+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. Forbhreathnú
1.1 Tagairtí
1.2 Ceanglais aitheanta
1.3 Rialacháin ghaolmhara
2. Ceanglais aitheanta
Ceanglais
| Foinse |
Ceanglas |
3. Rialacháin ghaolmhara
Rialacháin
| Foinse |
Rialáil |
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EULAW
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Airteagal 3 Bainistíocht riosca TFC
Airteagal 3
Déanfaidh eintitis airgeadais beartais agus nósanna imeachta bainistíochta riosca TFC a fhorbairt, a dhoiciméadú agus a chur chun feidhme ina mbeidh na nithe uile seo a leanas:
(a)
léiriú ar fhormheas an leibhéil lamháltais riosca i leith riosca TFC a leagtar síos i gcomhréir le hAirteagal 6(8), pointe (b), de Rialachán (AE) 2022/2554;
(b)
nós imeachta agus modheolaíocht chun an measúnú riosca TFC a dhéanamh, lena sainaithnítear:
(i)
leochaileachtaí agus bagairtí a dhéanann difear, nó a d’fhéadfadh difear a dhéanamh, d’fheidhmeanna gnó a dtacaítear leo, do na córais TFC agus do shócmhainní TFC lena dtacaítear leis na feidhmeanna sin;
(ii)
na táscairí cainníochtúla nó cáilíochtúla chun tionchar agus dóchúlacht na leochaileachtaí agus na mbagairtí dá dtagraítear i bpointe (i) a thomhas;
(c)
an nós imeachta chun bearta láimhseála riosca TFC a shainaithint, a chur chun feidhme agus a dhoiciméadú i ndáil leis na rioscaí TFC a shainaithnítear agus a ndéantar measúnú orthu, lena n-áirítear cinneadh na mbeart láimhseála riosca TFC a bhfuil gá leo chun riosca TRC a chur i gcomhréir leis an leibhéal lamháltais riosca dá dtagraítear i bpointe (a);
(d)
i gcás na rioscaí TFC iarmharacha atá fós ann tar éis chur chun feidhme na mbeart láimhseála riosca TFC dá dtagraítear i bpointe (c):
(i)
forálacha maidir le sainaithint na rioscaí TFC iarmharacha sin;
(ii)
róil agus freagrachtaí a shannadh maidir leis na nithe seo a leanas:
(1)
glacadh le rioscaí TFC iarmharacha a sháraíonn leibhéal lamháltais riosca an eintitis airgeadais dá dtagraítear i bpointe (a);
(2)
i gcás an phróisis athbhreithnithe dá dtagraítear i bpointe (iv) den phointe seo (d);
(iii)
fardal de na rioscaí TFC iarmharacha a fhorbairt, lena n-áirítear an t-údar le glacadh leo;
(iv)
forálacha maidir leis an athbhreithniú, uair amháin sa bhliain ar a laghad, ar na rioscaí TFC iarmharacha a nglactar leo, lena n-áirítear:
(1)
sainaithint aon athraithe ar na rioscaí TFC iarmharacha;
(2)
measúnú ar bhearta maolaithe atá ar fáil;
(3)
measúnú ar cé acu atá nó nach bhfuil na cúiseanna a thugann údar le glacadh leis na rioscaí TFC iarmharacha fós bailí agus infheidhme ar dháta an athbhreithnithe;
(e)
forálacha maidir le faireachán ar na nithe seo a leanas:
(i)
aon athrú ar an riosca TFC agus ar an tírdhreach cibearbhagartha;
(ii)
leochaileachtaí agus bagairtí inmheánacha agus seachtracha;
(iii)
riosca TFC an eintitis airgeadais lena gcumasaítear brath athruithe go pras a d’fhéadfadh difear a dhéanamh dá phróifíl riosca TFC;
(f)
forálacha maidir le próiseas lena n-áirithítear go gcuirfear aon athrú ar straitéis gnó agus straitéis athléimneachta digití oibríochtúla an eintitis airgeadais san áireamh.
Chun críocha na chéad fhomhíre, pointe (c), áiritheoidh an nós imeachta dá dtagraítear sa phointe sin:
(a)
go ndéanfar faireachán ar éifeachtacht na mbeart láimhseála riosca TFC a chuirtear chun feidhme;
(b)
go ndéanfar measúnú ar cé acu atá nó nach bhfuil leibhéil lamháltais riosca bhunaithe an eintitis airgeadais bainte amach;
(c)
go ndéanfar measúnú ar cé acu a rinne nó nach ndearna an t-eintiteas airgeadais gníomhaíochtaí chun feabhas a chur ar na bearta sin i gcás inar gá.
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EULAW
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Airteagal 3 Bainistíocht riosca TFC
Airteagal 3
Déanfaidh eintitis airgeadais beartais agus nósanna imeachta bainistíochta riosca TFC a fhorbairt, a dhoiciméadú agus a chur chun feidhme ina mbeidh na nithe uile seo a leanas:
(a)
léiriú ar fhormheas an leibhéil lamháltais riosca i leith riosca TFC a leagtar síos i gcomhréir le hAirteagal 6(8), pointe (b), de Rialachán (AE) 2022/2554;
(b)
nós imeachta agus modheolaíocht chun an measúnú riosca TFC a dhéanamh, lena sainaithnítear:
(i)
leochaileachtaí agus bagairtí a dhéanann difear, nó a d’fhéadfadh difear a dhéanamh, d’fheidhmeanna gnó a dtacaítear leo, do na córais TFC agus do shócmhainní TFC lena dtacaítear leis na feidhmeanna sin;
(ii)
na táscairí cainníochtúla nó cáilíochtúla chun tionchar agus dóchúlacht na leochaileachtaí agus na mbagairtí dá dtagraítear i bpointe (i) a thomhas;
(c)
an nós imeachta chun bearta láimhseála riosca TFC a shainaithint, a chur chun feidhme agus a dhoiciméadú i ndáil leis na rioscaí TFC a shainaithnítear agus a ndéantar measúnú orthu, lena n-áirítear cinneadh na mbeart láimhseála riosca TFC a bhfuil gá leo chun riosca TRC a chur i gcomhréir leis an leibhéal lamháltais riosca dá dtagraítear i bpointe (a);
(d)
i gcás na rioscaí TFC iarmharacha atá fós ann tar éis chur chun feidhme na mbeart láimhseála riosca TFC dá dtagraítear i bpointe (c):
(i)
forálacha maidir le sainaithint na rioscaí TFC iarmharacha sin;
(ii)
róil agus freagrachtaí a shannadh maidir leis na nithe seo a leanas:
(1)
glacadh le rioscaí TFC iarmharacha a sháraíonn leibhéal lamháltais riosca an eintitis airgeadais dá dtagraítear i bpointe (a);
(2)
i gcás an phróisis athbhreithnithe dá dtagraítear i bpointe (iv) den phointe seo (d);
(iii)
fardal de na rioscaí TFC iarmharacha a fhorbairt, lena n-áirítear an t-údar le glacadh leo;
(iv)
forálacha maidir leis an athbhreithniú, uair amháin sa bhliain ar a laghad, ar na rioscaí TFC iarmharacha a nglactar leo, lena n-áirítear:
(1)
sainaithint aon athraithe ar na rioscaí TFC iarmharacha;
(2)
measúnú ar bhearta maolaithe atá ar fáil;
(3)
measúnú ar cé acu atá nó nach bhfuil na cúiseanna a thugann údar le glacadh leis na rioscaí TFC iarmharacha fós bailí agus infheidhme ar dháta an athbhreithnithe;
(e)
forálacha maidir le faireachán ar na nithe seo a leanas:
(i)
aon athrú ar an riosca TFC agus ar an tírdhreach cibearbhagartha;
(ii)
leochaileachtaí agus bagairtí inmheánacha agus seachtracha;
(iii)
riosca TFC an eintitis airgeadais lena gcumasaítear brath athruithe go pras a d’fhéadfadh difear a dhéanamh dá phróifíl riosca TFC;
(f)
forálacha maidir le próiseas lena n-áirithítear go gcuirfear aon athrú ar straitéis gnó agus straitéis athléimneachta digití oibríochtúla an eintitis airgeadais san áireamh.
Chun críocha na chéad fhomhíre, pointe (c), áiritheoidh an nós imeachta dá dtagraítear sa phointe sin:
(a)
go ndéanfar faireachán ar éifeachtacht na mbeart láimhseála riosca TFC a chuirtear chun feidhme;
(b)
go ndéanfar measúnú ar cé acu atá nó nach bhfuil leibhéil lamháltais riosca bhunaithe an eintitis airgeadais bainte amach;
(c)
go ndéanfar measúnú ar cé acu a rinne nó nach ndearna an t-eintiteas airgeadais gníomhaíochtaí chun feabhas a chur ar na bearta sin i gcás inar gá.
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EULAW
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Airteagal 27 Formáid agus ábhar na tuarascála ar an athbhreithniú ar an gcreat bainistíochta riosca TFC
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Saincheisteanna nasctha
- Secure Controls Framework -
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