+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. Resumen

1.1 Referencias

1.2 Requisitos identificados

1.3 Regulaciones relacionadas

2. Requisitos identificados

Requisitos

3. Regulaciones relacionadas

Regulaciones
EULAW Artículo 10 Gestión de vulnerabilidades y parches
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EULAW Artículo 28 Principios generales
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EULAW Artículo 30 Cláusulas contractuales fundamentales
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EULAW Artículo 21 Medidas para la gestión de riesgos de ciberseguridad
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EULAW Artículo 28 6

6.   Al ejercer los derechos de acceso, inspección y auditoría sobre el proveedor tercero de servicios de TIC, las entidades financieras determinarán previamente, con arreglo a un enfoque basado en el riesgo, la frecuencia de las auditorías e inspecciones y los ámbitos que deben auditarse, según normas de auditoría comúnmente aceptadas en consonancia con las instrucciones de supervisión sobre el uso y la incorporación de dichas normas de auditoría.

Cuando los acuerdos contractuales relativos al uso de servicios de TIC celebrados con proveedores terceros de servicios de TIC impliquen una gran complejidad técnica, la entidad financiera verificará que los auditores, ya sean internos, externos o un grupo de auditores, posean las capacidades y los conocimientos adecuados para llevar a cabo efectivamente las auditorías y evaluaciones pertinentes.
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.

Incidencias vinculadas

Vínculos
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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