+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. Forbhreathnú

1.1 Tagairtí

1.2 Ceanglais aitheanta

1.3 Rialacháin ghaolmhara

2. Ceanglais aitheanta

Ceanglais

3. Rialacháin ghaolmhara

Rialacháin
EULAW Airteagal 10 Bainistíocht leochaileachta agus bainistiú paistí
EULAW Airteagal 28 Prionsabail ghinearálta
-
EULAW Airteagal 30 Príomhfhorálacha conarthacha
-
EULAW Airteagal 21 Bearta bainistíochta riosca cibearshlándála
-
EULAW Airteagal 28 6

6.   Agus cearta rochtana, cigireachta agus iniúchóireachta á bhfeidhmiú maidir le soláthraí seirbhísí TFC tríú páirtí, cinnfidh eintitis airgeadais, ar bhonn cur chuige rioscabhunaithe, minicíocht na n-iniúchtaí agus na gcigireachtaí chomh maith leis na réimsí a bheidh le hiniúchadh, roimh ré, trí bheith ag cloí le caighdeáin iniúchóireachta a bhfuil glacadh coitianta leo i gcomhréir le haon treoir mhaoirseachta maidir leis na caighdeáin iniúchóireachta sin a úsáid agus a chuimsiú.

I gcás socruithe conarthacha arna dtabhairt i gcrích le soláthraithe seirbhísí TFC tríú páirtí maidir leis an úsáid a bhaintear as seirbhísí TFC agus a mbaineann ardleibhéal castachta teicniúla leo, fíoróidh an t-eintiteas airgeadais go mbeidh scileanna agus eolas iomchuí ag iniúchóirí, bídís inmheánach nó seachtrach, nó ag comhthiomsú iniúchóirí, chun na hiniúchtaí agus na measúnuithe ábhartha a dhéanamh go héifeachtach.
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.

Saincheisteanna nasctha

Naisc
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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