+Third-Party Contract Requirements
---+Contract Flow-Down Requirements
---+Provider Contingency Plan

Third-Party Contract Requirements

Description

Mechanisms exist to require contractual requirements for applicable security, compliance and resilience requirements with third-parties, reflecting the organization's needs to protect its Technology Assets, Applications, Services and/or Data (TAASD).

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)
∙ Third-party contract requirements for cybersecurity controls
∙ Non-Disclosure Agreements (NDAs)

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)
∙ Third-party contract requirements for cybersecurity controls
∙ Non-Disclosure Agreements (NDAs)

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)
∙ Third-party contract requirements for cybersecurity controls
∙ Non-Disclosure Agreements (NDAs)

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)
∙ Third-party contract requirements for cybersecurity controls
∙ Non-Disclosure Agreements (NDAs)

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)
∙ Third-party contract requirements for cybersecurity controls
∙ Non-Disclosure Agreements (NDAs)

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.
▪ Procurement practices contractually require ESP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative.
▪ A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data.

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 require contractual requirements for applicable security, compliance and resilience requirements with third-parties, reflecting the organization's needs to protect its TAASD.

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. Forbhreathnú

Contract Flow-Down Requirements

Description

Mechanisms exist to ensure applicable security, compliance and resilience requirements are included in contracts that flow-down to applicable subcontractors and suppliers.

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)
∙ Third-party contract requirements for cybersecurity controls

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)
∙ Third-party contract requirements for cybersecurity controls

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)
∙ Third-party contract requirements for cybersecurity controls

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)
∙ Third-party contract requirements for cybersecurity controls

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Data Protection Impact Assessment (DPIA)
∙ Third-party contract requirements for cybersecurity controls

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.
▪ Procurement practices contractually require ESP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative.
▪ A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data.

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 ensure applicable security, compliance and resilience requirements are included in contracts that flow-down to applicable sub-contractors and suppliers.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

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.
Provider Contingency Plan

Description

Mechanisms exist to contractually-require external service providers to have contingency plans that meet organizational contingency requirements.

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

Business Continuity & Disaster Recovery (BCD) 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 BCD domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with BCD 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 BCD domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Business Continuity / Disaster Recovery (BC/DR)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ BC/DR 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 contractually-require external service providers to have contingency plans that meet organizational contingency requirements.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

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.

1.1 Tagairtí

1.2 Ceanglais aitheanta

1.3 Rialacháin ghaolmhara

2. Ceanglais aitheanta

Ceanglais

3. Rialacháin ghaolmhara

Rialacháin
EULAW Airteagal 11 Slándáil sonraí agus córas
EULAW Airteagal 13 Bainistiú slándála gréasáin

Airteagal 13

Bainistiú slándála gréasáin

Mar chuid de na coimircí lena n-áirithítear slándáil gréasán in aghaidh ionraí agus mí-úsáid sonraí, déanfaidh eintitis airgeadais beartais, nósanna imeachta, prótacail agus uirlisí bainistithe slándála gréasáin a fhorbairt, a dhoiciméadú agus a chur chun feidhme, lena n-áirítear na nithe uile seo a leanas:

(a) 

córais agus gréasáin TFC a leithscaradh agus a dheighilt, agus na nithe seo a leanas á gcur san áireamh:

(i) 

criticiúlacht nó tábhacht na feidhme a dtacaíonn na córais agus na gréasáin TFC sin léi;

(ii) 

an t-aicmiú a bhunaítear i gcomhréir le hAirteagal 8(1) de Rialachán (AE) 2022/2554;

(iii) 

próifíl riosca fhoriomlán sócmhainní TFC a úsáideann na córais agus na gréasáin TFC sin;

(b) 

naisc ghréasáin agus sreabha sonraí uile an eintitis airgeadais a dhoiciméadú;

(c) 

gréasán scartha tiomnaithe a úsáid chun sócmhainní TFC a riar;

(d) 

rialuithe rochtana gréasáin a shainaithint agus a chur chun feidhme chun naisc a dhéanfaidh aon ghaireas nó córas neamhúdaraithe le gréasán an eintitis airgeadais, nó a dhéanfaidh aon chríochphointe nach gcomhlíonann ceanglais slándála an eintitis airgeadais, a chosc agus a bhrath;

(e) 

criptiú a dhéanamh ar naisc ghréasáin a théann trí ghréasáin chorparáide, gréasáin phoiblí, gréasáin tí, gréasáin tríú páirtí agus gréasáin gan sreang, le haghaidh na bprótacal cumarsáide a úsáidtear, agus torthaí an aicmithe sonraí fhormheasta, torthaí an mheasúnaithe riosca TFC agus an criptiú ar naisc ghréasáin dá dtagraítear in Airteagal 6(2) á gcur san áireamh;

(f) 

gréasáin a dhearadh i gcomhréir leis na ceanglais slándála TFC arna leagan síos ag an eintiteas airgeadais, agus cleachtais atá chun tosaigh á gcur san áireamh chun rúndacht, sláine agus infhaighteacht an ghréasáin a áirithiú;

(g) 

trácht gréasáin idir na gréasáin inmheánacha agus an t-idirlíon agus naisc sheachtracha eile a dhaingniú;

(h) 

na róil, na freagrachtaí agus na céimeanna a shainaithint chun rialacha maidir le balla dóiteáin agus scagairí nasc a shonrú, a chur chun feidhme, a fhormheas, a athrú agus a athbhreithniú;

(i) 

athbhreithnithe a dhéanamh uair amháin sa bhliain, agus go tréimhsiúil i gcás micrifhiontar, ar ailtireacht líonraí agus ar an dearadh slándála gréasáin chun leochaileachtaí féideartha a bhrath;

(j) 

na bearta chun fo-ghréasáin, agus comhpháirteanna agus gairis ghréasáin, a leithlisiú go sealadach i gcás inar gá;

(k) 

bunlíne cumraíochta sláine gach comhpháirte gréasáin a chur chun feidhme, agus an gréasán agus gairis ghréasáin a chruachan i gcomhréir le haon treoir ón díoltóir agus, i gcás inarb infheidhme, le caighdeáin a shainítear in Airteagal 2, pointe (1), de Rialachán (AE) Uimh. 1025/2012, agus le cleachtais atá chun tosaigh;

(l) 

na nósanna imeachta chun seisiúin chórais agus chianda a theorannú, a ghlasáil agus a chríochnú tar éis tréimhse shonraithe neamhghníomhaíochta;

(m) 

i gcás comhaontuithe seirbhísí gréasáin:

(i) 

bearta slándála faisnéise agus TFC, leibhéil seirbhíse agus ceanglais bhainistíochta na seirbhísí gréasáin uile a shainaithint agus a shonrú;

(ii) 

cé acu soláthraí seirbhísí TFC inghrúpa nó soláthraithe seirbhísí TFC tríú páirtí a sholáthraíonn na seirbhísí sin.

Chun críocha phointe (h), déanfaidh eintitis airgeadais an t-athbhreithniú ar rialacha maidir le balla dóiteáin agus scagairí nasc ar bhonn tráthrialta i gcomhréir leis an aicmiú a bhunaítear i gcomhréir le hAirteagal 8(1) de Rialachán (AE) 2022/2554 agus le próifíl riosca fhoriomlán na gcóras TFC lena mbaineann. I gcás córais TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha, fíoróidh eintitis airgeadais gach 6 mhí ar a laghad go bhfuil na rialacha atá ann cheana maidir le balla dóiteáin agus scagairí nasc leordhóthanach.
EULAW Airteagal 28 Prionsabail ghinearálta
-
EULAW Airteagal 29 Réamh-mheasúnú ar riosca TFC ar leibhéal eintitis
-
EULAW Airteagal 30 Príomhfhorálacha conarthacha
-
EULAW Airteagal 21 Bearta bainistíochta riosca cibearshlándála
-
EULAW Airteagal 28 Prionsabail ghinearálta
-
EULAW Airteagal 29 Réamh-mheasúnú ar riosca TFC ar leibhéal eintitis
-
EULAW Airteagal 30 Príomhfhorálacha conarthacha
-
EULAW Airteagal 21 Bearta bainistíochta riosca cibearshlándála
-
EULAW Airteagal 28 Prionsabail ghinearálta
-
EULAW Airteagal 29 Réamh-mheasúnú ar riosca TFC ar leibhéal eintitis
-
EULAW Airteagal 30 Príomhfhorálacha conarthacha
-
EULAW Airteagal 21 Bearta bainistíochta riosca cibearshlándála
-
EULAW Airteagal 28 1

1.   Déanfaidh eintitis airgeadais riosca TFC tríú páirtí a bhainistiú mar chomhpháirt lárnach de riosca TFC laistigh dá gcreat bainistíochta riosca TFC dá dtagraítear in Airteagal 6(1), agus i gcomhréir leis na prionsabail seo a leanas:

(a)

maidir le heintitis airgeadais a bhfuil socruithe conarthacha i bhfeidhm acu maidir le húsáid seirbhísí TFC chun a n-oibríochtaí gnó a reáchtáil, beidh iomlán na freagrachta i gcónaí orthu as cloí le gach oibleagáid faoin Rialachán seo agus faoi dhlí seirbhísí airgeadais is infheidhme agus as gach oibleagáid den sórt sin a chomhlíonadh;

(b)

cuirfear bainistíocht riosca TFC tríú páirtí na n-eintiteas airgeadais chun feidhme i bhfianaise phrionsabal na comhréireachta, agus na nithe seo a leanas á gcur san áireamh:

(i)

cineál, scála, castacht agus tábhacht na spleáchas a bhaineann le TFC,

(ii)

na rioscaí a eascraíonn as socruithe conarthacha maidir le húsáid seirbhísí TFC a dhéantar le soláthraithe seirbhísí TFC tríú páirtí, agus criticiúlacht nó tábhacht na seirbhíse, an phróisis nó na feidhme faoi seach á cur san áireamh, agus an tionchar féideartha ar leanúnachas agus cáilíocht na seirbhísí agus na ngníomhaíochtaí airgeadais, ar leibhéal aonair agus leibhéal grúpa.
EULAW Airteagal 29 2

2.   I gcás ina n-áireofar sna socruithe conarthacha maidir le húsáid seirbhísí TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha an fhéidearthacht go ndéanfaidh soláthraí seirbhísí TFC tríú páirtí fochonrú breise ar sheirbhísí TFC lena dtacaítear le feidhm chriticiúil nó thábhachtach do sholáthraithe seirbhísí TFC tríú páirtí eile, measfaidh eintitis airgeadais na tairbhí agus na rioscaí a d’fhéadfadh teacht chun cinn i dtaca le fochonraitheoireacht den sórt sin, go háirithe i gcás fochonraitheoir TFC atá bunaithe i dtríú tír.

I gcás ina mbainfidh socruithe conarthacha le seirbhísí TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha, measfaidh eintitis airgeadais go cuí na forálacha dlí maidir le dócmhainneacht arbh infheidhme iad i gcás fhéimheacht an tsoláthraí seirbhísí TFC tríú páirtí chomh maith le haon srianta a d’fhéadfadh teacht chun cinn i leith sonraí an eintitis airgeadais a athshlánú go práinneach.

I gcás ina ndéanfar socruithe conarthacha maidir le húsáid seirbhísí TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha a thabhairt i gcrích le soláthraí seirbhísí tríú páirtí TFC atá bunaithe i dtríú tír, déanfaidh eintitis airgeadais, sa bhreis ar na gnéithe dá dtagraítear sa dara fomhír, comhlíonadh rialacha an Aontais maidir le cosaint sonraí agus forfheidhmiú éifeachtach an dlí sa tríú tír sin a mheas freisin.

I gcás ina bhforálfar sna socruithe conarthacha maidir le húsáid seirbhísí TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha d’fochonraitheoireacht, measúnóidh eintitis airgeadais cibé acu a fhéadfadh nó nach bhféadfadh slabhraí, a d’fhéadfadh a bheith ina slabhraí fochonraitheoireachta fada nó casta, dul i bhfeidhm ar a gcumas faireachán iomlán a dhéanamh ar na feidhmeanna conarthacha agus dul i bhfeidhm ar chumas an údaráis inniúil maoirseacht éifeachtach a dhéanamh ar an eintiteas airgeadais ina leith sin, agus conas a d’fhéadfadh na slabhraí sin dul i bhfeidhm amhlaidh.
EULAW Airteagal 30 1

1.   Leithdháilfear cearta agus oibleagáidí an eintitis airgeadais agus an tsoláthraí seirbhísí tríú páirtí TFC go soiléir agus leagfar amach i scríbhinn iad. Áireofar sa chonradh iomlán na comhaontuithe ar leibhéal seirbhísí agus déanfar é a dhoiciméadú i ndoiciméad scríofa amháin a bheidh ar fáil do na páirtithe ar pháipéar nó i ndoiciméad ag a bhfuil formáid eile in-íoslódáilte marthanach inléite.
EULAW Airteagal 30 2

2.   Beidh na gnéithe seo a leanas ar a laghad sna socruithe conarthacha maidir le húsáid seirbhísí TFC:

(a)

tuairisc shoiléir iomlán ar gach feidhm agus seirbhís TFC atá le soláthar ag an soláthraí seirbhísí TFC tríú páirtí, lena dtabharfar le fios an gceadaítear nó nach gceadaítear fochonraitheoireacht ar sheirbhísí TFC lena dtacaítear feidhm chriticiúil nó thábhachtach, nó codanna ábhartha di, agus nuair is é sin an cás, na coinníollacha is infheidhme maidir le fochonrú den sórt sin;

(b)

na suíomhanna, is é sin na réigiúin nó na tíortha, mar a bhfuil na feidhmeanna conarthacha nó fochonarthacha agus na seirbhísí TFC conarthacha nó fochonarthacha le soláthar agus mar a bhfuil sonraí le próiseáil, lena n-áirítear an suíomh stórála, agus an ceanglas go dtabharfaidh an soláthraí seirbhísí TFC tríú páirtí fógra don eintiteas airgeadais roimh ré má bheartaíonn sé an suíomh nó na suíomhanna sin a athrú;

(c)

Forálacha maidir le hinfhaighteacht, barántúlacht, sláine agus rúndacht i ndáil le cosaint sonraí, lena n-áirítear sonraí pearsanta;

(d)

forálacha maidir le rochtain, athshlánú agus tabhairt ar ais sonraí pearsanta agus sonraí neamhphearsanta a phróiseálann an t-eintiteas airgeadais, a áirithiú i bhformáid is inrochtana go héasca i gcás dhócmhainneacht, réitigh nó scor oibríochtaí gnó an tsoláthraí seirbhísí TFC tríú páirtí, nó i gcás fhoirceannadh na socruithe conarthacha;

(e)

tuairiscí ar leibhéal seirbhísí, lena n-áirítear nuashonruithe agus athbhreithnithe orthu sin;

(f)

an oibleagáid atá ar sholáthraí seirbhísí TFC tríú páirtí cúnamh a sholáthar don eintiteas airgeadais gan aon chostas breise, nó ar chostas a chinntear ex ante, i gcás ina dtarlaíonn teagmhas TFC a bhaineann le seirbhís TFC a sholáthraítear don eintiteas airgeadais;

(g)

an oibleagáid atá ar sholáthraí seirbhísí TFC tríú páirtí comhoibriú go hiomlán le húdaráis inniúla agus le húdaráis réitigh an eintitis airgeadais, lena n-áirítear daoine arna gceapadh acu;

(h)

cearta foirceanta agus íostréimhse fógraí ghaolmhar chun an conradh a fhoirceannadh, i gcomhréir le hionchais na n-údarás inniúil agus na n-údarás réitigh;

(i)

na coinníollacha maidir le rannpháirtíocht soláthraithe seirbhísí TFC tríú páirtí i gcláir feasachta slándála TFC na n-eintiteas airgeadais agus in oiliúint ar athléimneacht dhigiteach oibríochtúil i gcomhréir le hAirteagal 13(6).
EULAW Airteagal 30 3

3.   Áireofar sna socruithe conarthacha maidir le seirbhísí TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha a úsáid, de bhreis ar na gnéithe dá dtagraítear i mír 2, iad seo a leanas ar a laghad:

(a)

tuairiscí iomlána ar leibhéal seirbhíse, lena n-áirítear nuashonruithe agus athbhreithnithe orthu sin, agus spriocanna feidhmíochta beachta cainníochtúla agus cáilíochtúla laistigh de na leibhéil seirbhíse chomhaontaithe ag gabháil leo chun gur féidir leis an eintiteas airgeadais faireachán éifeachtach a dhéanamh ar sheirbhísí TFC agus chun gur féidir gníomhaíochtaí ceartaitheacha iomchuí a dhéanamh gan moill mhíchuí i gcás nach gcomhlíonfar leibhéil seirbhíse chomhaontaithe;

(b)

tréimhsí fógra agus oibleagáidí tuairiscithe an tsoláthraí seirbhísí TFC tríú páirtí don eintiteas airgeadais, lena n-áirítear fógra faoi aon fhorbairt a d’fhéadfadh tionchar ábhartha a imirt ar chumas an tsoláthraí seirbhísí TFC tríú páirtí na seirbhísí TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha a sholáthar go héifeachtach i gcomhréir le leibhéil seirbhíse chomhaontaithe;

(c)

ceanglais ar an soláthraí seirbhísí TFC tríú páirtí pleananna teagmhasacha gnó a chur chun feidhme agus a thástáil agus bearta, uirlisí agus beartais slándála TFC a bheith i bhfeidhm aige lena soláthraítear leibhéal iomchuí slándála lena bhféadfadh an t-eintiteas airgeadais seirbhísí a sholáthar i gcomhréir lena chreat rialála;

(d)

oibleagáid an tsoláthraí seirbhísí TFC tríú páirtí a bheith rannpháirteach agus comhoibriú go hiomlán in TLPT an eintitis airgeadais dá dtagraítear in Airteagail 26 agus 27;

(e)

an ceart chun faireachán a dhéanamh ar bhonn leanúnach ar fheidhmíocht an tsoláthraí seirbhísí TFC tríú páirtí, a mbíonn an méid a leanas i gceist:

(i)

cearta rochtana, cigireachta agus iniúchóireachta gan srian a bheith ag an eintiteas airgeadais nó ag tríú páirtí arna cheapadh, agus ag an údarás inniúil, agus an ceart chun cóipeanna de dhoiciméadacht ábhartha a dhéanamh ar an láthair má tá siad ríthábhachtach d’oibríochtaí an tsoláthraí seirbhísí TFC tríú páirtí, ar ceart é nach mbeidh a fheidhmiú éifeachtach faoi bhac ná faoi theorainn socruithe conarthacha eile ná faoi theorainn bheartas cur chun feidhme eile;

(ii)

an ceart chun teacht ar chomhaontú maidir le leibhéil dearbhaithe mhalartacha má dhéantar difear do chearta cliant eile;

(iii)

an oibleagáid ar an soláthraí seirbhísí TFC tríú páirtí comhoibriú go hiomlán le linn na gcigireachtaí agus na n-iniúchtaí ar an láthair arna ndéanamh ag na húdaráis inniúla, ag an bPríomh-Fhormhaoirseoir, ag eintiteas airgeadais nó ag tríú páirtí ceaptha; agus

(iv)

an oibleagáid sonraí a sholáthar maidir leis an raon feidhme, na nósanna imeachta atá le leanúint agus minicíocht na gcigireachtaí agus na n-iniúchtaí sin;

(f)

straitéisí scoir, go háirithe idirthréimhse leordhóthanach éigeantach a bhunú:

(i)

leanfaidh an soláthraí seirbhísí TFC tríú páirtí de na feidhmeanna nó seirbhísí TFC faoi seach a sholáthar lena linn d’fhonn an riosca suaitheadh ag an eintiteas airgeadais a laghdú nó d’fhonn a réiteach agus a athstruchtúrú éifeachtach a áirithiú;

(ii)

rud lena bhfágfaidh go mbeidh an t-eintiteas airgeadais in ann aistriú chuig soláthraí seirbhísí TFC tríú páirtí eile nó athrú chuig réitigh inmheánacha i gcomhréir le castacht na seirbhíse arna soláthar.

Féadfaidh an soláthraí seirbhísí TFC tríú páirtí agus an t-eintiteas ar micrifhiontar é a chomhaontú, de mhaolú ar phointe (e), go bhféadfar cearta rochtana, cigireachta agus iniúchóireachta an eintitis airgeadais a tharmligean chuig tríú páirtí neamhspleách, arna cheapadh ag an soláthraí seirbhísí TFC tríú páirtí, agus go bhféadfaidh an t-eintiteas airgeadais faisnéis agus dearbhú maidir le feidhmíocht an tsoláthraí seirbhísí TFC tríú páirtí a iarraidh ar an tríú páirtí am ar bith.
EULAW Airteagal 30 4

4.   Agus idirbheartaíocht á déanamh i leith socruithe conarthacha, measfaidh eintitis airgeadais agus soláthraithe seirbhísí TFC tríú páirtí úsáid a bhaint as clásail chonarthacha chaighdeánacha a fhorbróidh údaráis phoiblí le haghaidh seirbhísí sonracha.

Saincheisteanna nasctha

Naisc
is related to Annual
is related to relative Control Weighting = 10
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 Unauthorized Retention / Inability to Dispose of Data
blocks Business / Service Interruption
blocks Contractual Default / Termination
blocks Regulatory / Legal / Contractual Financial Liability
blocks Loss of Authorization / Certification / License
blocks Failure to Support Business / Mission Objectives
blocks Unaddressed Security / Compliance Exposure
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Third-Party Security / Privacy Exposure
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 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 Dysfunctional Management Practices
blocks Human Error
blocks Statutory / Regulatory / Contractual Change
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 Sanctions / Trade Restriction Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks HR-06.02B
blocks PS-01.05B
blocks PS-06.04AC
blocks OPS-11.02B
blocks IAM-07.06B
blocks IAM-07.06AS
blocks IAM-07.01AC
blocks PI-02.01B
blocks PI-02.01AC
blocks PI-02.02AC
blocks DEV-02.01B
blocks SSO-01.01B
blocks SSO-01.02AC
blocks SSO-03.02B
blocks SIM-04.02AC
blocks COM-02.01AC
blocks PSS-12.03B
blocks Unauthorized Retention / Inability to Dispose of Data
blocks Business / Service Interruption
blocks Contractual Default / Termination
blocks Regulatory / Legal / Contractual Financial Liability
blocks Loss of Authorization / Certification / License
blocks Failure to Support Business / Mission Objectives
blocks Unaddressed Security / Compliance Exposure
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Third-Party Security / Privacy Exposure
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 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 Dysfunctional Management Practices
blocks Human Error
blocks Statutory / Regulatory / Contractual Change
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 Sanctions / Trade Restriction Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks HR-06.02B
blocks PS-01.05B
blocks PS-06.04AC
blocks OPS-11.02B
blocks IAM-07.06B
blocks IAM-07.06AS
blocks IAM-07.01AC
blocks PI-02.01B
blocks PI-02.01AC
blocks PI-02.02AC
blocks DEV-02.01B
blocks SSO-01.01B
blocks SSO-01.02AC
blocks SSO-03.02B
blocks SIM-04.02AC
blocks COM-02.01AC
blocks PSS-12.03B
blocks Unauthorized Retention / Inability to Dispose of Data
blocks Business / Service Interruption
blocks Contractual Default / Termination
blocks Regulatory / Legal / Contractual Financial Liability
blocks Loss of Authorization / Certification / License
blocks Failure to Support Business / Mission Objectives
blocks Unaddressed Security / Compliance Exposure
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Third-Party Security / Privacy Exposure
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 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 Dysfunctional Management Practices
blocks Human Error
blocks Statutory / Regulatory / Contractual Change
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 Sanctions / Trade Restriction Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks HR-06.02B
blocks PS-01.05B
blocks PS-06.04AC
blocks OPS-11.02B
blocks IAM-07.06B
blocks IAM-07.06AS
blocks IAM-07.01AC
blocks PI-02.01B
blocks PI-02.01AC
blocks PI-02.02AC
blocks DEV-02.01B
blocks SSO-01.01B
blocks SSO-01.02AC
blocks SSO-03.02B
blocks SIM-04.02AC
blocks COM-02.01AC
blocks PSS-12.03B
is blocked by TPM-14 Third-Party Contract Requirements – Assessment Procedure
blocks SR-03(03) Sub-tier Flow Down
blocks 03.01.20 Use of External Systems
blocks 03.07.06 Maintenance Personnel
blocks 03.16.03 External System Services
blocks 03.17.02 Acquisition Strategies, Tools, and Methods
blocks 03.17.03 Supply Chain Requirements and Processes
blocks GV.OC-02 Internal and external stakeholders are understood, and their needs and expectations regarding cybersecurity risk management are understood and …
blocks GV.OC-03 Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and …
blocks GV.SC-02 Cybersecurity roles and responsibilities for suppliers, customers, and partners are established, communicated, and coordinated internally and …
blocks GV.SC-05 Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and other types of …
blocks GV.SC-06 Planning and due diligence are performed to reduce risks before entering into formal supplier or other third-party relationships
blocks PO.1 Define Security Requirements for Software Development
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