+Airteagal 41 Sonraíochtaí coiteanna
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Airteagal 41 Sonraíochtaí coiteanna

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1. Forbhreathnú

,
Airteagal 41 1.

Féadfaidh an Coimisiún gníomhartha cur chun feidhme a ghlacadh lena mbunaítear sonraíochtaí coiteanna le haghaidh na gceanglas a leagtar amach i Roinn 2 den Chaibidil seo nó, de réir mar is infheidhme, le haghaidh na n-oibleagáidí a leagtar amach i Ranna 2 agus 3 de Chaibidil V i gcás inar comhlíonadh na coinníollacha seo a leanas:

(a) 

gur iarr an Coimisiún, de bhun Airteagal 10(1) de Rialachán (AE) Uimh. 1025/2012, ar cheann amháin nó níos mó d’eagraíochtaí Eorpacha um chaighdeánú caighdeán comhchuibhithe a dhréachtú le haghaidh na gceanglas a leagtar amach i Roinn 2 den Chaibidil seo, nó, de réir mar is infheidhme, le haghaidh na n-oibleagáidí a leagtar amach i Ranna 2 agus 3 de Chaibidil V, agus:

(i) 

nár ghlac aon cheann de na heagraíochtaí Eorpacha um chaighdeánú leis an iarraidh; nó

(ii) 

nach ndéantar na caighdeáin chomhchuibhithe lena dtugtar aghaidh ar an iarraidh sin a sholáthar laistigh den sprioc-am a leagtar síos i gcomhréir le hAirteagal 10(1) de Rialachán (AE) Uimh. 1025/2012; nó

(iii) 

nach dtugtar aghaidh go leordhóthanach leis na caighdeáin chomhchuibhithe ábhartha ar ábhair imní maidir le cearta bunúsacha; nó

(iv) 

nach gcomhlíonann na caighdeáin chomhchuibhithe an iarraidh; agus

(b) 

nár foilsíodh aon tagairt do chaighdeáin chomhchuibhithe lena gcumhdaítear na ceanglais dá dtagraítear i Roinn 2 den Chaibidil seo, nó, de réir mar is infheidhme, na hoibleagáidí dá dtagraítear i Ranna 2 agus 3 de Chaibidil V in Iris Oifigiúil an Aontais Eorpaigh i gcomhréir le Rialachán (AE) Uimh. 1025/2012 agus nach meastar go bhfoilseofar aon tagairt den sórt sin laistigh de thréimhse réasúnta.

Agus na sonraíochtaí coiteanna á ndréachtú aige, rachaidh an Coimisiún i gcomhairle leis an bhfóram comhairleach dá dtagraítear in Airteagal 67.

Déanfar na gníomhartha cur chun feidhme dá dtagraítear sa chéad fhomhír den mhír seo a ghlacadh i gcomhréir leis an nós imeachta scrúdúcháin dá dtagraítear in Airteagal 98(2).
Airteagal 41 2.
Sula n-ullmhóidh an Coimisiún dréachtghníomh cur chun feidhme, cuirfidh sé in iúl don choiste dá dtagraítear in Airteagal 22 de Rialachán (AE) Uimh. 1025/2012 go measann sé na coinníollacha atá leagtha síos i mír 1 den Airteagal seo a bheith comhlíonta.
Airteagal 41 3.
Maidir le córais intleachta saorga ardriosca nó samhlacha intleachta saorga ilchuspóireacha atá i gcomhréir leis na sonraíochtaí coiteanna dá dtagraítear i mír 1, nó le codanna de na sonraíochtaí sin, toimhdeofar iad a bheith i gcomhréir leis na ceanglais a leagtar amach i Roinn 2 den Chaibidil seo nó, de réir mar is infheidhme, i gcomhréir leis na hoibleagáidí dá dtagraítear i Ranna 2 agus 3 de Chaibidil V, a mhéid a chumhdaítear na ceanglais nó na hoibleagáidí sin leis na sonraíochtaí coiteanna sin.
Airteagal 41 4.
I gcás ina nglacfaidh eagraíocht Eorpach um chaighdeánú caighdeán comhchuibhithe agus ina molfaidh sí don Choimisiún a thagairt a fhoilsiú in Iris Oifigiúil an Aontais Eorpaigh, déanfaidh an Coimisiún measúnú ar an gcaighdeán comhchuibhithe i gcomhréir le Rialachán (AE) Uimh. 1025/2012. Nuair a fhoilseofar tagairt do chaighdeán comhchuibhithe in Iris Oifigiúil an Aontais Eorpaigh, aisghairfidh an Coimisiún na gníomhartha cur chun feidhme dá dtagraítear i mír 1, nó codanna díobh, lena gcumhdaítear na ceanglais chéanna a leagtar amach i Roinn 2 den Chaibidil seo nó, de réir mar is infheidhme, na hoibleagáidí céanna a leagtar amach i Ranna 2 agus 3 de Chaibidil V.
Airteagal 41 5.
I gcás nach gcomhlíonann soláthraithe córas intleachta saorga ardriosca nó samhlacha intleachta saorga ilchuspóireacha na sonraíochtaí coiteanna dá dtagraítear i mír 1, léireoidh siad go cuí gur ghlac siad réitigh theicniúla lena gcomhlíontar na ceanglais dá dtagraítear i Roinn 2 den Chaibidil seo nó, de réir mar is infheidhme, na hoibleagáidí a leagtar amach i Ranna 2 agus 3 de Chaibidil V go leibhéal atá coibhéiseach leo ar a laghad.
Airteagal 41 6.
I gcás ina measann Ballstát nach gcomhlíonann sonraíocht choiteann na ceanglais a leagtar amach i Roinn 2 nó, de réir mar is infheidhme, na hoibleagáidí a leagtar amach i Ranna 2 agus 3 de Chaibidil V ina n-iomláine, cuirfidh sé an Coimisiún ar an eolas faoi sin le míniú mionsonraithe. Déanfaidh an Coimisiún measúnú ar an eolas sin agus, i gcás inarb iomchuí, déanfaidh sé an gníomh cur chun feidhme lena mbunaítear an tsonraíocht choiteann lena mbaineann a leasú.

1.1 Tagairtí

1.2 Ceanglais aitheanta

1.3 Caighdeáin ghaolmhara

2. Ceanglais aitheanta

Ceanglais

3. Caighdeáin ghaolmhara

Caighdeáin
SCF Non-Conformity Oversight

Description

Mechanisms exist to identify and document instances of non-conformity with statutory, regulatory and/or contractual obligations, in order to develop appropriate risk mitigation actions.

Possible Solutions & Considerations

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

∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)

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

∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)

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

∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)

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

∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)

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

∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.)

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

Compliance (CPL) 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 CPL domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CPL 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 CPL domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Compliance management controls-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Compliance management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ External compliance requirements for cybersecurity and data privacy are identified and documented, based on applicable laws, regulations and contractual obligations.
▪ IT and/or cybersecurity perform an informal annual review of existing compliance requirements and research evolving or new requirements.

Level 3 Well Defined

Compliance (CPL) 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 CPL 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 CPL domain capabilities are well-documented and kept current by process owners.
▪ A Governance, Risk & Compliance (GRC) team, or similar function, is appropriately staffed and supported to implement and maintain CPL domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of governance, risk management and compliance operations (e.g., GRC platform).
▪ 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 CPL 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 document and review instances of non-compliance with statutory, regulatory and/or contractual obligations to develop appropriate risk mitigation actions.

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.