NIST Third Party Compliance Checklist

A Checklist for Compliance
NIST and Third-Party Risk

Management
Table of Contents
NIST and Third-Party Risk Management ............................................................ 3
Supply Chain Risk Management Controls in SP 800-53 Rev. 5 .................................. 3
How SP 800-161 Rev. 1 Complements Supply Chain Risk Management ...................... 4
Supply Chain Risk Management Requirements in the Cybersecurity

Framework v1.1 ...................................................................................................... 4
Mapping Prevalent Capabilities to NIST Supply Chain Risk Management

Control Requirements.......................................................................................... 5
Summary Guidelines and Recommendations...................................................... 24
The Prevalent Difference...................................................................................... 25
About Prevalent ................................................................................................... 26
2
NIST and Third-Party Risk Management
The National Institute of Standards and Technology (NIST) is a federal agency within the United States
Department of Commerce. NIST’s responsibilities include establishing computer and information
technology-related standards and guidelines for federal agencies. Because NIST publishes and maintains
key resources for managing cybersecurity risks applicable to any company, nearly 50% of private sector
organizations have also adopted their guidelines, making NIST publications the primary standards for
evaluating IT controls.
Although several NIST special publications have specific controls that address third-party supplier
IT security, the most applicable are:
• SP 800-53 Rev. 5: Security and Privacy Controls for Information Systems and Organizations
• SP 800-161 Rev. 1: Cybersecurity Supply Chain Risk Management Practices for Federal Information
Systems and Organizations
• Cybersecurity Framework v1.1: Framework for Improving Critical Infrastructure Cybersecurity
These guidelines complement one another, so your organization can standardize on one special publication
can cross-map to the others – in effect meeting multiple requirements using a single framework.
This guide examines the applicable supply chain cybersecurity controls and guidance in NIST publications
and identifies capabilities available in the Prevalent Third-Party Risk Management Platform that you can use
to meet NIST requirements for stronger supply chain security.
Supply Chain Risk Management Controls in SP 800-53 Rev. 5

NIST supply chain security and data privacy controls have evolved with each SP 800-53 revision. For
example, in SP 800-53 Rev. 4 Supply Chain Protection was covered under a broader “System & Service
Acquisition” control group. This single control addressed the need to identify vulnerabilities throughout an
information system’s lifecycle, and to respond through strategy and controls. It encouraged organizations to
procure third-party solutions to implement security safeguards. It also required organizations to review and
assess suppliers and their products prior to engagement for broader supply chain visibility.
Acknowledging the increasing number of third-party supplier-related data breaches and other security
events, SP 800-53 Rev. 5 expands and refines the supply chain security and privacy guidelines by
establishing an entirely new control group, “SR-Supply Chain Risk Management.” It also requires
organizations to develop and plan for managing supply chain risks by:
• Using formal risk management plans and policies to drive the supply chain management process
• Emphasizing security and privacy through collaboration in identifying risks and threats, and through the
application of security and privacy-based controls
• Requiring transparency of systems and products (e.g., lifecycle, traceability, and component authenticity)
• Increasing awareness of the need to pre-assess organizations, and to ensure visibility into issues
and breaches
3
How SP 800-161 Rev. 1 Complements Supply Chain Risk Management
NIST SP 800-53 is considered the foundation upon which all other cybersecurity controls are built. With
SP 800-161 Rev. 1, NIST outlines a complementary framework to frame, assess, respond to, and monitor
cybersecurity supply chain risks.
SP 800-161 further identifies the following dimensions that form the framework of cybersecurity supply
chain management:
• Culture and Awareness • Reliability • Maintainability

• Security • Usability • Integrity
• Suitability • Quality • Scalability
• Safety • Efficiency • Resilience
Together, SP 800-53 and supplemental SP 800-161 control guidance present a comprehensive framework
for assessing and mitigating supplier cybersecurity risks.
Supply Chain Risk Management Requirements in the Cybersecurity

Framework v1.1
The Cybersecurity Framework is another NIST publication that
applies to third-party risk management and supply chain security.
The Framework leverages existing security frameworks, such as
CIS, COBIT, ISA, ISO/IEC and NIST, to avoid creating an undue
burden on organizations to address requirements. Specific supply
chain risk management subcategories identified in the CSF include:
• ID.SC-1: Identify, establish, assess, and manage cyber

supply chain risk management processes, and ensure that
organizational stakeholders agree.
• ID.SC-2: Identify, prioritize, and assess suppliers and third-

party partners of information systems, components, and
services using a cyber supply chain risk assessment process.
• ID.SC-3: Implement appropriate measures in supplier and

third-party partner contracts to meet the objectives of an
organization’s cybersecurity program and Cyber Supply Chain
Risk Management Plan.
• ID.SC-4: Routinely assess suppliers and third-party partners using audits, test results, or other forms of
evaluations to confirm they are meeting their contractual obligations.
• ID.SC-5: Conduct response and recovery planning and testing with suppliers and third-party providers.
The next section of this checklist cross-maps applicable supplier risk management guidance between
these three NIST publications.
4
Mapping Prevalent Capabilities to NIST Cybersecurity Supply
Chain Risk Management Control Requirements
The summary table below maps capabilities available in the Prevalent Third-Party Risk Management
Platform to select third-party vendor or supplier controls present in SP 800-53, with SP 800-161 and the
Cybersecurity Framework v1.1 control overlays (bolded) applied to the table to illustrate cross-mapping.
NOTE: This table should not be considered definitive guidance. For a complete list of controls, please review
the complete SP 800-53, SP 800-161 and Cybersecurity Framework v1.1 requirements in detail and consult
your auditor.
Table 1. Prevalent Mappings to NIST Cybersecurity Supply Chain Risk

Management-Related Controls
SP 800-53r5 Control Number and Name Applicable to SP 800-161r1

Cybersecurity Supply Chain Risk Management
Applicable Supply Chain-

Prevalent Third-Party Risk Management
Specific Control Cross-Mapping
Platform Capabilities
to CSF v1.1
CA-2 (1) Control Assessments | Specialized Assessments
Supplemental C-SCRM Guidance: Enterprises should use a variety of assessment techniques and
methodologies, such as continuous monitoring, insider threat assessment, and malicious user assessment.
These assessment mechanisms are context-specific and require the enterprise to understand its supply
chain and to define the required set of measures for assessing and verifying that appropriate protections
have been implemented.
CA-2 (3) Control Assessments | Leveraging Results from External Organizations
Supplemental C-SCRM Guidance: For C-SCRM, enterprises should use external security assessments
for suppliers, developers, system integrators, external system service providers, and other ICT/OTrelated
service providers. External assessments include certifications, third-party assessments, and – in the
federal context – prior assessments performed by other departments and agencies. Certifications from
the International Enterprise for Standardization (ISO), the National Information Assurance Partnership
(Common Criteria), and the Open Group Trusted Technology Forum (OTTF) may also be used by non-
federal and federal enterprises alike, if such certifications meet agency needs.
5

to CSF v1.1
Control Assessments | Specialized The Prevalent Third-Party Risk Management Platform

Assessments Continued includes more than 100 standardized risk assessment survey
templates – including for NIST, ISO and many others — a
ID.RA-1: Asset Vulnerabilities are
custom survey creation wizard, and a questionnaire that
identified and documented.
automatically maps responses to any compliance regulation
DE.DP-4: Event detection information is or framework. All assessments are based on industry
communicated. standards and address all information security topics as they
pertain to supply chain partner security controls.
Prevalent Vendor Threat Monitor (VTM) continuously tracks

and analyzes externally observable threats to vendors and
other third parties. The service complements and validates
vendor-reported security control data from the Prevalent
Platform by monitoring the Internet and dark web for cyber
threats and vulnerabilities. It also correlates assessment
findings with research on operational, financial, legal and
brand risks in a unified risk register that enables centralized
risk triage and response.
With the Prevalent Platform, you can efficiently communicate

with vendors and coordinate remediation efforts. Capture
and audit conversations; record estimated completion dates;
accept or reject submissions on an answer-by-answer basis;
assign tasks based on risks, documents or entities; and
match documentation and evidence to risks.
6

to CSF v1.1
CA-7 (3) Continuous Monitoring | Trend Analyses
Supplemental C-SCRM Guidance: The information gathered during continuous monitoring/trend

analyses serves as input into C-SCRM decisions, including criticality analysis, vulnerability and threat
analysis, and risk assessments. It also provides information that can be used in incident response and
potentially identify a supply chain cybersecurity compromise, including an insider threat.
ID.RA-1: Asset Vulnerabilities are Prevalent VTM reveals third-party cyber incidents for
identified and documented. 550,000 actively tracked companies by monitoring 1,500+
criminal forums; thousands of onion pages, 80+ dark web
DE.AE-2: Detected events are analyzed to
special access forums; 65+ threat feeds; and 50+ paste
understand attack targets and methods.
sites for leaked credentials — as well as several security
DE.AE-3: Event data are collected and communities, code repositories, and vulnerability databases.
correlated from multiple sources and
Prevalent then normalizes, correlates and analyzes
sensors.
information from across multiple inputs, including inside-
DE.CM-1: The network is monitored to out risk assessments and outside-in monitoring from
detect potential cybersecurity events. Prevalent Vendor Threat Monitor and BitSight. This unified
model provides context, quantification, management and
RS.AN-1: Notifications from detection remediation support.
systems are investigated.
RS.MI-3: Newly identified vulnerabilities are

mitigated or documented as accepted risks.
7

to CSF v1.1
CP-2 (3) Contingency Plan | Coordinate with External Service Providers

Supplemental C-SCRM Guidance: Enterprises should ensure that the supply chain network, information systems,
and components provided by an external service provider have appropriate failover (to include personnel, equipment,
and network resources) to reduce or prevent service interruption or ensure timely recovery. Enterprises should ensure
that contingency planning requirements are defined as part of the service-level agreement. The agreement may
have specific terms that address critical components and functionality support in case of denial-of-service attacks to
ensure the continuity of operations. Enterprises should coordinate with external service providers to identify service
providers’ existing contingency plan practices and build on them as required by the enterprise’s mission and business
needs. Such coordination will aid in cost reduction and efficient implementation. Enterprises should require their
prime contractors who provide a mission- and business-critical or -enabling service or product to implement this
control and flow down this requirement to relevant sub-tier contractors.
ID.BE-1: The organization’s role in the supply The Prevalent Third-Party Incident Response Service
chain is identified and communicated. enables you to rapidly identify and mitigate the impact of
supply chain breaches by centrally managing vendors,
ID.SC-5: Response and recovery planning
proactively conducting event assessments, scoring identified
and testing are conducted with suppliers
risks, and accessing remediation guidance.
and third-party providers.
The Prevalent Platform includes unified capabilities for
PR.IP-9: Response plans (Incident Response
assessing, analyzing and addressing weaknesses in supplier
and Business Continuity) and recovery plans
business resilience plans. This enables you to proactively
(Incident Recovery and Disaster Recovery)
work with your supplier community to prepare for pandemics,
are in place and managed.
environmental disasters, and other potential crises.
DE.AE-4: Impact of events is determined.
In addition to facilitating automated, periodic internal control-
RS.RP-1: Response plan is executed based assessments, the Prevalent Platform provides cyber
during or after an incident. security, business, reputational and financial monitoring
– continually assessing third parties to identify potential
RS.CO-3: Information is shared consistent weaknesses that can be exploited by cyber criminals.
with response plans.
All risk intelligence is centralized, correlated and analyzed in
RS.CO-4: Coordination with stakeholders a single risk register that automates reporting and response,
occurs consistent with response plans. and features a flexible weighted scoring model based on
likelihood of an event and its impact.
RS.AN-2: The impact of the incident is understood.
RS.AN-4: Incidents are categorized

consistent with response plans.
RC.CO-3: Recovery activities are

communicated to internal and external
stakeholders as well as executive and
management teams.
8

to CSF v1.1
IR-4 (3) Incident Handling | Supply Chain Coordination
Supplemental C-SCRM Guidance: A number of enterprises may be involved in managing incidents and
responses for supply chain security. After initially processing the incident and deciding on a course of action
(in some cases, the action may be “no action”), the enterprise may need to coordinate with their suppliers,
developers, system integrators, external system service providers, other ICT/OT-related service providers,
and any relevant interagency bodies to facilitate communications, incident response, root cause, and
corrective actions. Enterprises should securely share information through a coordinated set of personnel in
key roles to allow for a more comprehensive incident handling approach. Selecting suppliers, developers,
system integrators, external system service providers, and other ICT/OT-related service providers with
mature capabilities for supporting supply chain cybersecurity incident handling is important for reducing
exposure to cybersecurity risks throughout the supply chain. If transparency for incident handling is limited
due to the nature of the relationship, define a set of acceptable criteria in the agreement (e.g., contract).
A review (and potential revision) of the agreement is recommended, based on the lessons learned from
previous incidents. Enterprises should require their prime contractors to implement this control and flow
down this requirement to relevant sub-tier contractors.
ID.SC-5: Response and recovery planning The Prevalent Third-Party Incident Response Service
and testing are conducted with suppliers enables you to rapidly identify and mitigate the impact supply
and third-party providers. chain breaches by centrally managing vendors, proactively
conducting event assessments, scoring identified risks, and
accessing remediation guidance.
The Prevalent Platform includes unified capabilities for
DE.AE-3: Event data are collected
assessing, analyzing and addressing weaknesses in supplier
and correlated from multiple sources
business resilience plans. This enables you to proactively
and sensors.
work with your supplier community to prepare for pandemics,
DE.AE-4: Impact of events is determined. environmental disasters, and other potential crises.
DE.AE-5: Incident alert thresholds are In addition to facilitating automated, periodic internal
established. control-based assessments, the Prevalent Platform
provides cyber security, business, reputational and financial
RS.RP-1: Response plan is executed monitoring – continually assessing third parties to identify
during or after an incident. potential weaknesses that can be exploited by cyber
criminals.
RS.CO-3: Information is shared consistent
with response plans. All risk intelligence is centralized, correlated and analyzed in
a single risk register that automates reporting and response,
and features a flexible weighted scoring model based on
likelihood of an event and its impact.
9

Specific Control Cross-
Mapping to CSF v1.1
Incident Handling | Supply Chain (See previous page.)

Coordination Continued
RS.CO-4: Coordination with

stakeholders occurs consistent with
response plans.
RS.AN-1: Notifications from detection

RS.AN-2: The impact of the incident

is understood.
RS.AN-4: Incidents are categorized

consistent with response plans.
RS.MI-2: Incidents are mitigated.
RC.CO-3: Recovery activities are

communicated to internal and external
stakeholders as well as executive and
management teams.
IR-5 Incident Monitoring Prevalent Contract Essentials is a SaaS solution that centralizes
the distribution, discussion, retention, and review of vendor
Supplemental C-SCRM Guidance:
contracts. It also includes workflow capabilities to automate the
Enterprises should ensure that
contract lifecycle from onboarding to offboarding. With Contract
agreements with suppliers include
Essentials, your procurement and legal teams have a single
requirements to track and document
solution to ensure that key contract clauses are in place, and that
incidents, response decisions,
service levels and response times are managed.
and activities.
IR-6 (1) Incident Reporting | Supply Chain Coordination
Supplemental C-SCRM Guidance: Communications of security incident information from the enterprise
to suppliers, developers, system integrators, external system service providers, and other ICT/OT-related
service providers and vice versa require protection. The enterprise should ensure that information is
reviewed and approved for sending based on its agreements with suppliers and any relevant interagency
bodies. Any escalation of or exception from this reporting should be clearly defined in the agreement. The
enterprise should ensure that incident reporting data is adequately protected for transmission and received
by approved individuals only. Enterprises should require their prime contractors to implement this control
and flow down this requirement to relevant sub-tier contractors.
10

to CSF v1.1
Incident Reporting | Supply Chain All risk intelligence in the Prevalent Platform is centralized,
Coordination Continued correlated and analyzed in a single risk register that
automates reporting and response, and features a flexible
ID.SC-5: Response and recovery planning
weighted scoring model based on likelihood of an event and
and testing are conducted with suppliers
its impact.
and third-party providers.
RS.CO-2: Incidents are reported

consistent with established criteria.
IR-8 Incident Response Plan The Prevalent Third-Party Incident Response Service
enables you to rapidly identify and mitigate the impact supply
chain breaches by centrally managing vendors, conducting
Enterprises should coordinate, develop,
event assessments, scoring identified risks, and accessing
and implement an incident response
remediation guidance. The Incident Response Service
plan that includes information-sharing
responsibilities with critical suppliers and, provides the foundation to be well prepared for board and
in a federal context, interagency partners executive questions regarding the impact of supply chain
and the FASC. Enterprises should require incidents; and demonstrate proof of your third-party breach
their prime contractors to implement this response plan with auditors and regulators.
control and flow down this requirement to
relevant sub-tier contractors.
PM-16 Threat Awareness Program
Supplemental C-SCRM Guidance: When addressing supply chain threat awareness, knowledge should be
shared between stakeholders within the boundaries of the organization’s information sharing policy.
ID.RA-2: Cyber threat intelligence is Prevalent VTM reveals third-party cyber incidents for 550,000
received from information sharing forums actively tracked companies by monitoring 1,500+ criminal
and sources. forums; thousands of onion pages, 80+ dark web special
access forums; 65+ threat feeds; and 50+ paste sites for leaked
ID.RA-3: Threats, both internal and credentials — as well as several security communities, code
external, are identified and documented. repositories, and vulnerability databases.
ID.RA-5: Threats, vulnerabilities, Prevalent then normalizes, correlates and analyzes information
likelihoods, and impacts are used to from across multiple inputs, including inside-out risk
determine risk assessments and outside-in monitoring from Prevalent Vendor
Threat Monitor and BitSight. This unified model provides
context, quantification, management and remediation support.
All risk intelligence in the Prevalent Platform is centralized,

correlated and analyzed in a single risk register that automates
reporting and response, and features a flexible weighted scoring
model based on likelihood of an event and its impact.
11

to CSF v1.1
PM-31 Continuous Monitoring Strategy Prevalent VTM reveals third-party cyber incidents for
550,000 actively tracked companies by monitoring 1,500+
criminal forums; thousands of onion pages, 80+ dark web
The continuous monitoring strategy
special access forums; 65+ threat feeds; and 50+ paste
and program should integrate C-SCRM
sites for leaked credentials — as well as several security
controls at Levels 1, 2, and 3 in
communities, code repositories, and vulnerability databases.
accordance with the Supply Chain Risk
Management Strategy. Prevalent then normalizes, correlates and analyzes
information from across multiple inputs, including inside-
out risk assessments and outside-in monitoring from
Prevalent Vendor Threat Monitor and BitSight. This unified
model provides context, quantification, management and
remediation support.

correlated and analyzed in a single risk register that
its impact.
12

to CSF v1.1
RA-1 Policy and Procedures The Prevalent Platform includes more than 100 standardized
risk assessment survey templates – including for NIST, ISO
and many others — a custom survey creation wizard, and
Risk assessments should be performed
a questionnaire that maps responses to any compliance
at the enterprise, mission/program, and
regulation or framework. All assessments are based on
operational levels. The system-level
industry standards and address all information security
risk assessment should include both
topics as they pertain to supply chain partner security
the supply chain infrastructure (e.g.,
controls.
development and testing environments
and delivery systems) and the information With the Prevalent Platform, you can automatically generate
system/components traversing the supply a risk register upon survey completion, ensuring that the
chain. System-level risk assessments entire risk profile (or a role-specific version) can be viewed
significantly intersect with the SDLC in the centralized, real-time reporting dashboard – and
and should complement the enterprise’s reports can be downloaded and exported to determine
broader RMF activities, which take part compliance status. This filters out unnecessary noise and
during the SDLC. A criticality analysis zeroes in on areas of possible concern, providing visibility
will ensure that mission-critical functions and trending to measure program effectiveness. Then, you
and components are given higher priority can take actionable steps to reduce vendor risk with built-in
due to their impact on the mission, if remediation recommendations
compromised. The policy should include and guidance.
supply chainrelevant cybersecurity roles
that are applicable to performing and
coordinating risk assessments across the
enterprise (see Section 2 for the listing
and description of roles). Applicable roles
within suppliers, developers, system
integrators, external system service
providers, and other ICT/OT-related
service providers should be defined.
13

to CSF v1.1
RA-3 Risk Assessment
Supplemental C-SCRM Guidance: Risk assessments should include an analysis of criticality, threats,
vulnerabilities, likelihood, and impact, as described in detail in Appendix C. The data to be reviewed and
collected includes C-SCRM-specific roles, processes, and the results of system/component and services
acquisitions, implementation, and integration. Risk assessments should be performed at Levels 1, 2, and
3. Risk assessments at higher levels should consist primarily of a synthesis of various risk assessments
performed at lower levels and used for understanding the overall impact with the level (e.g., at the
enterprise or mission/function levels). C-SCRM risk assessments should complement and inform risk
assessments, which are performed as ongoing activities throughout the SDLC, and processes should be
appropriately aligned with or integrated into ERM processes and governance.
ID.RA-1: Asset Vulnerabilities are The Prevalent Platform includes more than 100 standardized
identified and documented. risk assessment survey templates – including for NIST, ISO
ID.RA-3: Threats, both internal and
external, are identified and documented.
ID.RA-4: Potential business impacts and industry standards and address all information security
likelihoods are identified. topics as they pertain to supply chain partner security
controls. Prevalent offers security, privacy, and risk
ID.RA-5: Threats, vulnerabilities, management professionals an automated platform to manage
likelihoods, and impacts are used to the vendor risk assessment process and determine vendor
determine risk. compliance with IT security, regulatory, and data privacy
requirements.
ID.SC-2: Suppliers and third party
partners of information systems, In addition to facilitating automated, periodic internal
components, and services are identified, control-based assessments, the Prevalent Platform also
prioritized, and assessed using a cyber provides cyber security, business, reputational and financial
supply chain risk assessment process monitoring – continually assessing third parties to identify
potential weaknesses that can be exploited by cyber
CSF DE.AE-4: Impact of events
criminals.
is determined.
RS.MI-3: Newly identified vulnerabilities
are mitigated or documented as
accepted risks.
its impact.
14

to CSF v1.1
RA-7 Risk Response The Prevalent Platform features built-in guidance to

remediate control failures or other identified risks to levels
acceptable to your organization. Prevalent also enables
Enterprises should integrate capabilities
risk assessors to communicate with third parties about
to respond to cybersecurity risks
remediations, document conversations and updates, and
throughout the supply chain into the
store supporting control documentation in a centralized
enterprise’s overall response posture,
repository.
ensuring that these responses are aligned
to and fall within the boundaries of the
enterprise’s tolerance for risk. Risk
response should include consideration
of risk response identification, evaluation
of alternatives, and risk response
decision activities.
15

to CSF v1.1
RA-9 Criticality Analysis Prevalent offers an inherent risk assessment questionnaire

with clear scoring based on eight criteria to capture, track
and quantify risks for all third parties. The assessment
Enterprises should complete a criticality
criteria include:
analysis as a prerequisite input to
assessments of cybersecurity supply • Type of content required to validate controls
chain risk management activities. First,
• Criticality to business performance and operations
enterprises should complete a criticality
analysis as part of the Frame step of the • Location(s) and related legal or regulatory considerations
C-SCRM Risk Management Process.
Then, findings generated in the Assess • Level of reliance on fourth parties (to avoid
step activities (e.g., criticality analysis, concentration risk)
threat analysis, vulnerability analysis,
• Exposure to operational or client-facing processes
and mitigation strategies) update and
tailor the criticality analysis. A symbiotic • Interaction with protected data
relationship exists between the criticality
analysis and other Assess step activities • Financial status and health
in that they inform and enhance one
• Reputation
another. For a highquality criticality
analysis, enterprises should employ it Using the inherent risk assessment, you can automatically
iteratively throughout the SLDC and tier suppliers, set appropriate levels of further diligence, and
concurrently across the three levels. determine the scope of subsequent, periodic assessments.
Enterprises should require their prime
contractors to implement this control and Rule-based tiering logic enables suppliers to be categorized
flow down this requirement to relevant based on a range of data interaction, financial, regulatory and
sub-tier contractors. Departments and reputational considerations.
agencies should also refer to Appendix
F to supplement this guidance in
accordance with Executive Order 14028,
Improving the Nation’s Cybersecurity.
16

to CSF v1.1
SA-4 (3) Acquisition Process | Continuous Monitoring Plan for Controls
Supplemental C-SCRM Guidance: This control enhancement is relevant to C-SCRM and plans for
continuous monitoring of control effectiveness and should therefore be extended to suppliers, developers,
system integrators, external system service providers, and other ICT/OT-related service providers.
PR.IP-2: A System Development Life In addition to facilitating automated, periodic internal control-
Cycle to manage systems is implemented. based assessments, the Prevalent Platform also provides
cyber security, business, reputational and financial monitoring
DE.CM-6: External service provider
– continually assessing third parties to identify potential
activity is monitored to detect potential
weaknesses that can be exploited by cyber criminals.
cybersecurity events.
its impact.
17

to CSF v1.1
SI-4 (1) System Monitoring | Integrated Situational Awareness
Supplemental C-SCRM Guidance: System monitoring information may be correlated with that of
suppliers, developers, system integrators, external system service providers, and other ICT/OT-related
service providers, if appropriate. The results of correlating monitoring information may point to supply
chain cybersecurity vulnerabilities that require mitigation or compromises.
DE.AE-1: A baseline of network operations Prevalent VTM continuously tracks and analyzes externally
and expected data flows for users and observable threats to vendors and other third parties. The
systems is established and managed. service complements and validates vendor-reported security
control data from the Prevalent Platform by monitoring the
Internet and dark web for cyber threats and vulnerabilities
— and correlating assessment findings with research on
DE.AE-3: Event data are collected and operational, financial, legal and brand risks in a unified risk
correlated from multiple sources and register that enables centralized risk triage and response.
sensors.
DE.AE-4: Impact of events is determined. correlated and analyzed in a single risk register that
DE.CM-1: The network is monitored to weighted scoring model based on likelihood of an event and
detect potential cybersecurity events. its impact.
DE.CM-6: External service provider

activity is monitored to detect potential
cybersecurity events.
DE.DP-4: Event detection information is

communicated.
RS.CO-3: Information is shared consistent

with response plans.
RS.AN-1: Notifications from detection

18

to CSF v1.1
SI-5 Security Alerts, Advisories and Directives
Supplemental C-SCRM Guidance: The enterprise should evaluate security alerts, advisories, and
directives for cybersecurity supply chain impacts and follow up if needed. US-CERT, FASC, and other
authoritative entities generate security alerts and advisories that are applicable to C-SCRM. Additional
laws and regulations will impact who and how additional advisories are provided. Enterprises should
ensure that their information-sharing protocols and processes include sharing alerts, advisories, and
directives with relevant parties with whom they have an agreement to deliver products or perform services.
Enterprises should provide direction or guidance as to what actions are to be taken in response to sharing
such an alert, advisory, or directive. Enterprises should require their prime contractors to implement this
control and flow down this requirement to relevant sub-tier contractors. Departments and agencies should
refer to Appendix F to implement this guidance in accordance with Executive Order 14028, Improving the
Nation’s Cybersecurity.
ID.RA-1: Asset Vulnerabilities are Prevalent VTM continuously tracks and analyzes externally
identified and documented. observable threats to vendors and other third parties. The
service complements and validates vendor-reported security
ID.RA-2: Cyber threat intelligence is
control data from the Prevalent Platform by monitoring the
received from information sharing forums
Internet and dark web for cyber threats and vulnerabilities
and sources.
— and correlating assessment findings with research on
ID.RA-3: Threats, both internal and operational, financial, legal and brand risks in a unified risk
external, are identified and documented. register that enables centralized risk triage and response.
RS.CO-5: Voluntary information sharing All risk intelligence in the Prevalent Platform is centralized,
occurs with external stakeholders correlated and analyzed in a single risk register that
to achieve broader cybersecurity automates reporting and response, and features a flexible
situational awareness. weighted scoring model based on likelihood of an event and
its impact.
RS.AN-5: Processes are established
to receive, analyze and respond
to vulnerabilities disclosed to the
organization from internal and external
sources (e.g. internal testing, security
bulletins, or security researchers).
19

to CSF v1.1
SR-1 Policy and Procedures Prevalent Program Design Services define and document
your third-party risk management program. You get a clear
plan that accounts for your specific needs while incorporating
C-SCRM policies are developed at Level
best practices for end-to-end TPRM.
1 for the overall enterprise and at Level
2 for specific missions and functions.
C-SCRM policies can be implemented at
Levels 1, 2, and 3, depending on the level
of depth and detail. C-SCRM procedures
are developed at Level 2 for specific
missions and functions and at Level 3 for
specific systems. Enterprise functions
including but not limited to information
security, legal, risk management, and
acquisition should review and concur on
the development of C-SCRM policies and
procedures or provide guidance to system
owners for developing system-specific
C-SCRM procedures.
20

to CSF v1.1
SR-2 Supply Chain Risk Prevalent Program Design Services help you to continually
Management Plan improve your Prevalent Platform deployment, ensuring
that your TPRM program maintains the flexibility
and agility it needs to meet evolving business and
C-SCRM plans describe implementations,
regulatory requirements.
requirements, constraints, and
implications at the system level. C-SCRM
plans are influenced by the enterprise’s
other risk assessment activities and
may inherit and tailor common control
baselines defined at Level 1 and Level 2.
C-SCRM plans defined at Level 3 work
in collaboration with the enterprise’s
C-SCRM Strategy and Policies (Level
1 and Level 2) and the C-SCRM
Implementation Plan (Level 1 and Level
2) to provide a systematic and holistic
approach for cybersecurity supply chain
risk management across the enterprise.
C-SCRM plans should be developed as a
standalone document and only integrated
into existing system security plans if
enterprise constraints require it.
21

to CSF v1.1
SR-6 Supplier Assessments and Reviews The Prevalent Platform includes more than 100 standardized
risk assessment survey templates – including for NIST, ISO
Supplemental C-SCRM Guidance: In
general, an enterprise should consider
any information pertinent to the
security, integrity, resilience, quality,
industry standards and address all information security
trustworthiness, or authenticity of the
topics as they pertain to supply chain partner security and
supplier or their provided services or
business resilience controls.
products. Enterprises should consider
applying this information against a Prevalent VTM continuously tracks and analyzes externally
consistent set of core baseline factors and observable threats to vendors and other third parties. The
assessment criteria to facilitate equitable service complements and validates vendor-reported security
comparison (between suppliers and over control data from the Prevalent Platform by monitoring the
time). Depending on the specific context Internet and dark web for cyber threats and vulnerabilities
and purpose for which the assessment — and correlating assessment findings with research on
is being conducting, the enterprise may operational, financial, legal and brand risks in a unified risk
select additional factors. The quality register that enables centralized risk triage and response.
of information (e.g., its relevance,
completeness, accuracy, etc.) relied upon
for an assessment is also an important
consideration. Reference sources for
assessment information should also be
documented. The C-SCRM PMO can help
define requirements, methods, and tools
for the enterprise’s supplier assessments.
Departments and agencies should refer
to Appendix E for further guidance
concerning baseline risk factors and
the documentation of assessments and
Appendix F to implement this guidance in
accordance with Executive Order 14028,
Improving the Nation’s Cybersecurity.
22

to CSF v1.1
SR-8 Notification Agreements With the Prevalent Platform, you can collaborate on
documents, agreements and certifications, such as NDAs,
Supplemental C-SCRM Guidance: At
SLAs, SOWs and contracts, with built-in version control,
minimum, enterprises should require
task assignment and auto-review cadences. Manage all
their suppliers to establish notification
documents throughout the vendor lifecycle in centralized
agreements with entities within
vendor profiles.
their supply chain that have a role or
responsibility related to that critical
service or product. Departments and
agencies should refer to Appendix F to
implement this guidance in accordance
with Executive Order 14028, Improving
the Nation’s Cybersecurity.
SR-13 Supplier Inventory Prevalent offers an inherent risk assessment questionnaire

with clear scoring based on eight criteria to capture, track
and quantify risks for all third parties. Assessment criteria
Enterprises rely on numerous suppliers
include:
to execute their missions and functions.
Many suppliers provide products and • Type of content required to validate controls
services in support of multiple missions,
• Criticality to business performance and operations
functions, programs, projects, and
systems. Some suppliers are more critical • Location(s) and related legal or regulatory considerations
than others, based on the criticality of
missions, functions, programs, projects, • Level of reliance on fourth parties (to avoid concentration
systems that their products and services risk)
support, and the enterprise’s level of
• Exposure to operational or client-facing processes
dependency on the supplier. Enterprises
should use criticality analysis to help • Interaction with protected data
determine which products and services
are critical to determine the criticality • Financial status and health
of suppliers to be documented in the
• Reputation
supplier inventory. See Section 2,
Appendix C, and RA-9 for guidance on Using the inherent risk assessment, you can automatically
conducting criticality analysis. tier suppliers, set appropriate levels of further diligence, and
determine the scope of subsequent, periodic assessments.
Rule-based tiering logic enables suppliers to be categorized

based on a range of data interaction, financial, regulatory and
reputational considerations.
23
Summary Guidelines and Recommendations
To address the supply chain risk management control requirements established in SP 800-53, use the
Cybersecurity Framework v1.1 supplemental guidance and consider implementing the following practices.
Table 2. Recommendations to Address CSF v1.1 Guidelines
NIST CSF v1.1

Recommendations
Summary Guidelines
Identify, establish, assess, and Define and document your third-party risk management
manage cyber supply chain program with expert professional services. Obtain a clear plan
risk management processes, that accounts for your specific needs while incorporating best
and ensuring organizational practices for end-to-end TPRM.
stakeholders agree.
Identify, prioritize, and assess Onboard, profile, tier and score inherent risks across all third
suppliers and third party partners of parties as a critical first step in the onboarding and prioritization
information systems, components, stages of the vendor lifecycle.
and services using a cyber supply
chain risk assessment process.
Implement appropriate measures Use dedicated and custom contract assessment questionnaires
in supplier and third-party partner to enable comprehensive reviews by identifying potential
contracts to meet the objectives breaches of contract and other risks. Customizable surveys
of an organization’s cybersecurity make it easy to gather and analyze necessary performance and
program and Cyber Supply Chain contract data in a single risk register.
Risk Management Plan.
Routinely assess suppliers and third- Use a comprehensive solution to address all information security
party partners using audits, test topics as they pertain to supply chain partner
results, or other forms of evaluations security controls.
to confirm they are meeting their
contractual obligations.
Conduct response and recovery Identify and mitigate the impact supply chain breaches by
planning and testing with suppliers centrally managing vendors, conducting proactive event
and third-party providers. assessments, scoring identified risks, and accessing
remediation guidance.
24
The Prevalent Difference
NIST requires robust management and tracking of third-party supply chain security risks. SP 800-53,
SP 800-161, and CSF v1.1 specify that a policy for managing risk should be in place; security controls should
be selected; a policy should be codified in supplier agreements where appropriate; and suppliers should
be managed and audited to the requirements and controls. In short, organizations need to establish and
implement the processes to identify, assess and manage supply chain risk.
Prevalent can help by:
• Formalizing your third-party risk management

program with industry best-practice guidance,
adding consistency and repeatability to how you
identify, manage, remediate and monitor supply
chain risks across the vendor lifecycle
• Reducing the cost and complexity of third-party

risk management with a managed services team
that can handle vendor onboarding, assessment
and management
• Comprehensively assessing vendors against

NIST requirements and many other regulations,
guidelines and frameworks – as well through an
extensive survey template library
• Continuously monitoring your third parties for cybersecurity, business, reputational or financial risks that
can impact their ability to deliver products and services
• Delivering the reporting required to demonstrate compliance inside and outside the organization
• Accelerating incident response by rapidly identifying and mitigating the impact of supply chain breaches
through event collection, scoring identified risks, and accessing remediation guidance
Contact Prevalent for a free maturity assessment to determine how your current TPRM policies stack
up to NIST requirements or request a solution demo today.
25
About Prevalent
Prevalent takes the pain out of third-party risk management (TPRM). Companies use our software and
services to eliminate the security and compliance exposures that come from working with vendors and
suppliers throughout the third-party lifecycle. Our customers benefit from a flexible, hybrid approach
to TPRM, where they not only gain solutions tailored to their needs, but also realize a rapid return on
investment. Regardless of where they start, we help our customers stop the pain, make informed decisions,
and adapt and mature their TPRM programs over time.
To learn more, please visit www.prevalent.net.
© Prevalent, Inc. All rights reserved. The Prevalent name and logo are trademarks or registered trademarks of Prevalent, Inc.
All other trademarks are the property of their respective owners. 6/22
26

NIST Third Party Compliance Checklist

Uploaded by

Copyright:

Available Formats

NIST Third Party Compliance Checklist

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

NIST Third Party Compliance Checklist

Uploaded by

Copyright:

Available Formats

A Checklist for Compliance

NIST and Third-Party Risk

NIST and Third-Party Risk Management ............................................................ 3

Supply Chain Risk Management Controls in SP 800-53 Rev. 5 .................................. 3

How SP 800-161 Rev. 1 Complements Supply Chain Risk Management ...................... 4

Supply Chain Risk Management Requirements in the Cybersecurity

Mapping Prevalent Capabilities to NIST Supply Chain Risk Management

Summary Guidelines and Recommendations...................................................... 24

The Prevalent Difference...................................................................................... 25

About Prevalent ................................................................................................... 26

• Cybersecurity Framework v1.1: Framework for Improving Critical Infrastructure Cybersecurity

Supply Chain Risk Management Controls in SP 800-53 Rev. 5

• Culture and Awareness • Reliability • Maintainability

Supply Chain Risk Management Requirements in the Cybersecurity

• ID.SC-1: Identify, establish, assess, and manage cyber

• ID.SC-2: Identify, prioritize, and assess suppliers and third-

• ID.SC-3: Implement appropriate measures in supplier and

Table 1. Prevalent Mappings to NIST Cybersecurity Supply Chain Risk

SP 800-53r5 Control Number and Name Applicable to SP 800-161r1

Applicable Supply Chain-

CA-2 (1) Control Assessments | Specialized Assessments

CA-2 (3) Control Assessments | Leveraging Results from External Organizations

Applicable Supply Chain-

Control Assessments | Specialized The Prevalent Third-Party Risk Management Platform

Prevalent Vendor Threat Monitor (VTM) continuously tracks

With the Prevalent Platform, you can efficiently communicate

Applicable Supply Chain-

CA-7 (3) Continuous Monitoring | Trend Analyses

Supplemental C-SCRM Guidance: The information gathered during continuous monitoring/trend

RS.MI-3: Newly identified vulnerabilities are

Applicable Supply Chain-

CP-2 (3) Contingency Plan | Coordinate with External Service Providers

RS.AN-4: Incidents are categorized

RC.CO-3: Recovery activities are

Applicable Supply Chain-

IR-4 (3) Incident Handling | Supply Chain Coordination

Applicable Supply Chain-

Incident Handling | Supply Chain (See previous page.)

RS.CO-4: Coordination with

RS.AN-1: Notifications from detection

RS.AN-2: The impact of the incident

RS.AN-4: Incidents are categorized

RS.MI-2: Incidents are mitigated.

RC.CO-3: Recovery activities are

IR-6 (1) Incident Reporting | Supply Chain Coordination

Applicable Supply Chain-

RS.CO-2: Incidents are reported

PM-16 Threat Awareness Program

All risk intelligence in the Prevalent Platform is centralized,

Applicable Supply Chain-

All risk intelligence in the Prevalent Platform is centralized,

Applicable Supply Chain-

Applicable Supply Chain-

RA-3 Risk Assessment

Applicable Supply Chain-

RA-7 Risk Response The Prevalent Platform features built-in guidance to

Applicable Supply Chain-

RA-9 Criticality Analysis Prevalent offers an inherent risk assessment questionnaire

Applicable Supply Chain-

SA-4 (3) Acquisition Process | Continuous Monitoring Plan for Controls