST) 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 AST domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with AST 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 AST domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Asset management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Asset 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 IT department establishes, maintains and updates an inventory that contains a listing of all organizational-owned TAASD, at a minimum covering common devices (e.g., laptops, workstations and servers).
▪ Databases containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information in the database (e.g., column-level and Transparent Data Encryption (TDE)).
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 develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.
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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1.1 Referenser
1.2 Identifierade krav
1.3 Relaterade regleringar
2. Identifierade krav
3. Relaterade regleringar
Regleringar
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Reglering |
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EULAW
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Artikel 8 Strategier och förfaranden för IKT-verksamhet
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EULAW
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Artikel 8 Strategier och förfaranden för IKT-verksamhet
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EULAW
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Artikel 9 Kapacitets- och prestandahantering
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EULAW
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Artikel 10 Hantering av sårbarheter och programfixar
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EULAW
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Artikel 10 Hantering av sårbarheter och programfixar
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EULAW
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Artikel 11 Data- och systemsäkerhet
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EULAW
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Artikel 6 IKT-riskhanteringsram
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EULAW
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Artikel 9 Skydd och förebyggande
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EULAW
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Artikel 6 2
2. IKT-riskhanteringsramen ska omfatta åtminstone de strategier, riktlinjer, förfaranden, IKT-protokoll och IKT-verktyg som är nödvändiga för att på ett vederbörligt och adekvat sätt skydda alla informations- och IKT-tillgångar, inbegripet datorprogramvara, datormaskinvara och servrar, och skydda alla relevanta fysiska komponenter och infrastrukturer, såsom lokaler, datacentraler och känsliga angivna områden, för att säkerställa att alla informations- och IKT-tillgångar är tillräckligt skyddade mot risker, inbegripet skada och obehörig åtkomst eller användning.
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EULAW
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Artikel 9 2
2. Finansiella entiteter ska utforma, upphandla och genomföra IKT-relaterade säkerhetsstrategier, förfaranden, protokoll och verktyg som syftar till att säkerställa IKT-systemens motståndskraft, kontinuitet och tillgänglighet, i synnerhet för de system som stöder kritiska eller viktiga funktioner, och upprätthålla höga standarder för tillgänglighet, äkthet, integritet och konfidentialitet avseende data, oberoende av om de är i vila, i bruk eller under överföring.
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EULAW
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Artikel 9 4
4. Som en del av den IKT-riskhanteringsram som avses i artikel 6.1 ska finansiella entiteter
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a)
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utarbeta och dokumentera riktlinjer för informationssäkerhet där det fastställs regler för att skydda tillgängligheten, äktheten, integriteten och konfidentialiteten hos data, informationstillgångar och IKT-tillgångar, inbegripet hos deras kunder, när så är tillämpligt,
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b)
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enligt en riskbaserad strategi upprätta en sund struktur för förvaltning av nätverk och infrastruktur med hjälp av lämpliga tekniker, metoder och protokoll, vilket kan inbegripa införande av automatiserade mekanismer för att isolera berörda informationstillgångar vid cyberangrepp,
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c)
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genomföra strategier för att begränsa den fysiska eller logiska åtkomsten till informationstillgångar och IKT-tillgångar till enbart det som krävs för legitima och godkända funktioner och verksamheter, och för detta ändamål fastställa en uppsättning strategier, förfaranden och kontroller för åtkomsträttigheter och säkerställa en sund förvaltning av dessa,
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d)
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genomföra strategier och protokoll för starka äkthetsmekanismer, baserade på relevanta standarder och särskilda kontrollsystem, samt skyddsåtgärder för kryptografiska nycklar där data krypteras baserat på resultat från godkända processer för klassificering och IKT-riskbedömning,
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e)
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genomföra dokumenterade strategier, förfaranden och kontroller för hantering av IKT-förändringar, inbegripet ändringar av programvara, maskinvara, fasta programvarukomponenter, system eller säkerhetsparametrar, som bygger på en riskbedömningsmetod och är en integrerad del av den finansiella entitetens övergripande förändringshanteringsprocess, för att säkerställa att alla ändringar av IKT-system registreras, testas, bedöms, godkänns, genomförs och verifieras på ett kontrollerat sätt,
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f)
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ha lämpliga och heltäckande dokumenterade strategier för programfixar och uppdateringar.
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Vid tillämpning av första stycket led b ska finansiella entiteter utforma infrastrukturen för nätanslutning på ett sätt som gör att den omedelbart kan avskiljas eller segmenteras i syfte att minimera och förhindra spridning, särskilt för sammanlänkade finansiella processer.
Vid tillämpning av första stycket led e ska processen för hantering av IKT-förändringar godkännas av lämpliga ledningsnivåer och ska ha särskilda protokoll på plats
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Länkade ärenden
- Secure Controls Framework -
EN: GRCA includes the Secure Controls Framework® (SCF) content, © Secure Controls Framework Council, LLC, used under the Creative Commons Attribution-NoDerivatives 4.0 International Public License. SCF control numbers, names, descriptions and mappings appear exactly as published by the SCF Council – https://securecontrolsframework.com. GRCA may group or reorder SCF content for display, which does not change SCF content; the mappings are shown as links to the frameworks they name. Learn more at https://securecontrolsframework.com.
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