Active

Compliance Verification

The organization shall verify third-party compliance with contractual obligations, including security, privacy, and regulatory requirements. Verification shall include review of compliance documentation, conduct of assessments, and verification of compliance status, conducted at appropriate intervals with results documented.

Requirement ID
TPR-003-R007
Parent Control
TPR-003
Domain Code
TPR

Requirement Details & Guidance

TPR-003-R007 · TPR-003
Why This Requirement Exists

This requirement exists to embed and maintain security, privacy, regulatory, audit, service-level, and compliance requirements in third-party contracts and verify their fulfillment, specifically addressing compliance verification, so that third-party risks remain identified, controlled, and aligned with organizational risk appetite.

Implementation Guidance

Establish and document the process for compliance verification. Define accountable owners, required inputs and outputs, assessment or approval criteria, review frequency, monitoring, reporting, exception handling, evidence requirements, and escalation paths. Apply the process consistently across relevant third parties based on criticality, data sensitivity, service dependency, and risk.

Practical Application & Audit Readiness

TPR-003-R007 · Field Guidance

Business Examples

    Common Audit Findings

      Common Mistakes

        Best Practices & Ownership

        TPR-003 · Recommended Approach

        Recommended Practices

          Typical Owner

          Cross-Mapped Regulatory Frameworks

          Harmonized Control Mappings
          FRAMEWORK CODE FRAMEWORK NAME & DETAILS FAMILY / CATEGORY VERSION ACTION
          CIS-V8 CIS Controls CIS Controls are a prioritized set of cybersecurit... Clause: Control 15 – Service Provider Management: 15.6 – Monitor Service Providers
          CIS
          Best Practice
          		 vv8 View →
          COBIT2019 COBIT COBIT is an enterprise governance and management f... Clause: 4.5 – Monitor, Evaluate and Assess (MEA) > MEA03 – Managed Compliance with External Requirements > MEA03.01 – Identify external compliance requirements.
          COBIT
          Governance Framework
          		 v2019 View →
          DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 30(1) – Written allocation of rights/obligations and service level agreements Article 30(2)(a) – Description of ICT functions/services and subcontracting conditions Article 30(2)(h) – Service-level descriptions and performance targets
          EU
          Regulation
          		 vCurrent View →
          GDPR General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin... Clause: Article 28(3) – Processor contract requirements; Article 24(1) – Responsibility of the controller
          EU
          Regulation
          		 vCurrent View →
          HIPAA Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement... Clause: § 164.308(b)(2)(ii) Written verification of business associate technical safeguards
          US
          Law
          		 vCurrent View →
          IRDAI IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §2.14-3.2 – IS provisions in contracts and SLAs
          India
          Guideline
          		 vLatest View →
          ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 5.20 – Addressing information security within supplier agreements
          ISO
          Standard
          		 v2022 View →
          ISO27701 ISO/IEC 27701 ISO/IEC 27701 provides requirements and guidance f... Clause: 6.15.1.1; 6.15.1.3; A.7.2.6; 6.15.1.1 – Supplier relationships (privacy); 6.15.1.3 – Supply chain (privacy); A.7.2.6 – Contracts with PII processors
          ISO
          Privacy Standard
          		 v2019 View →
          NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(d) – Supply chain security, including relationships with direct suppliers/service providers
          EU
          Directive
          		 vCurrent View →
          NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: GV.SC – Cybersecurity Supply Chain Risk Management | GV.SC-01 – A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders GV.SC – Cybersecurity Supply Chain Risk Management | GV.SC-07 – The risks posed by a supplier, their products and services, and other third parties are understood, recorded, prioritized, assessed, responded to, and monitored over the course of the relationship
          NIST
          Framework
          		 v2 View →
          NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.17 – SYSTEM AND SERVICES ACQUISITION; SA-4 – ACQUISITION PROCESS
          NIST
          Control Catalog
          		 vRev. 5 View →
          NPCI-ISR NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Governance Controls; Policy, Roles and Risk Linkages – Monitor policy compliance and exceptions
          India
          Standard
          		 vLatest View →
          PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine... Clause: 12.8.4 – A program is implemented to monitor TPSPs’
          PCI
          Standard
          		 v4 View →
          RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: 11) Vendor Risk Management – 11.5 Provider adherence to legal/regulatory requirements and contractual audit/inspection rights
          India
          Regulation
          		 vLatest View →
          SEBI-CSCRF SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 1.6 GV.SC: Cybersecurity Supply Chain Risk Management
          India
          Regulation
          		 vLatest View →
          SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC9.2 – Risk Mitigation – The entity assesses and manages risks associated with vendors and business partners.
          AICPA
          Audit Framework
          		 vLatest View →

          Parent Domain Context

          Governance Domain Baseline
          Domain Name:
          Third-Party & Supply Chain Security (TPR)
          Purpose:
          To manage the security and privacy risks associated with third-party vendors and partners.
          Scope:
          Enterprise
          View

          Parent Control Context

          Control Baseline
          Control Name:
          Third-Party Contract & Compliance Management (TPR-003)
          Summary:
          Establishes third-party contract management including contract requirements, security clauses, privacy clauses, audit rights, regulatory obligations, SLA management, compliance verification, review, maintenance, and continuous improvement.
          Business Description:
          Establish and maintain contractual, legal, security, privacy, resilience, audit, and regulatory requirements for third-party relationships, including mechanisms to verify ongoing contractual compliance.
          View