+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. Przegląd

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 Odwołania

1.2 Zidentyfikowane wymagania

1.3 Powiązane regulacje

2. Zidentyfikowane wymagania

Wymagania

3. Powiązane regulacje

Regulacje
EULAW Artykuł 11 Bezpieczeństwo danych i systemów
-
EULAW Artykuł 13 Zarządzanie bezpieczeństwem sieci

Artykuł 13

Zarządzanie bezpieczeństwem sieci

Przy wprowadzaniu zabezpieczeń zapewniających ochronę sieci przed włamaniami i wykorzystaniem danych niezgodnie z przeznaczeniem podmioty finansowe opracowują, dokumentują i wdrażają polityki, procedury, protokoły i narzędzia w zakresie zarządzania bezpieczeństwem sieci obejmujące wszystkie następujące elementy:

a) 

segregację i segmentację systemów i sieci ICT z uwzględnieniem:

(i) 

krytyczności lub istotności funkcji, którą te systemy i sieci ICT wspierają;

(ii) 

klasyfikacji ustanowionej zgodnie z art. 8 ust. 1 rozporządzenia (UE) 2022/2554;

(iii) 

ogólnego profilu ryzyka związanego z zasobami ICT wykorzystującymi te systemy i sieci ICT;

b) 

dokumentację wszystkich połączeń sieciowych i przepływów danych podmiotu finansowego;

c) 

wykorzystanie odrębnej i wyspecjalizowanej sieci do administrowania zasobami ICT;

d) 

określenie i wdrożenie kontroli dostępu do sieci w celu zapobiegania podłączaniu do sieci podmiotu finansowego za pomocą jakiegokolwiek nieuprawnionego urządzenia lub systemu lub jakiegokolwiek punktu końcowego niespełniającego wymogów bezpieczeństwa podmiotu finansowego oraz wykrywania takich przypadków;

e) 

szyfrowanie połączeń sieciowych przechodzących przez sieci korporacyjne, sieci publiczne, sieci krajowe, sieci podmiotów zewnętrznych i sieci bezprzewodowe do celów wykorzystywanych protokołów komunikacyjnych, z uwzględnieniem wyników zatwierdzonej klasyfikacji danych, wyników oceny ryzyka związanego z ICT oraz szyfrowania połączeń sieciowych, o których mowa w art. 6 ust. 2;

f) 

projektowanie sieci zgodnie z wymogami bezpieczeństwa ICT ustanowionymi przez podmiot finansowy, z uwzględnieniem wiodących praktyk w celu zapewnienia poufności, integralności i dostępności sieci;

g) 

zabezpieczenie ruchu w sieci między sieciami wewnętrznymi a internetem i innymi połączeniami zewnętrznymi;

h) 

określenie ról i obowiązków oraz etapów specyfikacji, wdrożenia, zatwierdzenia, zmiany i przeglądu reguł zapory sieciowej i filtrów połączeń;

i) 

przeprowadzanie przeglądów architektury sieci i struktury bezpieczeństwa sieci raz w roku, a w przypadku mikroprzedsiębiorstw – okresowo, w celu zidentyfikowania potencjalnych podatności;

j) 

środki tymczasowego izolowania, w razie potrzeby, podsieci oraz elementów i urządzeń sieci;

k) 

wdrożenie bezpiecznego poziomu bazowego konfiguracji wszystkich elementów sieci oraz umacnianie sieci i urządzeń sieciowych zgodnie z wszelkimi instrukcjami dostawcy, w stosownych przypadkach, normami w rozumieniu art. 2 pkt 1 rozporządzenia (UE) nr 1025/2012 oraz wiodącymi praktykami;

l) 

procedury ograniczania, blokowania i zamykania systemu oraz sesji zdalnych po upływie określonego okresu braku aktywności;

m) 

w odniesieniu do umów o świadczenie usług sieciowych:

(i) 

identyfikację i specyfikację środków bezpieczeństwa ICT i informacji, poziomów usług i wymogów w zakresie zarządzania w odniesieniu do wszystkich usług sieciowych;

(ii) 

wskazanie, czy usługi te są świadczone przez dostawcę usług ICT wewnątrz grupy czy przez zewnętrznych dostawców usług ICT.

Do celów lit. h) podmioty finansowe regularnie przeprowadzają przegląd reguł zapory sieciowej i filtrów połączeń zgodnie z klasyfikacją ustanowioną zgodnie z art. 8 ust. 1 rozporządzenia (UE) 2022/2554 oraz ogólnym profilem ryzyka odpowiednich systemów ICT. W przypadku systemów ICT, które wspierają krytyczne lub istotne funkcje, podmioty finansowe weryfikują adekwatność obowiązujących reguł zapory sieciowej i filtrów połączeń co najmniej raz na sześć miesięcy.
EULAW Artykuł 28 Zasady ogólne
-
EULAW Artykuł 29 Wstępna ocena ryzyka koncentracji w obszarze ICT
-
EULAW Artykuł 30 Najważniejsze postanowienia umowne
-
EULAW Artykuł 21 Środki zarządzania ryzykiem w cyberbezpieczeństwie
-
EULAW Artykuł 28 Zasady ogólne
-
EULAW Artykuł 29 Wstępna ocena ryzyka koncentracji w obszarze ICT
-
EULAW Artykuł 30 Najważniejsze postanowienia umowne
-
EULAW Artykuł 21 Środki zarządzania ryzykiem w cyberbezpieczeństwie
-
EULAW Artykuł 28 Zasady ogólne
-
EULAW Artykuł 29 Wstępna ocena ryzyka koncentracji w obszarze ICT
-
EULAW Artykuł 30 Najważniejsze postanowienia umowne
-
EULAW Artykuł 21 Środki zarządzania ryzykiem w cyberbezpieczeństwie
-
EULAW Article 28 1

1.   Financial entities shall manage ICT third-party risk as an integral component of ICT risk within their ICT risk management framework as referred to in Article 6(1), and in accordance with the following principles:

(a)

financial entities that have in place contractual arrangements for the use of ICT services to run their business operations shall, at all times, remain fully responsible for compliance with, and the discharge of, all obligations under this Regulation and applicable financial services law;

(b)

financial entities’ management of ICT third-party risk shall be implemented in light of the principle of proportionality, taking into account:

(i)

the nature, scale, complexity and importance of ICT-related dependencies,

(ii)

the risks arising from contractual arrangements on the use of ICT services concluded with ICT third-party service providers, taking into account the criticality or importance of the respective service, process or function, and the potential impact on the continuity and availability of financial services and activities, at individual and at group level.
EULAW Article 29 2

2.   Where the contractual arrangements on the use of ICT services supporting critical or important functions include the possibility that an ICT third-party service provider further subcontracts ICT services supporting a critical or important function to other ICT third-party service providers, financial entities shall weigh benefits and risks that may arise in connection with such subcontracting, in particular in the case of an ICT subcontractor established in a third-country.

Where contractual arrangements concern ICT services supporting critical or important functions, financial entities shall duly consider the insolvency law provisions that would apply in the event of the ICT third-party service provider’s bankruptcy as well as any constraint that may arise in respect to the urgent recovery of the financial entity’s data.

Where contractual arrangements on the use of ICT services supporting critical or important functions are concluded with an ICT third-party service provider established in a third country, financial entities shall, in addition to the considerations referred to in the second subparagraph, also consider the compliance with Union data protection rules and the effective enforcement of the law in that third country.

Where the contractual arrangements on the use of ICT services supporting critical or important functions provide for subcontracting, financial entities shall assess whether and how potentially long or complex chains of subcontracting may impact their ability to fully monitor the contracted functions and the ability of the competent authority to effectively supervise the financial entity in that respect.
EULAW Article 30 1

1.   The rights and obligations of the financial entity and of the ICT third-party service provider shall be clearly allocated and set out in writing. The full contract shall include the service level agreements and be documented in one written document which shall be available to the parties on paper, or in a document with another downloadable, durable and accessible format.
EULAW Article 30 2

2.   The contractual arrangements on the use of ICT services shall include at least the following elements:

(a)

a clear and complete description of all functions and ICT services to be provided by the ICT third-party service provider, indicating whether subcontracting of an ICT service supporting a critical or important function, or material parts thereof, is permitted and, when that is the case, the conditions applying to such subcontracting;

(b)

the locations, namely the regions or countries, where the contracted or subcontracted functions and ICT services are to be provided and where data is to be processed, including the storage location, and the requirement for the ICT third-party service provider to notify the financial entity in advance if it envisages changing such locations;

(c)

provisions on availability, authenticity, integrity and confidentiality in relation to the protection of data, including personal data;

(d)

provisions on ensuring access, recovery and return in an easily accessible format of personal and non-personal data processed by the financial entity in the event of the insolvency, resolution or discontinuation of the business operations of the ICT third-party service provider, or in the event of the termination of the contractual arrangements;

(e)

service level descriptions, including updates and revisions thereof;

(f)

the obligation of the ICT third-party service provider to provide assistance to the financial entity at no additional cost, or at a cost that is determined ex-ante, when an ICT incident that is related to the ICT service provided to the financial entity occurs;

(g)

the obligation of the ICT third-party service provider to fully cooperate with the competent authorities and the resolution authorities of the financial entity, including persons appointed by them;

(h)

termination rights and related minimum notice periods for the termination of the contractual arrangements, in accordance with the expectations of competent authorities and resolution authorities;

(i)

the conditions for the participation of ICT third-party service providers in the financial entities’ ICT security awareness programmes and digital operational resilience training in accordance with Article 13(6).
EULAW Article 30 3

3.   The contractual arrangements on the use of ICT services supporting critical or important functions shall include, in addition to the elements referred to in paragraph 2, at least the following:

(a)

full service level descriptions, including updates and revisions thereof with precise quantitative and qualitative performance targets within the agreed service levels to allow effective monitoring by the financial entity of ICT services and enable appropriate corrective actions to be taken, without undue delay, when agreed service levels are not met;

(b)

notice periods and reporting obligations of the ICT third-party service provider to the financial entity, including notification of any development that might have a material impact on the ICT third-party service provider’s ability to effectively provide the ICT services supporting critical or important functions in line with agreed service levels;

(c)

requirements for the ICT third-party service provider to implement and test business contingency plans and to have in place ICT security measures, tools and policies that provide an appropriate level of security for the provision of services by the financial entity in line with its regulatory framework;

(d)

the obligation of the ICT third-party service provider to participate and fully cooperate in the financial entity’s TLPT as referred to in Articles 26 and 27;

(e)

the right to monitor, on an ongoing basis, the ICT third-party service provider’s performance, which entails the following:

(i)

unrestricted rights of access, inspection and audit by the financial entity, or an appointed third party, and by the competent authority, and the right to take copies of relevant documentation on-site if they are critical to the operations of the ICT third-party service provider, the effective exercise of which is not impeded or limited by other contractual arrangements or implementation policies;

(ii)

the right to agree on alternative assurance levels if other clients’ rights are affected;

(iii)

the obligation of the ICT third-party service provider to fully cooperate during the onsite inspections and audits performed by the competent authorities, the Lead Overseer, financial entity or an appointed third party; and

(iv)

the obligation to provide details on the scope, procedures to be followed and frequency of such inspections and audits;

(f)

exit strategies, in particular the establishment of a mandatory adequate transition period:

(i)

during which the ICT third-party service provider will continue providing the respective functions, or ICT services, with a view to reducing the risk of disruption at the financial entity or to ensure its effective resolution and restructuring;

(ii)

allowing the financial entity to migrate to another ICT third-party service provider or change to in-house solutions consistent with the complexity of the service provided.

By way of derogation from point (e), the ICT third-party service provider and the financial entity that is a microenterprise may agree that the financial entity’s rights of access, inspection and audit can be delegated to an independent third party, appointed by the ICT third-party service provider, and that the financial entity is able to request information and assurance on the ICT third-party service provider’s performance from the third party at any time.
EULAW Article 30 4

4.   When negotiating contractual arrangements, financial entities and ICT third-party service providers shall consider the use of standard contractual clauses developed by public authorities for specific services.

Powiązane zgłoszenia

Powiązania
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
  • Secure Controls Framework -

    The Secure Controls Framework® (SCF)

    "The SCF is the Common Controls Framework™ (CCF), the world's most comprehensive cybersecurity and data privacy metaframework - it is also free to use. The entire concept is building secure, compliant and resilient capabilities in the most efficient and cost-effective manner possible.

    The SCF is more than just a unified control catalog, since its included content creates a playbook for Governance, Risk & Compliance (GRC) capabilities. Used globally by organizations of every size, the SCF is a robust and scalable solution for security, compliance and resilience controls. As a comprehensive security framework, the SCF maps 1,400+ controls across 200+ laws, regulations, and industry frameworks so you can implement once and comply everywhere.

    Like it or not, cybersecurity is a protracted war on an asymmetric battlefield, where the threats are everywhere and as defenders we have to make the effort to work together to help improve cybersecurity and data privacy practices, since we all suffer when massive data breaches occur or when cyber attacks have physical impacts. Hackers share information on attack methods with other hackers, so why shouldn’t the good guys share information on how to best protect an organization? We decided to take action and make a difference, since we feel it is too important to wait for someone else to fix the problems that exist.

    The SCF is made up of volunteers, mainly specialists within the cybersecurity profession, who focus on GRC and the cybersecurity side of data privacy. These are auditors, engineers, architects, incident responders, consultants and other specialists who live and breathe these topics on a daily basis. The end product is "expert-derived content" that makes up the SCF." https://securecontrolsframework.com/ 

    Terms & Conditions

    The SCF End User License Agreement (EULA) governs the use of the Secure Controls Framework® (SCF) under the Creative Commons Attribution-No Derivatives 4.0 International Public License.