+Review of Third-Party Services

Review of Third-Party Services

Description

Mechanisms exist to monitor, regularly review and assess External Service Providers (ESPs) for compliance with established contractual requirements for security, compliance and resilience controls.

Possible Solutions & Considerations

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program

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 monitor, regularly review and assess External Service Providers (ESPs) for compliance with established contractual requirements for security, compliance and resilience controls.

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. Přehled

1.1 Odkazy

1.2 Identifikované požadavky

1.3 Související regulace

2. Identifikované požadavky

Požadavky

3. Související regulace

Regulace
EULAW Článek 10 Řízení zranitelností a oprav
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EULAW Článek 28 Obecné zásady
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EULAW Článek 30 Hlavní smluvní ustanovení
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EULAW Článek 21 Opatření k řízení kybernetických bezpečnostních rizik
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EULAW Článek 28 6

6.   Finanční subjekty při výkonu práv na přístup, kontrolu a audit u poskytovatele služeb IKT z řad třetích stran předem na základě přístupu založeného na posouzení rizik stanoví četnost auditů a kontrol, jakož i oblasti, které budou auditovány s využitím obecně uznávaných auditních standardů a v souladu se všemi pokyny orgánů dohledu pro využití a začlenění těchto auditních standardů.

Pokud se smluvní ujednání uzavřená s poskytovateli služeb IKT z řad třetích stran o využívání služeb IKT týkají technicky velmi složitých otázek, finanční subjekt ověří, že interní nebo externí auditoři nebo skupina auditorů disponují odpovídajícími dovednostmi a znalostmi pro účinné provedení příslušných auditů a posouzení.
EULAW Článek 30 3

3.   Smluvní ujednání o využívání služeb IKT podporujících zásadní nebo důležité funkce zahrnují kromě prvků uvedených v odstavci 2 alespoň:

a)

úplný popis úrovně služeb, včetně jejich aktualizací a revizí, a přesné kvalitativní i kvantitativní výkonnostní cíle v rámci sjednaných úrovní služeb umožňující účinné sledování služeb IKT finančním subjektem a neprodlené přijetí vhodných kroků k nápravě, nejsou-li sjednané úrovně služeb splněny;

b)

výpovědní lhůty a povinnosti hlášení poskytovatele služeb IKT z řad třetích stran finančnímu subjektu, včetně oznámení jakéhokoli vývoje, který by mohl mít významný dopad na schopnost poskytovatele služeb IKT z řad třetích stran účinně poskytovat služby IKT podporující zásadní nebo důležité funkce v souladu se sjednanými úrovněmi služeb;

c)

povinnosti poskytovatele služeb IKT z řad třetích stran uplatňovat a testovat plány zachování provozu a mít bezpečnostní opatření, nástroje a politiky v oblasti IKT, jež zajistí odpovídající úroveň bezpečnosti poskytování služeb finančním subjektem v souladu s jeho regulačním rámcem;

d)

povinnost poskytovatele služeb IKT z řad třetích stran účastnit se penetračního testování na základě hrozeb finančního subjektu a plně na něm spolupracovat, jak je uvedeno v článcích 26 a 27;

e)

právo nepřetržitě sledovat výsledky poskytovatele služeb IKT z řad třetích stran, které zahrnuje:

i)

neomezené právo na přístup, kontrolu a audit vykonávané finančním subjektem nebo určenou třetí stranou a příslušným orgánem a právo pořizovat kopie příslušné dokumentace na místě, pokud jsou zásadní z hlediska provozu poskytovatele služeb IKT z řad třetích stran, přičemž účinný výkon těchto práv nesmí být znemožňován či omezován jinými smluvními ujednáními nebo prováděcími politikami;

ii)

právo sjednat alternativní úroveň záruky, budou-li dotčena práva jiných klientů;

iii)

povinnost poskytovatele služeb IKT z řad třetích stran plně spolupracovat při kontrolách na místě a auditech prováděných příslušnými orgány, hlavním orgánem dohledu, finančním subjektem nebo určenou třetí stranou, a

iv)

povinnost poskytnout podrobnosti o rozsahu, postupech, které je třeba uplatňovat, a četnosti těchto kontrol a auditů;

f)

strategie ukončení smluvního vztahu, zejména stanovení povinného přiměřeného přechodného období:

i)

během kterého bude poskytovatel služeb IKT z řad třetích stran za účelem snížení rizika výpadku u finančního subjektu nebo zajištění účinného řešení a restrukturalizace nadále poskytovat příslušné funkce nebo služby IKT;

ii)

umožňujícího finančnímu subjektu přejít k jinému poskytovateli služeb IKT z řad třetích stran, nebo přistoupit k vlastnímu řešení odpovídajícímu složitosti poskytované služby.

Odchylně od písmene e) se poskytovatel služeb IKT z řad třetích stran a finanční subjekt, který je mikropodnikem, mohou dohodnout, že práva finančního subjektu na přístup, kontrolu a audit mohou být přenesena na nezávislou třetí stranu určenou poskytovatelem služeb IKT z řad třetích stran a že finanční subjekt může od této třetí strany kdykoli požadovat informace a ujištění o výkonu poskytovatele služeb IKT z řad třetích stran.

Propojené úkoly

Vazby
is related to Semi-Annual
is related to relative Control Weighting = 09
is related to Process
is related to Identify
is related to SCRM Focus Tier 2 OPERATIONAL
is related to SCRM Focus Tier 3 TACTICAL
blocks Business / Service Interruption
blocks Contractual Default / Termination
blocks Regulatory / Legal / Contractual Financial Liability
blocks Exposure from Unaddressed Vulnerabilities
blocks System / Service Compromise
blocks Loss of Authorization / Certification / License
blocks Unaddressed Security / Compliance 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 Recovery Failure / Unacceptable Recovery Delay
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 Counterfeit / Non-Conforming Component Impact
blocks Loss of Confidentiality
blocks Privacy Harm / Unauthorized Processing
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 Technical / Mechanical Failure
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 Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks PS-01.05B
blocks PS-01.06B
blocks DEV-02.01AC
blocks SSO-01.01B
blocks SSO-01.02AC
blocks SSO-04.01B
blocks SSO-05.01B
blocks SSO-05.02B
blocks SSO-05.03B
blocks SSO-05.04B
blocks SSO-05.07B
blocks SSO-05.01AC
blocks SSO-05.03AC
blocks SSO-06.02B
is blocked by TPM-15 Review of Third-Party Services – Assessment Procedure
blocks SR-06 Supplier Assessments and Reviews
blocks SR-06(01) Testing and Analysis
blocks SR-06 [M] Supplier Assessments and Reviews
blocks SR-06 [H] Supplier Assessments and Reviews
blocks 03.16.03 External System Services
blocks 03.17.02 Acquisition Strategies, Tools, and Methods
blocks GV.SC-07 The risks posed by a supplier, their products and services, and other third parties are understood, recorded, prioritized, assessed, responded to, …
blocks ID.IM-01 Improvements are identified from evaluations
blocks ID.IM-02 Improvements are identified from security tests and exercises, including those done in coordination with suppliers and relevant third parties
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