+Status Reporting To Governing Body

Status Reporting To Governing Body

Description

Mechanisms exist to provide governance oversight reporting and recommendations enabling executives to make decisions about matters considered material to the organization's Security, Compliance & Resilience Program (SCRP).

Possible Solutions & Considerations

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

∙ Quarterly Business Review (QBR)
∙ Simple security status dashboard (spreadsheet or slide deck)
∙ Email status updates to owner/manager

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

∙ Quarterly Business Review (QBR)
∙ Structured security metrics report (incidents, patching status, training completion)
∙ Documented reporting cadence

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

∙ Quarterly Business Review (QBR)
∙ Formal security status reports to leadership
∙ KPI/KRI dashboard (e.g., Power BI, Tableau, or GRC tool reporting)

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

∙ Quarterly Business Review (QBR)
∙ Executive security dashboard with KPIs/KRIs
∙ Board-level reporting on material risk indicators
∙ Automated reporting via GRC platform

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

∙ Quarterly Business Review (QBR)
∙ Board and audit committee cybersecurity briefings
∙ Integrated GRC dashboard with real-time metrics
∙ SEC cybersecurity disclosure-ready reporting processes (if applicable)

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

Cybersecurity & Data Protection Governance (GOV) 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 GOV domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with GOV 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 GOV domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Governance-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT and/or cybersecurity personnel.
▪ Organizational leadership maintains an informal process to review and respond to trends.

Level 3 Well Defined

Cybersecurity & Data Protection Governance (GOV) 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 GOV 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 GOV domain capabilities are well-documented and kept current by process owners.
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, is appropriately staffed and supported to implement and maintain GOV 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).
▪ Technology is leveraged to enhance the efficiency and accuracy of governance, risk management and compliance operations (e.g., GRC platform).
▪ An implemented and operational capability exists to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization's Security, Compliance & Resilience Program (SCRP).

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. Apžvalga

1.1 Nuorodos

1.2 Nustatyti reikalavimai

1.3 Susiję teisės aktai

2. Nustatyti reikalavimai

Reikalavimai

3. Susiję teisės aktai

Teisės aktai
EULAW 15 straipsnis IRT projektų valdymas
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EULAW 25 straipsnis IRT veiklos tęstinumo planų testavimas
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EULAW 27 straipsnis IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 27 straipsnis IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 28 straipsnis Valdymas ir organizavimas
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EULAW 40 straipsnis Veiklos tęstinumo planų testavimas
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 41 straipsnis Supaprastintos IRT rizikos valdymo sistemos peržiūros ataskaitos turinys ir forma
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EULAW 5 straipsnis Valdymas ir organizavimas
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EULAW 13 straipsnis Mokymasis ir tobulėjimas
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EULAW 5 straipsnis 2

2.   Finansų sektoriaus subjekto valdymo organas nustato, tvirtina, prižiūri visų priemonių, susijusių su 6 straipsnio 1 dalyje nurodyta IRT rizikos valdymo sistema, įgyvendinimą ir už jį atsako.

Taikant pirmą pastraipą, valdymo organas:

a)

prisiima galutinę atsakomybę už finansų sektoriaus subjekto IRT rizikos valdymą;

b)

nustato politiką, kuria siekiama užtikrinti, kad būtų išlaikyti aukšti duomenų prieinamumo, autentiškumo, vientisumo ir konfidencialumo standartai;

c)

nustato aiškius visų su IRT susijusių funkcijų vaidmenis ir atsakomybę ir nustato tinkamas valdymo priemones, kad būtų užtikrintas veiksmingas ir laiku vykdomas tų funkcijų tarpusavio komunikavimas, bendradarbiavimas ir koordinavimas;

d)

prisiima bendrą atsakomybę už tai, kad būtų nustatyta ir patvirtinta 6 straipsnio 8 dalyje nurodyta skaitmeninės veiklos atsparumo strategija, įskaitant atitinkamo finansų sektoriaus subjektui priimtino IRT rizikos lygmens nustatymą, kaip nurodyta 6 straipsnio 8 dalies b punkte;

e)

tvirtina, prižiūri ir periodiškai peržiūri finansų sektoriaus subjekto IRT veiklos tęstinumo politiką ir IRT reagavimo ir veiklos atkūrimo planus, kurie atitinkamai nurodyti 11 straipsnio 1 ir 3 dalyse, įgyvendinimą; ši politika ir planai gali būti priimti kaip speciali specifinė politika, sudaranti neatsiejamą finansų sektoriaus subjekto bendros veiklos tęstinumo politikos ir reagavimo bei veiklos atkūrimo plano dalį;

f)

tvirtina ir periodiškai peržiūri finansų sektoriaus subjekto IRT vidaus audito planus, IRT auditus ir jų esminius pakeitimus;

g)

paskirsto ir periodiškai peržiūri atitinkamą biudžetą, kad būtų tenkinami finansų sektoriaus subjekto skaitmeninės veiklos atsparumo poreikiai, susiję su visų rūšių ištekliais, įskaitant atitinkamas informuotumo apie IRT saugumą programas ir skaitmeninės veiklos atsparumo mokymą, nurodytus 13 straipsnio 6 dalyje, taip pat visų darbuotojų IRT įgūdžius;

h)

tvirtina ir periodiškai peržiūri finansų sektoriaus subjekto politiką dėl susitarimų, susijusių su IRT paslaugas teikiančių trečiųjų šalių teikiamų IRT paslaugų naudojimu;

i)

įdiegia įmonės lygmeniu pranešimų teikimo kanalus, kad galėtų būti tinkamai informuojamas apie:

i)

susitarimus, sudarytus su IRT paslaugas teikiančiomis trečiosiomis šalimis dėl IRT paslaugų naudojimo,

ii)

visus atitinkamus planuojamus esminius pokyčius, susijusius su IRT paslaugas teikiančiomis trečiosiomis šalimis,

iii)

galimą tokių pokyčių poveikį ypatingos svarbos arba svarbioms funkcijoms, dėl kurių sudaryti tokie susitarimai, įskaitant rizikos analizės santrauką, kad būtų galima įvertinti tų pokyčių poveikį, taip pat bent apie didelius su IRT susijusius incidentus bei jų poveikį ir apie reagavimo, veiklos atkūrimo ir taisomąsias priemones.
EULAW 13 straipsnis 5

5.   Vyresniosios grandies IRT darbuotojai bent kartą per metus valdymo organui praneša apie 3 dalyje nurodytus nustatytus pastebėjimus ir teikia rekomendacijas.

Susietos užduotys

Saitai
is related to Annual
is related to relative Control Weighting = 05
is related to Process
is related to Govern
is related to SCRM Focus Tier 1 STRATEGIC
is related to SCRM Focus Tier 2 OPERATIONAL
blocks Contractual Default / Termination
blocks Reputational Harm / Loss of Stakeholder Trust
blocks Regulatory / Legal / Contractual Financial Liability
blocks Failure to Achieve Strategic / Mission Objectives
blocks Loss of Authorization / Certification / License
blocks Failure to Support Business / Mission Objectives
blocks Unaddressed Security / Compliance Exposure
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Internal Security / Privacy Exposure
blocks Uncontrolled Third-Party Security / Privacy Exposure
blocks Lack of oversight of internal controls
blocks Lack of oversight of third-party controls
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Delayed Containment / Increased Incident Impact
blocks Drought & Water Shortage
blocks Earthquakes
blocks Fire & Wildfires
blocks Floods
blocks Hurricanes & Tropical Storms
blocks Landslides & Debris Flow
blocks Pandemic (Disease) Outbreaks
blocks Severe Weather
blocks Space Weather
blocks Thunderstorms & Lightning
blocks Tornadoes
blocks Tsunamis
blocks Volcanoes
blocks Winter Storms & Extreme Cold
blocks Dysfunctional Management Practices
blocks Human Error
blocks Statutory / Regulatory / Contractual Change
blocks Data Quality Degradation / Data Poisoning
blocks Fraud, Corruption and/or Intentional Criminal Conduct
blocks Conflict of Interest (COI) / Undue Influence / Insider Misconduct
blocks Economic Shock / Market Disruption
blocks Foreign Ownership, Control, or Influence (FOCI)
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks OIS-01.02B
blocks OIS-08.01AC
blocks BCM-01.04B
blocks COM-04.01B
blocks COM-04.02AC
is blocked by GOV-09.1 Status Reporting To Governing Body – Assessment Procedure
blocks 03.12.03 Continuous Monitoring
blocks GV.OV Oversight
blocks GV.OV-01 Cybersecurity risk management strategy outcomes are reviewed to inform and adjust strategy and direction
blocks GV.OV-03 Organizational cybersecurity risk management performance is evaluated and reviewed for adjustments needed
blocks GV.SC Cybersecurity Supply Chain Risk Management
blocks GV.SC-09 Supply chain security practices are integrated into cybersecurity and enterprise risk management programs, and their performance is monitored …
blocks ID IDENTIFY
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