+Strategic Plan & Objectives

Strategic Plan & Objectives

Description

Mechanisms exist to establish a:
(1) Strategic security, compliance and resilience-specific business plan; and
(2) Set of objectives to achieve that plan.

Possible Solutions & Considerations

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

∙ Include security tasks in project plans

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

∙ Security requirements in project planning
∙ Project security checklist

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

∙ Documented cybersecurity and data protection-specific business plan

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

∙ Documented cybersecurity and data protection-specific business plan

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

∙ Documented cybersecurity and data protection-specific business plan

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

Project & Resource Management (PRM) 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 PRM domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRM 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 PRM domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Project & Resource Management -related controls are primarily administrative and preventative in nature (e.g., policies, standards, procedures & guidelines).
▪ Project & Resource 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 Chief Information Officer (CIO), or similar function, analyzes the organization's business strategy and prioritizes the objectives and resourcing of the security function, based on broader business requirements.
▪ A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity and data protection-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.
▪ Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity and data protection program.

Level 3 Well Defined

Project & Resource Management (PRM) 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 PRM 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 PRM domain capabilities are well-documented and kept current by process owners.
▪ A Project Management Office (PMO), or similar function, is appropriately staffed and supported to implement and maintain PRM domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of project and resource management operations (e.g., project management solution, etc.).
▪ 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 PRM 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).
▪ The Chief Information Officer (CIO), or similar function, analyzes the organization's business strategy and prioritizes the objectives and resourcing of the security function, based on broader business requirements.
▪ An implemented and operational capability exists to establish a:
(1) Strategic security, compliance and resilience-specific business plan; and
(2) Set of objectives to achieve that plan.

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.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Regulations

2. Identified Requirements

Requirements

3. Related Regulations

Regulations
DORA DORA Ch. II Sec. II Art. 6 8.

8.   The ICT risk management framework shall include a digital operational resilience strategy setting out how the framework shall be implemented. To that end, the digital operational resilience strategy shall include methods to address ICT risk and attain specific ICT objectives, by:

  • (a) explaining how the ICT risk management framework supports the financial entity’s business strategy and objectives;
  • (b) establishing the risk tolerance level for ICT risk, in accordance with the risk appetite of the financial entity, and analysing the impact tolerance for ICT disruptions;
  • (c) setting out clear information security objectives, including key performance indicators and key risk metrics;
  • (d) explaining the ICT reference architecture and any changes needed to reach specific business objectives;
  • (e) outlining the different mechanisms put in place to detect ICT-related incidents, prevent their impact and provide protection from it;
  • (f) evidencing the current digital operational resilience situation on the basis of the number of major ICT-related incidents reported and the effectiveness of preventive measures;
  • (g) implementing digital operational resilience testing, in accordance with Chapter IV of this Regulation;
  • (h) outlining a communication strategy in the event of ICT-related incidents the disclosure of which is required in accordance with Article 14.

Linked Issues

Issuelinks
is related to Annual
is related to relative Control Weighting = 05
is related to Process
is related to Identify
is related to SCRM Focus Tier 1 STRATEGIC
blocks Business interruption
blocks Data loss / corruption
blocks Reduction in productivity
blocks Information loss / corruption or system compromise due to technical attack
blocks Information loss / corruption or system compromise due to non‐technical attack
blocks Unmitigated vulnerabilities
blocks Inability to support business processes
blocks Incorrect controls scoping
blocks Lack of roles & responsibilities
blocks Inadequate internal practices
blocks Inadequate third-party practices
blocks Lack of oversight of internal controls
blocks Lack of oversight of third-party controls
blocks Inability to investigate / prosecute incidents
blocks Expense associated with managing a loss event
blocks Third-party cybersecurity exposure
blocks Third-party physical security exposure
blocks Third-party supply chain relationships, visibility and controls
blocks Third-party compliance / legal exposure
blocks Use of product / service
blocks Reliance on the third-party
  • Secure Controls Framework -

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