+Risk Monitoring
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Risk Monitoring
Description
Mechanisms exist to monitor risk as an integral part of the continuous monitoring strategy, including:
(1) The effectiveness of security, compliance and resilience controls;
(2) Changes to the organization's risk profile; and
(3) Changes to Technology Assets, Applications and/or Services (TAAS) that affect risk.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Risk Management Program (RMP)
∙ Risk register
∙ Plan of Action & Milestones (POA&M)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Risk Management Program (RMP)
∙ Risk register
∙ Plan of Action & Milestones (POA&M)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Risk Management Program (RMP)
∙ Risk register
∙ Plan of Action & Milestones (POA&M)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Risk Management Program (RMP)
∙ Risk register
∙ Plan of Action & Milestones (POA&M)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Risk Management Program (RMP)
∙ Risk register
∙ Plan of Action & Milestones (POA&M)
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 ensure risk monitoring as an integral part of the continuous monitoring strategy that includes monitoring the effectiveness of security, compliance and resilience controls, compliance and change management.
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. Pregled
1.1 Sklici
1.2 Ugotovljene zahteve
1.3 Povezani predpisi
2. Ugotovljene zahteve
3. Povezani predpisi
Predpisi
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Regulativa |
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EULAW
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Člen 3 Obvladovanje tveganj na področju IKT
Člen 3
Obvladovanje tveganj na področju IKT
Finančni subjekti razvijejo, dokumentirajo in izvajajo politike in postopke za obvladovanje tveganj na področju IKT, ki vsebujejo vse naslednje:
(a)
navedbo odobritve tolerančne ravni tveganja za tveganje na področju IKT, določene v skladu s členom 6(8), točka (b), Uredbe (EU) 2022/2554;
(b)
postopek in metodologijo za izvedbo ocene tveganja na področju IKT, v katerih so opredeljeni:
(i)
ranljivosti in grožnje, ki vplivajo ali bi lahko vplivale na podprte poslovne funkcije, sisteme IKT in sredstva IKT, ki podpirajo te funkcije;
(ii)
kvantitativni ali kvalitativni kazalniki za merjenje učinka in verjetnosti ranljivosti in groženj iz točke (i);
(c)
postopek za opredelitev, izvajanje in dokumentiranje ukrepov za obravnavo tveganj na področju IKT za identificirana in ocenjena tveganja na področju IKT, vključno z določitvijo ukrepov za obravnavo tveganj na področju IKT, potrebnih za uskladitev tveganja na področju IKT s tolerančno ravnjo tveganja iz točke (a);
(d)
za preostala tveganja na področju IKT, ki so še vedno prisotna po izvajanju ukrepov za obravnavo tveganj na področju IKT iz točke (c):
(i)
določbe o identifikaciji teh preostalih tveganj na področju IKT;
(ii)
dodelitev vlog in odgovornosti v zvezi s:
(1)
sprejetjem preostalih tveganj na področju IKT, ki presegajo tolerančno raven tveganja finančnega subjekta iz točke (a);
(2)
postopkom pregleda iz točke (iv) te točke (d);
(iii)
pripravo popisa sprejetih preostalih tveganj na področju IKT, vključno z utemeljitvijo njihovega sprejetja;
(iv)
določbe o pregledu sprejetih preostalih tveganj na področju IKT vsaj enkrat letno, vključno z:
(1)
identifikacijo vseh sprememb preostalih tveganj na področju IKT;
(2)
oceno razpoložljivih blažilnih ukrepov;
(3)
oceno, ali so razlogi, ki upravičujejo sprejetje preostalih tveganj na področju IKT, še vedno veljavni in se uporabljajo na datum pregleda;
(e)
določbe o spremljanju:
(i)
vseh sprememb tveganja na področju IKT in okolja kibernetskih groženj;
(ii)
notranjih in zunanjih ranljivosti in groženj;
(iii)
tveganja finančnega subjekta na področju IKT, ki omogoča hitro odkrivanje sprememb, ki bi lahko vplivale na njegov profil tveganja na področju IKT;
(f)
določbe o postopku za zagotovitev, da se upoštevajo vse spremembe poslovne strategije in strategije za digitalno operativno odpornost finančnega subjekta.
Za namene prvega odstavka, točka (c), postopek iz navedene točke zagotavlja:
(a)
spremljanje učinkovitosti izvedenih ukrepov za obravnavo tveganj na področju IKT;
(b)
oceno, ali so bile dosežene določene tolerančne ravni tveganja finančnega subjekta;
(c)
oceno, ali je finančni subjekt sprejel ukrepe za popravek ali izboljšanje navedenih ukrepov, kadar je potrebno.
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EULAW
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Člen 3 Obvladovanje tveganj na področju IKT
Člen 3
Obvladovanje tveganj na področju IKT
Finančni subjekti razvijejo, dokumentirajo in izvajajo politike in postopke za obvladovanje tveganj na področju IKT, ki vsebujejo vse naslednje:
(a)
navedbo odobritve tolerančne ravni tveganja za tveganje na področju IKT, določene v skladu s členom 6(8), točka (b), Uredbe (EU) 2022/2554;
(b)
postopek in metodologijo za izvedbo ocene tveganja na področju IKT, v katerih so opredeljeni:
(i)
ranljivosti in grožnje, ki vplivajo ali bi lahko vplivale na podprte poslovne funkcije, sisteme IKT in sredstva IKT, ki podpirajo te funkcije;
(ii)
kvantitativni ali kvalitativni kazalniki za merjenje učinka in verjetnosti ranljivosti in groženj iz točke (i);
(c)
postopek za opredelitev, izvajanje in dokumentiranje ukrepov za obravnavo tveganj na področju IKT za identificirana in ocenjena tveganja na področju IKT, vključno z določitvijo ukrepov za obravnavo tveganj na področju IKT, potrebnih za uskladitev tveganja na področju IKT s tolerančno ravnjo tveganja iz točke (a);
(d)
za preostala tveganja na področju IKT, ki so še vedno prisotna po izvajanju ukrepov za obravnavo tveganj na področju IKT iz točke (c):
(i)
določbe o identifikaciji teh preostalih tveganj na področju IKT;
(ii)
dodelitev vlog in odgovornosti v zvezi s:
(1)
sprejetjem preostalih tveganj na področju IKT, ki presegajo tolerančno raven tveganja finančnega subjekta iz točke (a);
(2)
postopkom pregleda iz točke (iv) te točke (d);
(iii)
pripravo popisa sprejetih preostalih tveganj na področju IKT, vključno z utemeljitvijo njihovega sprejetja;
(iv)
določbe o pregledu sprejetih preostalih tveganj na področju IKT vsaj enkrat letno, vključno z:
(1)
identifikacijo vseh sprememb preostalih tveganj na področju IKT;
(2)
oceno razpoložljivih blažilnih ukrepov;
(3)
oceno, ali so razlogi, ki upravičujejo sprejetje preostalih tveganj na področju IKT, še vedno veljavni in se uporabljajo na datum pregleda;
(e)
določbe o spremljanju:
(i)
vseh sprememb tveganja na področju IKT in okolja kibernetskih groženj;
(ii)
notranjih in zunanjih ranljivosti in groženj;
(iii)
tveganja finančnega subjekta na področju IKT, ki omogoča hitro odkrivanje sprememb, ki bi lahko vplivale na njegov profil tveganja na področju IKT;
(f)
določbe o postopku za zagotovitev, da se upoštevajo vse spremembe poslovne strategije in strategije za digitalno operativno odpornost finančnega subjekta.
Za namene prvega odstavka, točka (c), postopek iz navedene točke zagotavlja:
(a)
spremljanje učinkovitosti izvedenih ukrepov za obravnavo tveganj na področju IKT;
(b)
oceno, ali so bile dosežene določene tolerančne ravni tveganja finančnega subjekta;
(c)
oceno, ali je finančni subjekt sprejel ukrepe za popravek ali izboljšanje navedenih ukrepov, kadar je potrebno.
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EULAW
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Člen 31 Obvladovanje tveganj na področju IKT
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EULAW
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Člen 31 Obvladovanje tveganj na področju IKT
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Povezane zadeve
- Secure Controls Framework -
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