+Contract Flow-Down Requirements
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Contract Flow-Down Requirements
Description
Mechanisms exist to ensure applicable security, compliance and resilience requirements are included in contracts that flow-down to applicable subcontractors and suppliers.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program ∙ Data Protection Impact Assessment (DPIA) ∙ Third-party contract requirements for cybersecurity controls
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program ∙ Data Protection Impact Assessment (DPIA) ∙ Third-party contract requirements for cybersecurity controls
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program ∙ Data Protection Impact Assessment (DPIA) ∙ Third-party contract requirements for cybersecurity controls
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program ∙ Data Protection Impact Assessment (DPIA) ∙ Third-party contract requirements for cybersecurity controls
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program ∙ Data Protection Impact Assessment (DPIA) ∙ Third-party contract requirements for cybersecurity controls
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
Third-Party Management (TPM) 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 TPM domain capabilities are formally documented and centrally-managed by the entity. ▪ Standardized Operating Procedures (SOP) associated with TPM 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 TPM domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD). ▪ Third-party management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines). ▪ Asset management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel. ▪ Procurement practices contractually require ESP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. ▪ A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data.
Level 3 Well Defined
Third-Party Management (TPM) 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 TPM 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 TPM domain capabilities are well-documented and kept current by process owners. ▪ A procurement team, or similar function, is appropriately staffed and supported to implement and maintain TPM domain capabilities. ▪ Technology is leveraged to enhance the efficiency and accuracy of third-party management operations (e.g., TPRM risk management solution and vendor management solution). ▪ 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 TPM 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 applicable security, compliance and resilience requirements are included in contracts that flow-down to applicable sub-contractors and suppliers.
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. Resumen
1.1 Referencias
1.2 Requisitos identificados
1.3 Regulaciones relacionadas
2. Requisitos identificados
Requisitos
| Fuente |
Requisito |
3. Regulaciones relacionadas
Regulaciones
| Fuente |
Regulación |
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EULAW
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Artículo 29 Evaluación preliminar del riesgo de concentración de TIC a nivel de la entidad
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EULAW
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Artículo 21 Medidas para la gestión de riesgos de ciberseguridad
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EULAW
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Artículo 29 2
2. Cuando el acuerdo contractual sobre el uso de servicios de TIC que sustenten funciones esenciales o importantes incluya la posibilidad de que un proveedor tercero de servicios de TIC subcontrate a su vez servicios de TIC que sustenten una función esencial o importante a otros proveedores terceros de servicios de TIC, las entidades financieras ponderarán los beneficios y los riesgos que puedan derivarse de esa posible subcontratación, en particular cuando se trate de un subcontratista de TIC establecido en un tercer país.
Cuando el acuerdo contractual afecte a servicios de TIC que sustenten funciones esenciales o importantes, las entidades financieras ponderarán debidamente las disposiciones legislativas en materia de insolvencia que se aplicarían en caso de quiebra del proveedor tercero de servicios de TIC, así como cualquier restricción que pueda surgir y que afecte a la recuperación urgente de los datos de la entidad financiera.
Cuando se celebren acuerdos contractuales sobre el uso de servicios de TIC que sustenten funciones esenciales o importantes con un proveedor tercero de servicios de TIC establecido en un tercer país, las entidades financieras tendrán en consideración, además de lo mencionado el párrafo segundo, el cumplimiento de la normativa en materia de protección de datos de la Unión y la aplicación efectiva del Derecho en ese tercer país.
Cuando el acuerdo contractual sobre el uso de servicios de TIC que sustenten funciones esenciales o importantes contemple la subcontratación, las entidades financieras evaluarán si las cadenas de subcontratación potencialmente largas o complejas pueden afectar a su capacidad para efectuar un seguimiento completo de las funciones contratadas y a la capacidad de la autoridad competente para supervisar efectivamente a la entidad financiera a este respecto, y de qué manera.
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Incidencias vinculadas
Vínculos
| Tipo de vínculo |
Incidencia |
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is related to
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Annual |
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is related to
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relative Control Weighting = 09 |
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is related to
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Process |
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is related to
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Protect |
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is related to
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SCRM Focus Tier 2 OPERATIONAL |
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is related to
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SCRM Focus Tier 3 TACTICAL |
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blocks
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Unauthorized Retention / Inability to Dispose of Data |
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blocks
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Contractual Default / Termination |
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blocks
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Regulatory / Legal / Contractual Financial Liability |
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blocks
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Loss of Authorization / Certification / License |
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blocks
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Unaddressed Security / Compliance Exposure |
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blocks
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Uncontrolled Third-Party Security / Privacy Exposure |
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blocks
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Lack of oversight of third-party controls |
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blocks
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Inability to Demonstrate Due Diligence / Due Care |
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blocks
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Unreliable Assurance / Decision Information |
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blocks
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Third-Party Cybersecurity Compromise / Exposure |
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blocks
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Third-Party Physical Security Disruption / Exposure |
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blocks
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Sub-Tier / Fourth-Party Supply Chain Exposure |
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blocks
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Third-Party Legal / Compliance Exposure |
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blocks
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Harm from Unauthorized / Unintended Product or Service Use |
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blocks
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Third-Party Dependency Failure |
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blocks
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Counterfeit / Non-Conforming Component Impact |
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blocks
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Loss of Confidentiality |
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blocks
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Privacy Harm / Unauthorized Processing |
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blocks
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Drought & Water Shortage |
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blocks
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Earthquakes |
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blocks
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Fire & Wildfires |
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blocks
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Floods |
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blocks
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Hurricanes & Tropical Storms |
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blocks
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Landslides & Debris Flow |
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blocks
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Pandemic (Disease) Outbreaks |
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blocks
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Severe Weather |
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blocks
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Space Weather |
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blocks
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Thunderstorms & Lightning |
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blocks
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Tornadoes |
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blocks
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Tsunamis |
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blocks
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Volcanoes |
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blocks
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Winter Storms & Extreme Cold |
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blocks
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Dysfunctional Management Practices |
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blocks
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Human Error |
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blocks
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Statutory / Regulatory / Contractual Change |
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blocks
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Fraud, Corruption and/or Intentional Criminal Conduct |
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blocks
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Conflict of Interest (COI) / Undue Influence / Insider Misconduct |
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blocks
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Economic Shock / Market Disruption |
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blocks
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Foreign Ownership, Control, or Influence (FOCI) |
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blocks
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Sanctions / Trade Restriction Disruption |
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blocks
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Counterfeit / Non-Conforming Products |
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blocks
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Workforce Shortage / Loss of Critical Skills / Labor Disruption |
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blocks
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DEV-02.02B |
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blocks
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SSO-01.01B |
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blocks
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SSO-02.01B |
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blocks
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SSO-05.02B |
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blocks
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SSO-07.01B |
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blocks
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SSO-07.01AS |
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blocks
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Unauthorized Retention / Inability to Dispose of Data |
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blocks
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Contractual Default / Termination |
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blocks
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Regulatory / Legal / Contractual Financial Liability |
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blocks
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Loss of Authorization / Certification / License |
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blocks
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Unaddressed Security / Compliance Exposure |
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blocks
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Uncontrolled Third-Party Security / Privacy Exposure |
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blocks
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Lack of oversight of third-party controls |
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blocks
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Inability to Demonstrate Due Diligence / Due Care |
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blocks
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Unreliable Assurance / Decision Information |
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blocks
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Third-Party Cybersecurity Compromise / Exposure |
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blocks
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Third-Party Physical Security Disruption / Exposure |
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blocks
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Unauthorized Retention / Inability to Dispose of Data |
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blocks
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Contractual Default / Termination |
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blocks
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Regulatory / Legal / Contractual Financial Liability |
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blocks
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Loss of Authorization / Certification / License |
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blocks
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Unaddressed Security / Compliance Exposure |
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blocks
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Uncontrolled Third-Party Security / Privacy Exposure |
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blocks
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Lack of oversight of third-party controls |
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blocks
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Inability to Demonstrate Due Diligence / Due Care |
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blocks
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Unreliable Assurance / Decision Information |
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blocks
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Third-Party Cybersecurity Compromise / Exposure |
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blocks
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Third-Party Physical Security Disruption / Exposure |
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is blocked by
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TPM-14.1 Contract Flow-Down Requirements – Assessment Procedure |
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blocks
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SR-03(03) Sub-tier Flow Down |
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blocks
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03.16.03 External System Services |
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blocks
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03.17.02 Acquisition Strategies, Tools, and Methods |
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blocks
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03.17.03 Supply Chain Requirements and Processes |
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blocks
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GV.OC-03 Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and … |
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blocks
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GV.SC-02 Cybersecurity roles and responsibilities for suppliers, customers, and partners are established, communicated, and coordinated internally and … |
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blocks
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GV.SC-05 Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and other types of … |
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blocks
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GV.SC-06 Planning and due diligence are performed to reduce risks before entering into formal supplier or other third-party relationships |
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blocks
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GV.SC-10 Cybersecurity supply chain risk management plans include provisions for activities that occur after the conclusion of a partnership or service … |
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