+Risk Treatment Options
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Risk Treatment Options
Description
Mechanisms exist to select appropriate risk treatment options, based on applicable risk assessment findings, including:
(1) Mitigating the risk to an acceptable level;
(2) Avoiding the risk (e.g., terminating the project);
(3) Transferring the risk to a third party (e.g., insurance and service provider); or
(4) Accepting the risk.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Risk response decision policy (accept, mitigate, transfer, avoid)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Risk response decision policy (accept, mitigate, transfer, avoid)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal risk response options policy
∙ Documented criteria for each risk response type
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise risk response framework
∙ Risk committee decision-making process
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise GRC platform with risk response workflows
∙ Formal risk appetite and tolerance framework
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
Risk Management (RSK) 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 RSK domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with RSK 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 RSK domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Risk management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Risk management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ IT and/or cybersecurity personnel implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported.
▪ Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization's published policies and standards, including the identification, remediation and reporting of risks.
▪ Business process owners (BPOs) are made aware of cybersecurity and data protection risk(s).
Level 3 Well Defined
Risk Management (RSK) 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 RSK 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 RSK domain capabilities are well-documented and kept current by process owners.
▪ A risk management team, or similar function, is appropriately staffed and supported to implement and maintain RSK domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of risk management operations (e.g., risk management solution, GRC platform and TPRM tool).
▪ 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 RSK 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 select appropriate risk treatment options, based on applicable risk assessment findings.
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. Oversigt
1.1 Referencer
1.2 Identificerede krav
1.3 Relaterede reguleringer
2. Identificerede krav
3. Relaterede reguleringer
Reguleringer
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Regulering |
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EULAW
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Artikel 3 IKT-risikostyring
Artikel 3
Finansielle enheder udvikler, dokumenterer og gennemfører IKT-risikostyringspolitikker og -procedurer, som skal indeholde alle følgende:
a)
en angivelse af godkendelsen af det risikotoleranceniveau for IKT-risiko, der er fastsat i overensstemmelse med artikel 6, stk. 8, litra b), i forordning (EU) 2022/2554
b)
en procedure for og metode til gennemførelse af IKT-risikovurdering, der identificerer:
i)
sårbarheder og trusler, der påvirker eller kan påvirke de understøttede forretningsfunktioner, IKT-systemer og IKT-aktiver, der understøtter disse funktioner
ii)
de kvantitative eller kvalitative indikatorer til måling af indvirkningen af og sandsynligheden for de sårbarheder og trusler, der er omhandlet i nr. i)
c)
proceduren for identifikation, gennemførelse og dokumentation af foranstaltninger til IKT-risikobehandling med henblik på de identificerede og vurderede IKT-risici, herunder fastlæggelse af de foranstaltninger til IKT-risikobehandling, der er nødvendige for, at IKT-risikoen holdes inden for det risikotoleranceniveau, der er omhandlet i litra a)
d)
for de resterende IKT-risici, der stadig er til stede efter gennemførelsen af de foranstaltninger til IKT-risikobehandling, der er omhandlet i litra c):
i)
bestemmelser om identifikation af disse resterende IKT-risici
ii)
tildeling af roller og ansvarsområder vedrørende:
1)
accepten af de resterende IKT-risici, der overskrider den finansielle enheds risikotoleranceniveau, jf. litra a),
2)
den proces for gennemgang, der er omhandlet i dette litra d), nr. iv)
iii)
udarbejdelse af en fortegnelse over de accepterede resterende IKT-risici, herunder en begrundelse for accepten heraf
iv)
bestemmelser om gennemgangen af de accepterede resterende IKT-risici mindst én gang om året, herunder:
1)
identifikation af eventuelle ændringer i de resterende IKT-risici
2)
vurderingen af tilgængelige afbødende foranstaltninger
3)
vurderingen af, om begrundelserne for accept af resterende IKT-risici stadig er gyldige og gældende på datoen for gennemgangen
e)
bestemmelser om overvågning af:
i)
eventuelle ændringer i IKT-risikoen og cybertrusselsbilledet
ii)
interne og eksterne sårbarheder og trusler:
iii)
den finansielle enheds IKT-risiko, der muliggør hurtig detektion af ændringer, der kan påvirke dens IKT-risikoprofil
f)
bestemmelser om en proces, der skal sikre, at der tages hensyn til eventuelle ændringer af den finansielle enheds forretningsstrategi og strategi for digital operationel modstandsdygtighed.
Med henblik på stk. 1, litra c), skal den procedure, der er omhandlet i nævnte litra, sikre:
a)
overvågning, om de gennemførte foranstaltninger til IKT-risikobehandling er effektive
b)
vurdering af, om den finansielle enheds fastsatte risikotoleranceniveauer er nået
c)
vurdering af, om den finansielle enhed har truffet foranstaltninger til at korrigere eller forbedre disse foranstaltninger, hvis det er nødvendigt.
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EULAW
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Artikel 3 IKT-risikostyring
Artikel 3
Finansielle enheder udvikler, dokumenterer og gennemfører IKT-risikostyringspolitikker og -procedurer, som skal indeholde alle følgende:
a)
en angivelse af godkendelsen af det risikotoleranceniveau for IKT-risiko, der er fastsat i overensstemmelse med artikel 6, stk. 8, litra b), i forordning (EU) 2022/2554
b)
en procedure for og metode til gennemførelse af IKT-risikovurdering, der identificerer:
i)
sårbarheder og trusler, der påvirker eller kan påvirke de understøttede forretningsfunktioner, IKT-systemer og IKT-aktiver, der understøtter disse funktioner
ii)
de kvantitative eller kvalitative indikatorer til måling af indvirkningen af og sandsynligheden for de sårbarheder og trusler, der er omhandlet i nr. i)
c)
proceduren for identifikation, gennemførelse og dokumentation af foranstaltninger til IKT-risikobehandling med henblik på de identificerede og vurderede IKT-risici, herunder fastlæggelse af de foranstaltninger til IKT-risikobehandling, der er nødvendige for, at IKT-risikoen holdes inden for det risikotoleranceniveau, der er omhandlet i litra a)
d)
for de resterende IKT-risici, der stadig er til stede efter gennemførelsen af de foranstaltninger til IKT-risikobehandling, der er omhandlet i litra c):
i)
bestemmelser om identifikation af disse resterende IKT-risici
ii)
tildeling af roller og ansvarsområder vedrørende:
1)
accepten af de resterende IKT-risici, der overskrider den finansielle enheds risikotoleranceniveau, jf. litra a),
2)
den proces for gennemgang, der er omhandlet i dette litra d), nr. iv)
iii)
udarbejdelse af en fortegnelse over de accepterede resterende IKT-risici, herunder en begrundelse for accepten heraf
iv)
bestemmelser om gennemgangen af de accepterede resterende IKT-risici mindst én gang om året, herunder:
1)
identifikation af eventuelle ændringer i de resterende IKT-risici
2)
vurderingen af tilgængelige afbødende foranstaltninger
3)
vurderingen af, om begrundelserne for accept af resterende IKT-risici stadig er gyldige og gældende på datoen for gennemgangen
e)
bestemmelser om overvågning af:
i)
eventuelle ændringer i IKT-risikoen og cybertrusselsbilledet
ii)
interne og eksterne sårbarheder og trusler:
iii)
den finansielle enheds IKT-risiko, der muliggør hurtig detektion af ændringer, der kan påvirke dens IKT-risikoprofil
f)
bestemmelser om en proces, der skal sikre, at der tages hensyn til eventuelle ændringer af den finansielle enheds forretningsstrategi og strategi for digital operationel modstandsdygtighed.
Med henblik på stk. 1, litra c), skal den procedure, der er omhandlet i nævnte litra, sikre:
a)
overvågning, om de gennemførte foranstaltninger til IKT-risikobehandling er effektive
b)
vurdering af, om den finansielle enheds fastsatte risikotoleranceniveauer er nået
c)
vurdering af, om den finansielle enhed har truffet foranstaltninger til at korrigere eller forbedre disse foranstaltninger, hvis det er nødvendigt.
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EULAW
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Artikel 27 Format og indhold af rapporten om gennemgangen af rammen for IKT-risikostyring
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Linkede sager
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