TPM-24.5: Third-Party Knowledge & Operational Transfer
Mechanisms exist to ensure applicable knowledge, documentation, configurations, credentials, procedures and operational responsibilities are transferred to authorized personnel, a replacement third-party or internally-managed service prior to the cessation of third-party services.
Control Question: Does the organization ensure applicable knowledge, documentation, configurations, credentials, procedures and operational responsibilities are transferred to authorized personnel, a replacement third-party or internally-managed service prior to the cessation of third-party services?
Capability Maturity Model
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.
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).
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.
Assessment Objectives
- TPM-24.5_A01 the knowledge, documentation, configurations, credentials, procedures and operational responsibilities that must be transferred upon cessation of third-party services are identified for each applicable third-party relationship.
- TPM-24.5_A02 knowledge, documentation and procedures necessary to operate and maintain the affected services are transferred to authorized personnel, a replacement third-party or internally-managed service before the cessation of third-party services.
- TPM-24.5_A03 configurations and credentials necessary to operate and maintain the affected services are transferred through protected means to authorized recipients, and transferred credentials are changed upon receipt.
- TPM-24.5_A04 operational responsibilities for the affected services are formally handed over to named personnel or the replacement service provider before the cessation of third-party services.
- TPM-24.5_A05 completion of the knowledge and operational transfer is confirmed and recorded before the third-party services cease.
Evidence Requirements
- E-TPM-08 Third-Party Exit / Transition Plan
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Documented evidence of exit strategies and transition plans for third-party relationships, including TAASD portability, disposition, knowledge transfer and exit contingencies.
Third-Party Management
Technology Recommendations
Micro/Small
- Obtain administrator credentials and documentation from outgoing IT/MSP vendors
- Change passwords after handover
Small
- Knowledge transfer and documentation requirements in contracts
- Handover checklist for managed services
Medium
- Formal knowledge transfer plan for critical services
- Documentation and configuration repository ownership
- Credential rotation after transfer
Large
- Structured transition-out requirements with defined deliverables
- Recorded knowledge transfer sessions
- PAM-controlled credential transfer and rotation
Enterprise
- Enterprise transition-out playbooks with contractual knowledge transfer obligations
- Documentation and configuration management standards for outsourced services
- Independent verification of handover completeness