+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. Apžvalga

1.1 Nuorodos

1.2 Nustatyti reikalavimai

1.3 Susiję teisės aktai

2. Nustatyti reikalavimai

Reikalavimai

3. Susiję teisės aktai

Teisės aktai
EULAW 30 straipsnis 3

3.   Į sutartimi įformintus susitarimus dėl IRT paslaugų, kuriomis palaikomos ypatingos svarbos arba svarbios funkcijos, naudojimo, be 2 dalyje nurodytų elementų, įtraukiami bent šie elementai:

a)

išsamūs paslaugų lygio aprašymai, įskaitant jų atnaujinimus ir pataisymus, ir tikslūs kiekybiniai ir kokybiniai sutarto paslaugų lygio tiksliniai veiklos rezultatų rodikliai, kad finansų sektoriaus subjektas galėtų vykdyti veiksmingą IRT paslaugų stebėseną ir nepagrįstai nedelsdamas imtis tinkamų taisomųjų veiksmų, kai sutarti paslaugų lygiai neužtikrinami;

b)

IRT paslaugas teikiančiai trečiajai šaliai taikomi įspėjimo terminai ir pareigos teikti pranešimus finansų sektoriaus subjektui, įskaitant pranešimą apie bet kokius pokyčius, kurie gali daryti reikšmingą poveikį IRT paslaugas teikiančios trečiosios šalies galimybėms veiksmingai teikti IRT paslaugas, kurios palaiko ypatingos svarbos arba svarbias funkcijas pagal sutartus paslaugų lygius;

c)

reikalavimai IRT paslaugas teikiančiai trečiajai šaliai įgyvendinti ir testuoti nenumatytų veiklos atvejų planus ir taikyti IRT saugumo priemones ir politiką, kuriomis užtikrinamas tinkamas finansų sektoriaus subjekto teikiamų paslaugų saugumo lygis laikantis jo taikomos reguliavimo sistemos;

d)

IRT paslaugas teikiančios trečiosios šalies pareiga dalyvauti ir visapusiškai bendradarbiauti finansų sektoriaus subjekto TLPT, kaip nurodyta 26 ir 27 straipsniuose;

e)

teisė nuolat stebėti IRT paslaugas teikiančios trečiosios šalies veiklos rezultatus; ši teisė apima:

i)

finansų sektoriaus subjekto arba paskirtos trečiosios šalies ir kompetentingos institucijos neribotas teises turėti prieigą, atlikti patikrinimą bei auditą ir teisę daryti atitinkamų dokumentų kopijas vietoje, jeigu jie turi ypatingos svarbos IRT paslaugas teikiančios trečiosios šalies operacijoms; veiksmingai naudotis šiomis teisėmis netrukdo ir jų nevaržo kiti sutartimi įforminti susitarimai arba įgyvendinimo politika;

ii)

teisę susitarti dėl alternatyvių saugumo užtikrinimo lygių, jei tai turi įtakos kitų klientų teisėms;

iii)

IRT paslaugas teikiančios trečiosios šalies pareigą visapusiškai bendradarbiauti kompetentingoms institucijoms, atsakingajai priežiūros institucijai, finansų sektoriaus subjektui arba paskirtai trečiajai šaliai atliekant patikrinimus ir auditus ir

iv)

pareigą pateikti išsamią informaciją apie tokių patikrinimų ir auditų apimtį, procedūras, kurių turi būti laikomasi jų metu, ir jų dažnumą;

f)

pasitraukimo strategijos, visų pirma privalomo pakankamos trukmės pereinamojo laikotarpio nustatymas:

i)

per kurį IRT paslaugas teikianti trečioji šalis toliau vykdys atitinkamas funkcijas ar teiks IRT paslaugas, kad būtų sumažinta finansų sektoriaus subjekto veiklos sutrikdymo rizika arba užtikrintas veiksmingas jo pertvarkymas ir restruktūrizavimas;

ii)

per kurį finansų sektoriaus subjektas gali pereiti prie kitos IRT paslaugas teikiančios trečiosios šalies arba pasirinkti viduje taikomus sprendimus, atitinkančius teikiamos paslaugos sudėtingumą.

Nukrypstant nuo e punkto, IRT paslaugas teikianti trečioji šalis ir finansų sektoriaus subjektas, kuris yra labai maža įmonė, gali susitarti, kad prieigos, patikrinimo ir audito teisės gali būti perduotos IRT paslaugas teikiančios trečiosios šalies paskirtai nepriklausomai trečiajai šaliai ir kad finansų sektoriaus subjektas bet kuriuo metu gali prašyti tos trečiosios šalies pateikti informaciją ir patikinimą apie IRT paslaugas teikiančios trečiosios šalies veiklos rezultatus.
EULAW 21 straipsnis Kibernetinio saugumo rizikos valdymo priemonės
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EULAW 29 straipsnis Išankstinis IRT koncentracijos rizikos vertinimas subjektų lygmeniu
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EULAW 29 straipsnis Išankstinis IRT koncentracijos rizikos vertinimas subjektų lygmeniu
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EULAW 29 straipsnis Išankstinis IRT koncentracijos rizikos vertinimas subjektų lygmeniu
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EULAW 29 straipsnis 1

1.   Nustatydami ir vertindami riziką, nurodytą 28 straipsnio 4 dalies c punkte, finansų sektoriaus subjektai atsižvelgia ir į tai, ar sudarius numatomą sutartimi įformintą susitarimą dėl IRT paslaugų, kuriomis palaikomos ypatingos svarbos ir svarbios funkcijos, susidarytų bent viena iš šių aplinkybių:

a)

būtų sudaryta sutartis su IRT paslaugas teikiančia trečiąja šalimi, kuri nėra lengvai pakeičiama, arba

b)

atsirastų keli sutartimi įforminti susitarimai dėl IRT paslaugų, kuriomis palaikomos ypatingos svarbos arba svarbios funkcijos, teikimo su ta pačia IRT paslaugas teikiančia trečiąja šalimi arba su glaudžiai susijusiomis IRT paslaugas teikiančiomis trečiosiomis šalimis.

Finansų sektoriaus subjektai įvertina alternatyvių sprendimų, pavyzdžiui, skirtingų IRT paslaugas teikiančių trečiųjų šalių paslaugų naudojimo, naudą ir išlaidas, atsižvelgdami į tai, ar ir kaip numatyti sprendimai atitinka jų skaitmeninio atsparumo strategijoje nustatytus veiklos poreikius ir tikslus.

Susietos užduotys

Saitai
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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