+Configuration Change Control
---+Prohibition Of Changes
---+Test, Validate & Document Changes
---+Security, Compliance & Resilience Representative for Asset Lifecycle Changes
---+Automated Security Response
---+Cryptographic Management
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Configuration Change Control
Description
Mechanisms exist to govern the technical configuration change control processes.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
∙ ITIL 4 (https://axelos.com)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
∙ ITIL 4 (https://axelos.com)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
∙ ITIL 4 (https://axelos.com)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
∙ ITIL 4 (https://axelos.com)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
∙ ITIL 4 (https://axelos.com)
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
Change Management (CHG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CHG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Change management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Requests for Change (RFC) are submitted to IT and/or cybersecurity personnel.
▪ Documented change control processes are either informal or do not exist.
Level 2 Planned Tracked
Change Management (CHG) 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 CHG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CHG 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 CHG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Change management-related controls are primarily administrative and preventative in nature (e.g., policies, standards, procedures & guidelines).
▪ Change management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Business stakeholders and process owners ensure changes to Technology Assets, Applications and/or Services (TAAS) within the System Development Lifecycle (SDLC) are controlled through formal change control procedures.
▪ Configuration management practices prevent unauthorized changes by limiting and reviewing permissions to modify TAAS components within a production/operational environment
▪ A Change Advisory Board (CAB), or similar function, exists to govern Requests For Change (RFC) to TAAS to ensure security, compliance and resilience.
▪ The CAB includes a function to review RFCs for cybersecurity and data protection ramifications.
▪ The CAB notifies affected stakeholders to ensure awareness of the impact of proposed changes.
▪ Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
Level 3 Well Defined
Change Management (CHG) 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 CHG 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 CHG domain capabilities are well-documented and kept current by process owners.
▪ A centralized Change Management Office (CMO), or similar function, is appropriately staffed and supported to implement and maintain CHG domain capabilities.
▪ Technical procedures (e.g., ITIL change enablement) are utilized along with change management governance capabilities (e.g., Change Advisory Board (CAB)) to ensure successful, efficient and secure change management operations.
▪ 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 CHG 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 govern the technical configuration change control processes.
Level 4 Quantitatively Controlled
Change Management (CHG) 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. Übersicht
| Bezeichnung |
Standard |
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Prohibition Of Changes
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Description
Mechanisms exist to prohibit unauthorized changes, unless organization-approved change requests are received.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Role Based Access Control (RBAC)
∙ Manual processes/workflows
∙ Application whitelisting
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Role Based Access Control (RBAC)
∙ Manual processes/workflows
∙ Application whitelisting
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Role Based Access Control (RBAC)
∙ Application whitelisting
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Role Based Access Control (RBAC)
∙ Application whitelisting
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Role Based Access Control (RBAC)
∙ Application whitelisting
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
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
Change Management (CHG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CHG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Change management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Requests for Change (RFC) are submitted to IT and/or cybersecurity personnel.
▪ Prior to changes being made, RFCs are informally reviewed for cybersecurity and/or data protection ramifications.
▪ Documented change control processes are either informal or do not exist.
Level 2 Planned Tracked
Change Management (CHG) 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 CHG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CHG 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 CHG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Change management-related controls are primarily administrative and preventative in nature (e.g., policies, standards, procedures & guidelines).
▪ Change management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Business stakeholders and process owners ensure changes to Technology Assets, Applications and/or Services (TAAS) within the System Development Lifecycle (SDLC) are controlled through formal change control procedures.
▪ Configuration management practices prevent unauthorized changes by limiting and reviewing permissions to modify TAAS components within a production/operational environment
Level 3 Well Defined
Change Management (CHG) 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 CHG 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 CHG domain capabilities are well-documented and kept current by process owners.
▪ A centralized Change Management Office (CMO), or similar function, is appropriately staffed and supported to implement and maintain CHG domain capabilities.
▪ Technical procedures (e.g., ITIL change enablement) are utilized along with change management governance capabilities (e.g., Change Advisory Board (CAB)) to ensure successful, efficient and secure change management operations.
▪ 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 CHG 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 prohibit unauthorized changes, unless organization-approved change requests are received.
Level 4 Quantitatively Controlled
Change Management (CHG) 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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Test, Validate & Document Changes
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Description
Mechanisms exist to appropriately test and document proposed changes in a non-production environment before changes are implemented in a production environment.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.org)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Change Control Board (CCB)
∙ Configuration Management Database (CMDB)
∙ VisibleOps (https://itpi.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
Change Management (CHG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CHG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Change management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Whenever possible, IT and/or cybersecurity personnel test changes to business-critical Technology Assets, Applications and/or Services (TAAS) on a similarly configured IT environment, prior to widespread production release of the change.
Level 2 Planned Tracked
Change Management (CHG) 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 CHG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CHG 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 CHG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Change management-related controls are primarily administrative and preventative in nature (e.g., policies, standards, procedures & guidelines).
▪ Change management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Business stakeholders and process owners ensure changes to Technology Assets, Applications and/or Services (TAAS) within the System Development Lifecycle (SDLC) are controlled through formal change control procedures.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to test controls after a change is implemented to ensure cybersecurity and/or data protection controls are operating properly.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to document the results from testing changes.
Level 3 Well Defined
Change Management (CHG) 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 CHG 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 CHG domain capabilities are well-documented and kept current by process owners.
▪ A centralized Change Management Office (CMO), or similar function, is appropriately staffed and supported to implement and maintain CHG domain capabilities.
▪ Technical procedures (e.g., ITIL change enablement) are utilized along with change management governance capabilities (e.g., Change Advisory Board (CAB)) to ensure successful, efficient and secure change management operations.
▪ 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 CHG 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 appropriately test and document proposed changes in a non-production environment before changes are implemented in a production environment.
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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Security, Compliance & Resilience Representative for Asset Lifecycle Changes
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Description
Mechanisms exist to include a cybersecurity and/or data protection representative in the configuration change control review process.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Change Control Board (CCB)
∙ VisibleOps (https://itpi.org)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Change Control Board (CCB)
∙ VisibleOps (https://itpi.org)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Change Control Board (CCB)
∙ VisibleOps (https://itpi.org)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Change Control Board (CCB)
∙ VisibleOps (https://itpi.org)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Change Control Board (CCB)
∙ VisibleOps (https://itpi.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
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
Change Management (CHG) 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 CHG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CHG 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 CHG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Change management-related controls are primarily administrative and preventative in nature (e.g., policies, standards, procedures & guidelines).
▪ Change management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Business stakeholders and process owners ensure changes to Technology Assets, Applications and/or Services (TAAS) within the System Development Lifecycle (SDLC) are controlled through formal change control procedures.
Level 3 Well Defined
Change Management (CHG) 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 CHG 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 CHG domain capabilities are well-documented and kept current by process owners.
▪ A centralized Change Management Office (CMO), or similar function, is appropriately staffed and supported to implement and maintain CHG domain capabilities.
▪ Technical procedures (e.g., ITIL change enablement) are utilized along with change management governance capabilities (e.g., Change Advisory Board (CAB)) to ensure successful, efficient and secure change management operations.
▪ 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 CHG 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 include a cybersecurity and/or data protection representative in the configuration change control review process.
Level 4 Quantitatively Controlled
Change Management (CHG) 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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Automated Security Response
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Description
Automated mechanisms exist to implement remediation actions upon the detection of unauthorized baseline configurations change(s).
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Document and approve changes before making them
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Change request form
∙ Change approval process
∙ Change log
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
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
Change Management (CHG) 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 CHG 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 CHG domain capabilities are well-documented and kept current by process owners.
▪ A centralized Change Management Office (CMO), or similar function, is appropriately staffed and supported to implement and maintain CHG domain capabilities.
▪ Technical procedures (e.g., ITIL change enablement) are utilized along with change management governance capabilities (e.g., Change Advisory Board (CAB)) to ensure successful, efficient and secure change management operations.
▪ 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 CHG 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 automatically implement remediation actions upon the detection of unauthorized baseline configurations change(s).
Level 4 Quantitatively Controlled
Change Management (CHG) 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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Cryptographic Management
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Description
Mechanisms exist to govern assets involved in providing cryptographic protections according to the organization's configuration management processes.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Document and approve changes before making them
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Change request form
∙ Change approval process
∙ Change log
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal change management process (ITIL-aligned)
∙ CAB
∙ Rollback procedures
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise change management platform (e.g., ServiceNow)
∙ Formal CAB
∙ Change risk assessment
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise change management platform (ServiceNow, Jira)
∙ Formal CAB
∙ Automated CI/CD change controls
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
Change Management (CHG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CHG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Change management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Change Management (CHG) 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 CHG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CHG 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 CHG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Change management-related controls are primarily administrative and preventative in nature (e.g., policies, standards, procedures & guidelines).
▪ Change management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Business stakeholders and process owners ensure changes to Technology Assets, Applications and/or Services (TAAS) within the System Development Lifecycle (SDLC) are controlled through formal change control procedures.
Level 3 Well Defined
Change Management (CHG) 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 CHG 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 CHG domain capabilities are well-documented and kept current by process owners.
▪ A centralized Change Management Office (CMO), or similar function, is appropriately staffed and supported to implement and maintain CHG domain capabilities.
▪ Technical procedures (e.g., ITIL change enablement) are utilized along with change management governance capabilities (e.g., Change Advisory Board (CAB)) to ensure successful, efficient and secure change management operations.
▪ 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 CHG 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 govern assets involved in providing cryptographic protections according to the organization's configuration management processes.
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 Referenzen
1.2 Identifizierte Anforderungen
1.3 Related Regulations
2. Identifizierte Anforderungen
Anforderungen
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Anforderung |
3. Related Regulations
Regulations
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Regulierung |
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DORA
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DORA Ch. II Sec. II Art. 9 4.
4. As part of the ICT risk management framework referred to in Article 6(1), financial entities shall:
- (a) develop and document an information security policy defining rules to protect the availability, authenticity, integrity and confidentiality of data, information assets and ICT assets, including those of their customers, where applicable;
- (b) following a risk-based approach, establish a sound network and infrastructure management structure using appropriate techniques, methods and protocols that may include implementing automated mechanisms to isolate affected information assets in the event of cyber-attacks;
- For the purposes of the first subparagraph, point (b), financial entities shall design the network connection infrastructure in a way that allows it to be instantaneously severed or segmented in order to minimise and prevent contagion, especially for interconnected financial processes.
- (c) implement policies that limit the physical or logical access to information assets and ICT assets to what is required for legitimate and approved functions and activities only, and establish to that end a set of policies, procedures and controls that address access rights and ensure a sound administration thereof;
- (d) implement policies and protocols for strong authentication mechanisms, based on relevant standards and dedicated control systems, and protection measures of cryptographic keys whereby data is encrypted based on results of approved data classification and ICT risk assessment processes;
- (e) implement documented policies, procedures and controls for ICT change management, including changes to software, hardware, firmware components, systems or security parameters, that are based on a risk assessment approach and are an integral part of the financial entity’s overall change management process, in order to ensure that all changes to ICT systems are recorded, tested, assessed, approved, implemented and verified in a controlled manner;
- For the purposes of the first subparagraph, point (e), the ICT change management process shall be approved by appropriate lines of management and shall have specific protocols in place.
- (f) have appropriate and comprehensive documented policies for patches and updates.
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Linked Issues
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"The SCF is the Common Controls Framework™ (CCF), the world's most comprehensive cybersecurity and data privacy metaframework - it is also free to use. The entire concept is building secure, compliant and resilient capabilities in the most efficient and cost-effective manner possible.
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