+Third-Party Management

Third-Party Management

Description

Mechanisms exist to facilitate the implementation of third-party management controls.

Possible Solutions & Considerations

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

Third-Party Management (TPM) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with TPM domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Third-party management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ No centralized inventory of External Service Providers (ESP) is maintained.
▪ ESP are not formally managed according to criticality.

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 facilitate the implementation of third-party management 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. Übersicht

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Regulierungen

2. Identifizierte Anforderungen

Anforderungen

3. Zugehörige Regulierungen

Regulierungen
EULAW Artikel 8 (4)
Finanzunternehmen ermitteln alle Informations- und IKT-Assets, einschließlich derer an externen Standorten, Netzwerkressourcen und Hardware, und erfassen diejenigen, die als kritisch gelten. Sie erfassen die Konfiguration von Informations- und IKT-Assets sowie die Verbindungen und Interdependenzen zwischen den verschiedenen Informations- und IKT-Assets.
EULAW Artikel 21 Risikomanagementmaßnahmen im Bereich der Cybersicherheit
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EULAW Artikel 28 Governance und Organisation
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EULAW Artikel 29 Informationssicherheitsleitlinien und -maßnahmen
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EULAW Artikel 30 Wesentliche Vertragsbestimmungen
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EULAW Artikel 31 Einstufung kritischer IKT-Drittdienstleister
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EULAW Artikel 30 Wesentliche Vertragsbestimmungen
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EULAW Artikel 31 Einstufung kritischer IKT-Drittdienstleister
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EULAW Artikel 30 Wesentliche Vertragsbestimmungen
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EULAW Artikel 31 Einstufung kritischer IKT-Drittdienstleister
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EULAW Artikel 30 (3)

Die vertraglichen Vereinbarungen über die Nutzung von IKT-Dienstleistungen zur Unterstützung kritischer oder wichtiger Funktionen umfassen zusätzlich zu den in Absatz 2 genannten Elementen mindestens Folgendes:

a) 

vollständige Beschreibungen der Dienstleistungsgüte, einschließlich Aktualisierungen und Überarbeitungen, mit präzisen quantitativen und qualitativen Leistungszielen innerhalb der vereinbarten Dienstleistungsgüte, um dem Finanzunternehmen eine wirksame Überwachung von IKT-Dienstleistungen und das unverzügliche Ergreifen angemessener Korrekturmaßnahmen zu ermöglichen, wenn eine vereinbarte Dienstleistungsgüte nicht erreicht wird;

b) 

Kündigungsfristen und Berichtspflichten des IKT-Drittdienstleisters gegenüber dem Finanzunternehmen, einschließlich der Meldung aller Entwicklungen, die sich wesentlich auf die Fähigkeit des IKT-Drittdienstleisters, IKT-Dienstleistungen zur Unterstützung kritischer oder wichtiger Funktionen gemäß den vereinbarten Leistungsniveaus wirksam bereitzustellen, auswirken könnten;

c) 

Anforderungen an den IKT-Drittdienstleister, Notfallpläne zu implementieren und zu testen und über Maßnahmen, Tools und Leit- und Richtlinien für IKT-Sicherheit zu verfügen, die ein angemessenes Maß an Sicherheit für die Erbringung von Dienstleistungen durch das Finanzunternehmen im Einklang mit seinem Rechtsrahmen bieten;

d) 

die Verpflichtung des IKT-Drittdienstleisters, sich an den in den Artikeln 26 und 27 genannten TLPT des Finanzunternehmens zu beteiligen und uneingeschränkt daran mitzuwirken;

e) 

das Recht, die Leistung des IKT-Drittdienstleisters fortlaufend zu überwachen, wozu Folgendes gehört:

i) 

uneingeschränkte Zugangs-, Inspektions- und Auditrechte des Finanzunternehmens oder eines beauftragten Dritten und der zuständigen Behörde sowie das Recht auf Anfertigung von Kopien einschlägiger Unterlagen vor Ort, wenn ihnen für die Geschäftstätigkeit des IKT-Drittdienstleisters entscheidende Bedeutung zukommt, wobei die tatsächliche Ausübung dieser Rechte nicht durch andere vertragliche Vereinbarungen oder Umsetzungsrichtlinien behindert oder eingeschränkt wird;

ii) 

das Recht, alternative Bestätigungsniveaus zu vereinbaren, wenn die Rechte anderer Kunden betroffen sind;

iii) 

die Verpflichtung des IKT-Drittdienstleisters zur uneingeschränkten Zusammenarbeit bei Vor-Ort-Inspektionen und Audits, die von den zuständigen Behörden, der federführenden Überwachungsbehörde, dem Finanzunternehmen oder einem beauftragten Dritten durchgeführt werden; und

iv) 

die Verpflichtung, Einzelheiten zu Umfang und Häufigkeit dieser Inspektionen sowie dem dabei zu befolgenden Verfahren mitzuteilen;

f) 

Ausstiegsstrategien, insbesondere die Festlegung eines verbindlichen angemessenen Übergangszeitraums,

i) 

in dem der IKT-Drittdienstleister weiterhin die entsprechenden Funktionen oder IKT-Dienstleistungen bereitstellt, um das Risiko von Störungen im Finanzunternehmen zu verringern oder um dessen geordnete Abwicklung und Umstrukturierung sicherzustellen;

ii) 

der dem Finanzunternehmen ermöglicht, zu einem anderen IKT-Drittdienstleister zu wechseln oder auf interne Lösungen umzustellen, die der Komplexität der erbrachten Dienstleistung entsprechen.

Abweichend von Buchstabe e können der IKT-Drittdienstleister und das Finanzunternehmen, das ein Kleinstunternehmen ist, vereinbaren, dass die Zugangs-, Inspektions- und Auditrechte des Finanzunternehmens auf einen unabhängigen Dritten übertragen werden können, der vom IKT-Drittdienstleister benannt wird, sowie dass das Finanzunternehmen von diesem Dritten jederzeit Informationen und Gewähr in Bezug auf die Leistung des IKT-Drittdienstleisters verlangen kann.
EULAW Artikel 31 (12)
Finanzunternehmen dürfen nur dann die Dienstleistungen eines IKT-Drittdienstleisters mit Sitz in einem Drittland in Anspruch nehmen, der gemäß Absatz 1 Buchstabe a als kritisch eingestuft worden ist, wenn er innerhalb von zwölf Monaten nach der Einstufung ein Tochterunternehmen in der Union gegründet hat.

Verknüpfte Vorgänge

Verknüpfungen
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 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
is related to relative Control Weighting = 10
is related to Govern
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Confidentiality
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 Manufacturing Capacity / Supply Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks SSO-01.01B
blocks SSO-07.01B
blocks SSO-07.01AS
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Confidentiality
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 Manufacturing Capacity / Supply Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks SSO-01.01B
blocks SSO-07.01B
blocks SSO-07.01AS
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Confidentiality
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 Manufacturing Capacity / Supply Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks SSO-01.01B
blocks SSO-07.01B
blocks SSO-07.01AS
is blocked by TPM-02 Third-Party Management – Assessment Procedure
blocks SA-04 Acquisition Process
blocks SR-01 Policy and Procedures
blocks SA-04 [L] Acquisition Process
blocks SR-01 [L] Policy and Procedures
blocks SA-04 [M] Acquisition Process
blocks SR-01 [M] Policy and Procedures
blocks SA-04 [H] Acquisition Process
blocks SR-01 [H] Policy and Procedures
blocks SA-04 [P] Acquisition Process
blocks 03.01.20 Use of External Systems
blocks 03.07.06 Maintenance Personnel
blocks 03.16.01 Security Engineering Principles
blocks 03.16.03 External System Services
blocks 03.17.02 Acquisition Strategies, Tools, and Methods
blocks GV.SC-04 Suppliers are known and prioritized by criticality
blocks GV.SC-06 Planning and due diligence are performed to reduce risks before entering into formal supplier or other third-party relationships
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 GV.SC-08 Relevant suppliers and other third parties are included in incident planning, response, and recovery activities
blocks GV.SC-10 Cybersecurity supply chain risk management plans include provisions for activities that occur after the conclusion of a partnership or service …
blocks ID.AM Asset Management
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