+Acquisition Strategies, Tools & Methods

Acquisition Strategies, Tools & Methods

Description

Mechanisms exist to utilize tailored acquisition strategies, contract tools and procurement methods for the purchase of unique Technology Assets, Applications and/or Services (TAAS).

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)

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)

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.

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 utilize tailored acquisition strategies, contract tools and procurement methods for the purchase of unique Technology Assets, Applications and/or Services (TAAS).

Level 4 Quantitatively Controlled

Third-Party Management (TPM) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.

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

3. Regulaciones relacionadas

Regulaciones
EULAW Artículo 30 3

3.   Además de los elementos a que se refiere el apartado 2, los acuerdos contractuales sobre el uso de servicios de TIC que sustenten funciones esenciales o importantes incluirán por lo menos lo siguiente:

a)

descripciones completas del nivel de servicio, incluidas sus actualizaciones y revisiones, con objetivos precisos de rendimiento cuantitativos y cualitativos dentro de los niveles de servicio acordados, de modo que la entidad financiera pueda realizar un seguimiento efectivo de los servicios de TIC y que se puedan adoptar sin demora indebida las medidas correctoras adecuadas cuando no se alcancen los niveles de servicio acordados;

b)

plazos de notificación y obligaciones de información del proveedor tercero de servicios de TIC a la entidad financiera, incluida la notificación de cualquier hecho que pueda afectar considerablemente a la capacidad del proveedor tercero de servicios de TIC para prestar de forma efectiva los servicios de TIC que sustentan funciones esenciales o importantes de conformidad con los niveles de servicio acordados;

c)

requisitos para que el proveedor tercero de servicios de TIC aplique y someta apruebe los planes de contingencia empresarial y disponga de medidas, herramientas y políticas de seguridad de las TIC que proporcionen un nivel adecuado de seguridad para la prestación de servicios por parte de la entidad financiera en consonancia con su marco regulador;

d)

la obligación de que el proveedor tercero de servicios de TIC participe y coopere plenamente en las pruebas de penetración basadas en amenazas de la entidad financiera a que se refieren los artículos 26 y 27;

e)

el derecho a realizar un seguimiento continuo de la actuación del proveedor tercero de servicios de TIC, lo que implica lo siguiente:

i)

derechos ilimitados de acceso, inspección y auditoría por la entidad financiera o un tercero designado, y por la autoridad competente, y el derecho a hacer copias de la documentación pertinente in situ si son esenciales para las operaciones del proveedor tercero de servicios de TIC, cuyo ejercicio efectivo no se vea obstaculizado o limitado por otros acuerdos contractuales o políticas de aplicación,

ii)

el derecho a pactar niveles de garantía alternativos si se ven afectados los derechos de otros clientes,

iii)

la obligación de que el proveedor tercero de servicios de TIC coopere plenamente durante las inspecciones y las auditorías in situ realizadas por las autoridades competentes, el supervisor principal, la entidad financiera o un tercero designado, y

iv)

la obligación de proporcionar detalles sobre el alcance, los procedimientos que deben seguirse y la frecuencia de tales inspecciones y auditorías;

f)

estrategias de salida, en particular el establecimiento de un período transitorio suficiente obligatorio:

i)

durante el cual el proveedor tercero de servicios de TIC seguirá proporcionando las funciones o los servicios de TIC de que se trate con el fin de reducir el riesgo de perturbación en la entidad financiera o de garantizar su resolución y reestructuración efectivas,

ii)

que permita a la entidad financiera migrar a otro proveedor tercero de servicios de TIC o adoptar soluciones internas coherentes con la complejidad del servicio prestado.

Como excepción a lo dispuesto en la letra e), el proveedor tercero de servicios de TIC y la entidad financiera que sea una microempresa podrán acordar que se puedan delegar los derechos de acceso, inspección y auditoría de la entidad financiera en un tercero independiente, designado por el proveedor tercero de servicios de TIC, y que la entidad financiera pueda solicitar al tercero en cualquier momento información y garantías sobre la actuación del proveedor tercero de servicios de TIC.
EULAW Artículo 21 Medidas para la gestión de riesgos de ciberseguridad
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EULAW Artículo 29 Evaluación preliminar del riesgo de concentración de TIC a nivel de la entidad
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EULAW Artículo 29 Evaluación preliminar del riesgo de concentración de TIC a nivel de la entidad
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EULAW Artículo 29 Evaluación preliminar del riesgo de concentración de TIC a nivel de la entidad
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EULAW Artículo 29 1

1.   Al llevar a cabo la determinación y evaluación de los riesgos a que se refiere el artículo 28, apartado 4, letra c), las entidades financieras también tendrán en cuenta si la celebración prevista de un acuerdo contractual en relación con los servicios de TIC que sustenten funciones esenciales o importantes podría dar lugar a alguna de las siguientes circunstancias:

a)

la celebración de un contrato con un proveedor tercero de servicios de TIC que no sea fácilmente sustituible, o

b)

la coexistencia de múltiples acuerdos contractuales en relación con la prestación de servicios de TIC que sustenten funciones esenciales o importantes con el mismo proveedor tercero de servicios de TIC o con proveedores terceros de servicios de TIC estrechamente relacionados.

Las entidades financieras ponderarán los beneficios y los costes de soluciones alternativas, como el recurso a distintos proveedores terceros de servicios de TIC, considerando si las soluciones contempladas se ajustan a las necesidades y objetivos empresariales establecidos en su estrategia de resiliencia digital y de qué manera.

Incidencias vinculadas

Vínculos
is related to Annual
is related to relative Control Weighting = 09
is related to Process
is related to Identify
is related to SCRM Focus Tier 1 STRATEGIC
is related to SCRM Focus Tier 2 OPERATIONAL
is related to SCRM Focus Tier 3 TACTICAL
blocks Loss of Accountability / Attribution
blocks Excessive or Unauthorized Privilege
blocks Unauthorized Privilege Elevation
blocks Unauthorized Access
blocks Loss, Theft or Damage of Assets
blocks Unauthorized Modification / Loss of System Integrity
blocks Unauthorized Retention / Inability to Dispose of Data
blocks Business / Service Interruption
blocks Data Loss / Integrity Compromise
blocks Reduced Operational Productivity
blocks System / Data Compromise (Technical Vector)
blocks System / Data Compromise (Non-Technical Vector)
blocks Revenue Loss
blocks Contractual Default / Termination
blocks Loss of Competitive Advantage
blocks Reputational Harm / Loss of Stakeholder Trust
blocks Regulatory / Legal / Contractual Financial Liability
blocks Exposure from Unaddressed Vulnerabilities
blocks System / Service Compromise
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 Harm from Illegal, Abusive or Unsafe Content / Conduct
blocks Loss of Investigative / Evidentiary Capability
blocks Delayed Containment / Increased Incident Impact
blocks Incident Persistence / Recurrence
blocks Incident Response / Recovery Cost
blocks Undetected / Delayed Detection of Adverse Activity
blocks Third-Party Cybersecurity Compromise / Exposure
blocks Third-Party Physical Security Disruption / Exposure
blocks Sub-Tier / Fourth-Party Supply Chain Exposure
blocks Third-Party Legal / Compliance Exposure
blocks Harm from Unauthorized / Unintended Product or Service Use
blocks Third-Party Dependency Failure
blocks AppleScript
blocks Supply Chain Compromise
blocks Compromise Software Dependencies and Development Tools
blocks Compromise Software Supply Chain
blocks Compromise Hardware Supply Chain
blocks Malicious Image
blocks Server Software Component
blocks SQL Stored Procedures
blocks Transport Agent
blocks IIS Components
blocks LC_LOAD_DYLIB Addition
blocks Compromise Host Software Binary
blocks Modify System Image
blocks Patch System Image
blocks Downgrade System Image
blocks Fraud / Theft / Direct Financial Loss
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Authenticity / Provenance
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 Malicious Cyber Activity
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 Geopolitical Conflict / Government Intervention
blocks Sanctions / Trade Restriction Disruption
blocks Counterfeit / Non-Conforming Products
blocks Manufacturing Capacity / Supply Disruption
blocks Product Defect / Design Failure
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks Transportation / Logistics Disruption
blocks Fraud / Theft / Direct Financial Loss
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Authenticity / Provenance
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 Malicious Cyber Activity
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 Geopolitical Conflict / Government Intervention
blocks Sanctions / Trade Restriction Disruption
blocks Counterfeit / Non-Conforming Products
blocks Manufacturing Capacity / Supply Disruption
blocks Product Defect / Design Failure
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks Transportation / Logistics Disruption
blocks Fraud / Theft / Direct Financial Loss
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Authenticity / Provenance
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 Malicious Cyber Activity
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 Geopolitical Conflict / Government Intervention
blocks Sanctions / Trade Restriction Disruption
blocks Counterfeit / Non-Conforming Products
blocks Manufacturing Capacity / Supply Disruption
blocks Product Defect / Design Failure
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks Transportation / Logistics Disruption
is blocked by TPM-03 Acquisition Strategies, Tools & Methods – Assessment Procedure
blocks SR-03(01) Diverse Supply Base
blocks SR-05 Acquisition Strategies, Tools, and Methods
blocks SR-05 [L] Acquisition Strategies, Tools, and Methods
blocks SR-05 [M] Acquisition Strategies, Tools, and Methods
blocks SR-05 [H] Acquisition Strategies, Tools, and Methods
blocks 03.17.01 Supply Chain Risk Management Plan
blocks 03.17.02 Acquisition Strategies, Tools, and Methods
blocks 03.17.03 Supply Chain Requirements and Processes
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