+Third-Party Management

Third-Party Management

Description

Mechanisms exist to facilitate the implementation of third-party management controls.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

∙ Cybersecurity Supply Chain Risk Management (C-SCRM) program
∙ Product / project management

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

Third-Party Management (TPM) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with TPM domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Third-party management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ No centralized inventory of External Service Providers (ESP) is maintained.
▪ ESP are not formally managed according to criticality.

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 facilitate the implementation of third-party management 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 8 (4)
Entitățile financiare identifică toate activele informaționale și activele TIC, inclusiv cele din locații aflate la distanță, resursele de rețea și echipamentele hardware și le inventariază pe cele considerate esențiale. Acestea cartografiază configurația activelor informaționale și a activelor TIC și legăturile și interdependențele dintre diferitele active informaționale și active TIC.
EULAW Articolul 21 Măsuri de gestionare a riscurilor în materie de securitate cibernetică
EULAW Articolul 28 Guvernanța și organizarea
EULAW Articolul 29 Politica și măsurile de securitate a informațiilor
EULAW Articolul 30 Dispoziții contractuale esențiale
EULAW Articolul 31 Desemnarea furnizorilor terți esențiali de servicii TIC
EULAW Articolul 30 Dispoziții contractuale esențiale
EULAW Articolul 31 Desemnarea furnizorilor terți esențiali de servicii TIC
EULAW Articolul 30 Dispoziții contractuale esențiale
EULAW Articolul 31 Desemnarea furnizorilor terți esențiali de servicii TIC
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.
EULAW Articolul 31 (12)
Entitățile financiare utilizează serviciile unui furnizor terț de servicii TIC stabilit într-o țară terță și care a fost desemnat ca fiind esențial în conformitate cu alineatul (1) litera (a) numai în cazul în care acesta din urmă a înființat o filială în Uniune în termen de 12 luni de la desemnare.

Tichete legate

Legături
is related to Annual
is related to relative Control Weighting = 09
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 Loss of Accountability / Attribution
blocks Excessive or Unauthorized Privilege
blocks Unauthorized Privilege Elevation
blocks Unauthorized Access
blocks Loss, Theft or Damage of Assets
blocks Unauthorized Modification / Loss of System Integrity
blocks Unauthorized Retention / Inability to Dispose of Data
blocks Business / Service Interruption
blocks Data Loss / Integrity Compromise
blocks Reduced Operational Productivity
blocks System / Data Compromise (Technical Vector)
blocks System / Data Compromise (Non-Technical Vector)
blocks Revenue Loss
blocks Contractual Default / Termination
blocks Loss of Competitive Advantage
blocks Reputational Harm / Loss of Stakeholder Trust
blocks Regulatory / Legal / Contractual Financial Liability
blocks Exposure from Unaddressed Vulnerabilities
blocks System / Service Compromise
blocks Failure to Support Business / Mission Objectives
blocks Unaddressed Security / Compliance Exposure
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Internal Security / Privacy Exposure
blocks Uncontrolled Third-Party Security / Privacy Exposure
blocks Lack of oversight of internal controls
blocks Lack of oversight of third-party controls
blocks Loss of Investigative / Evidentiary Capability
blocks Delayed Containment / Increased Incident Impact
blocks Incident Persistence / Recurrence
blocks Incident Response / Recovery Cost
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
is related to relative Control Weighting = 10
is related to Govern
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Confidentiality
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 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 Manufacturing Capacity / Supply Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks SSO-01.01B
blocks SSO-07.01B
blocks SSO-07.01AS
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Confidentiality
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 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 Manufacturing Capacity / Supply Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks SSO-01.01B
blocks SSO-07.01B
blocks SSO-07.01AS
blocks Loss of Authorization / Certification / License
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Concentration / Single-Point Dependency Failure
blocks Counterfeit / Non-Conforming Component Impact
blocks Loss of Confidentiality
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 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 Manufacturing Capacity / Supply Disruption
blocks Supplier Financial Distress / Insolvency
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks SSO-01.01B
blocks SSO-07.01B
blocks SSO-07.01AS
is blocked by TPM-02 Third-Party Management – Assessment Procedure
blocks SA-04 Acquisition Process
blocks SR-01 Policy and Procedures
blocks SA-04 [L] Acquisition Process
blocks SR-01 [L] Policy and Procedures
blocks SA-04 [M] Acquisition Process
blocks SR-01 [M] Policy and Procedures
blocks SA-04 [H] Acquisition Process
blocks SR-01 [H] Policy and Procedures
blocks SA-04 [P] Acquisition Process
blocks 03.01.20 Use of External Systems
blocks 03.07.06 Maintenance Personnel
blocks 03.16.01 Security Engineering Principles
blocks 03.16.03 External System Services
blocks 03.17.02 Acquisition Strategies, Tools, and Methods
blocks GV.SC-04 Suppliers are known and prioritized by criticality
blocks GV.SC-06 Planning and due diligence are performed to reduce risks before entering into formal supplier or other third-party relationships
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 GV.SC-08 Relevant suppliers and other third parties are included in incident planning, response, and recovery activities
blocks GV.SC-10 Cybersecurity supply chain risk management plans include provisions for activities that occur after the conclusion of a partnership or service …
blocks ID.AM Asset Management
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