Vendor Management: Assessing Once, Applying to Many

by David Walter - February 27, 2009

From my experience in working with many Fortune 500 companies, vendor assessments have become a “check the box” exercise. Often completed pre-contract and on a pre-determined basis after the contract is signed, vendor assessments are being used to ensure certain security practices and other contract covenants are being followed by the third party.  With the economic downturn and resulting budget tightening, vendor management departments are being downsized and companies are no longer able to place as much focus on this area.  Both of these factors are reducing the benefits of vendor assessments and the fewer companies are able to perform them. 

Companies need to be more efficient and effective in their assessment processes.  This requires automated solutions which enable completion of self-service assessments, automated workflows and notifications, automatic generation of findings based on the company’s pre-configured criticality ratings, and the ability for the vendors to respond to the resulting findings without the burden of vendor management intervention. 

There are also opportunities to increase the effectiveness of the assessment.  Companies must have the ability to link multiple corporate objectives to each question asked of a vendor.  Corporate objectives may include data privacy regulations, environmental, health and safety practices and even non-regulatory based initiatives such as corporate ethics and social responsibility.  The ability to link questions to multiple references will enable companies to gain that much richer and meaningful reporting from the assessment process. 

These practices would definitely enhance the efficiency of collecting the necessary data from the assessment program and provide management with the reporting necessary to make the right decisions about who they decide to do business with. 

Published Feb 27 2009, 04:19 PM by Demian Tallman (Historical)

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Charlie Miller said:

While it may seem like vendor assessments are a “check the box” exercise for some, regulated financial services, healthcare and other companies have to demonstrate quite a bit more in terms of the effectiveness and viability of their vendor management programs.  (The economic stimulus program has already increased regulatory requirements for third-party vendor oversight and monitoring for healthcare providers.) Additionally, the continued economic downturn and pressure on all companies to do more with less is increasing companies’ overall risk, including third-party loss of corporate proprietary and individual personal financial and/or health information.  

The Shared Assessments Program (http://sharedassessments.org ) offers free third-party control assessment tools that are standardized, risk based, and allow results of a single assessment to be shared across that third-party’s client base. The program has been adopted by many companies and has added to the efficiency and effectiveness of their programs. Assessment size, scope, frequency and ongoing oversight of controls needs to be balanced with the number of control areas (operational risk, SOX, privacy, information security, business continuity …) included within an assessment.

Tools and systems improve assessment efficiency and help control costs by speeding third-party completion, sign off and submission time; allowing the validation of a control to cover and address multiple regulatory requirements or standards; and improving internal work flow to allow multiple internal stakeholder departments to concurrently review assessment results. Follow up, tracking open third-party issues to resolution and integration of third-party reviews are mandatory functions which must be supported and integrated into an overall enterprise risk and compliance reporting framework to further enhance efficiency and decision making.  

The control focus of vendor management programs will continue to mature across multiple industries. Companies can take advantage of existing programs and tools - realizing benefits today - even as they enhance their enterprise risk programs.

March 17, 2009 2:19 PM

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