+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. Prezentare generală

1.1 Referințe

1.2 Cerințe identificate

1.3 Reglementări asociate

2. Cerințe identificate

Cerințe

3. Reglementări asociate

Reglementări
EULAW Articolul 10 Gestionarea vulnerabilităților și a corecțiilor
EULAW Articolul 28 Principii generale
EULAW Articolul 30 Dispoziții contractuale esențiale
EULAW Articolul 21 Măsuri de gestionare a riscurilor în materie de securitate cibernetică
EULAW Articolul 28 (6)
În exercitarea drepturilor de acces, de inspecție și de audit cu privire la furnizorul terț de servicii TIC, entitățile financiare stabilesc în prealabil, utilizând o abordare bazată pe riscuri, frecvența auditurilor și a inspecțiilor, precum și domeniile care urmează să fie auditate prin aderarea la standardele de audit acceptate de comun acord, în concordanță cu instrucțiunile de supraveghere privind utilizarea și integrarea unor astfel de standarde de audit.

În cazul în care acordurile contractuale încheiate cu furnizori terți de servicii TIC privind utilizarea unor servicii TIC prezintă o complexitate tehnică ridicată, entitatea financiară verifică dacă auditorii, atât cei interni, cât și cei externi, sau un grup de auditori, dețin competențele și cunoștințele corespunzătoare pentru a efectua în mod eficace auditurile și evaluările relevante.
EULAW Articolul 30 (3)

Acordurile contractuale privind utilizarea serviciilor TIC care sprijină funcții critice sau importante includ, în plus față de elementele menționate la alineatul (2), cel puțin următoarele:

(a) 

descrieri complete la nivelul serviciilor, inclusiv actualizări și revizuiri ale acestora, cu obiective cantitative și calitative precise privind performanța în limitele nivelurilor convenite ale serviciilor, pentru a permite monitorizarea eficace de către entitatea financiară a serviciilor TIC și adoptarea unor măsuri corective adecvate, fără întârzieri nejustificate, atunci când nu sunt asigurate nivelurile convenite ale serviciilor;

(b) 

perioade de preaviz și obligații de raportare către entitatea financiară pentru furnizorul terț de servicii TIC, inclusiv notificarea oricărei evoluții care ar putea avea un impact semnificativ asupra capacității furnizorului terț de servicii TIC de a furniza în mod eficace serviciile TIC în sprijinul funcțiilor critice sau importante, în concordanță cu nivelurile convenite ale serviciului;

(c) 

cerințe ca furnizorul terț de servicii TIC să pună în aplicare și să testeze planuri pentru situații neprevăzute și să dispună de măsuri, instrumente și politici în materie de securitate a TIC care să asigure un nivel adecvat de securitate în ceea ce privește furnizarea serviciilor de către entitatea financiară, în concordanță cu cadrul său de reglementare;

(d) 

obligația furnizorului terț de servicii TIC de a participa la TLPT ale entității financiare și de a coopera pe deplin în cadrul realizării acestora, astfel cum se menționează la articolele 26 și 27;

(e) 

dreptul de a monitoriza, în permanență, performanța furnizorului terț de servicii TIC, care presupune următoarele:

(i) 

drepturile nerestricționate de acces, de inspecție și de audit de către entitatea financiară sau o parte terță desemnată și de către autoritatea competentă, precum și dreptul de a produce copii ale documentelor relevante la fața locului, dacă acestea sunt esențiale pentru operațiunile furnizorului terț de servicii TIC, drepturi a căror exercitare efectivă nu este împiedicată sau limitată de alte acorduri contractuale sau politici de punere în aplicare;

(ii) 

dreptul de a conveni asupra unor niveluri de asigurare alternative în cazul în care sunt afectate drepturile altor clienți;

(iii) 

obligația furnizorului terț de servicii TIC de a coopera pe deplin în timpul inspecțiilor și auditurilor la fața locului efectuate de autoritățile competente, de supraveghetorul principal, de entitatea financiară sau de o parte terță desemnată; și

(iv) 

obligația de a transmite detalii privind domeniul de aplicare, procedurile care trebuie urmate și frecvența unor astfel de inspecții și audituri;

(f) 

strategiile de ieșire, în special stabilirea unei perioade de tranziție adecvate obligatorii:

(i) 

în cursul căreia furnizorul terț de servicii TIC va continua să furnizeze funcțiile sau serviciile TIC respective vizând să reducă riscul de perturbare în cadrul entității financiare sau să asigure rezoluția și restructurarea sa eficace;

(ii) 

care permite entității financiare să migreze către un alt furnizor terț de servicii TIC sau să treacă la soluții dezvoltate de aceasta pe plan intern, în conformitate cu complexitatea serviciului furnizat.

Prin derogare de la litera (e), furnizorul terț de servicii TIC și entitatea financiară care este o microîntreprindere pot conveni ca drepturile de acces, de inspecție și de audit ale entității financiare să poată fi delegate unui terț independent, numit de furnizorul terț de servicii TIC, și ca entitatea financiară să poată solicita în orice moment din partea terțului informații și asigurări cu privire la performanța furnizorului terț de servicii TIC.

Tichete legate

Legături
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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