Frequently Asked Questions - Vendor Security Assessment Program

A "vendor" or "3rd-party service provider" is an entity (e.g., a person or a company), separate from the University, that offers something for sale.  The typical types of vendor services that require an ISO vendor security assessment are technologies used to store, process, and/or transport protected data on behalf of the University, such as:

• Software as a Service (SaaS) providers - companies that provide hosted application services (e.g., Google bmail)
• Infrastructure as a Service (IaaS) providers - companies that provide hosted data storage or processing services (e.g., Amazon AWS)

These types of vendors are required to meet the same campus policy standards for the protection of protected data that is required for applications and services that are managed by internal campus IT resources.

The Vendor Security Assessment Program is intended to ensure that service providers who handle UC P4 data on behalf of the University meet campus security policy requirements.  This is achieved in two ways:

• By evaluating the vendor's security controls in comparison to campus policy.
• Ensuring that the UCOP Data Security & Privacy Appendix is included in the vendor contract to provide baseline protection for the University in the event of a data breach.

The roles that are typically involved in participating with a vendor security assessment include the following:

There are several 3rd-party vendor services that are readily available to campus that have been approved for UC P2/P3 or UC P4 data.  Campus units that adopt these 3rd-party services for the purpose of storing and sharing covered data can be assured that these vendors meet campus policy requirements.

Campus units that utilize these services for the handling of protected data should keep in mind that careful configuration and management of these applications is required to meet campus policy standards.

 UC P4 Approved Services

• CalShare, a web-based document management and collaboration system utilizing Microsoft SharePoint. 
• The Imagine document imaging and workflow service is a campus service with the core purpose to provide automated workflows and document management and storage and can be integrated with other campus systems if needed. 

UC P2/P3 Approved Services

• The bConnected suite of collaboration services, including Google Apps for Education (bMail, bCal, bDrive)
• Box
• bCourses Project Sites
  

Please visit the bConnected website to learn more about the MSSEI protection level ratings for each of these products:  https://bconnected.berkeley.edu/collaboration-services

Units can ensure that 3rd-party service providers meet the campus data security policy requirements for the handling of UC P2/3 data through the following actions:

• Be sure to include the UCOP Data Security & Privacy Appendix, required for all UC contracts involving 3rd-party access to protected data, without edits, in the service provider contract.  This ensures baseline protection for the University in the event of a data breach, including:
• Service provider compliance with applicable laws (e.g., FERPA, HIPAA), regulations and campus policy.
• Requirements for a vendor information security plan and breach reporting process.
• Adequate cyber-insurance to cover the cost of investigating and responding to a breach.
• Notify the service provider that by signing off on the Data Security & Privacy Appendix, they are obligated to abide by campus policy, including adherence to the requirements of the UC Berkeley Minimum Security Standard for Electronic Information (MSSEI) policy for the protection of UC P2/3 data.

Although there is less bargaining power with the service provider to address security concerns after the contract has already been signed, it is still a good idea to perform a vendor security assessment for service providers who are handling UC P3 or P4 data:

• If the overall risk level is acceptable, the unit is assured that the vendor meets campus policy for the protection of UC P3 or P4 data.
• If the overall risk level is High or Critical, it may be necessary to postpone or suspend the service until these issues have been addressed.

Vendors may be more inclined to participate in a security assessment after the contract has been signed, but before the service has been initiated - as billing often does not begin until services have started. 

For VSAP reports with an overall acceptable risk rating, any medium-level risk findings identified in the report should be discussed with the vendor during the next contract renewal period.

For all UC contracts involving third-party access to covered data, the University of California Office of the President (UCOP) requires the inclusion of the Data Security and Privacy Appendix.  The appendix establishes baseline protection for the University in the event of a data breach.  Campus units that engage with service providers to handle covered data must ensure the appendix is included in new contracts without edits.

For VSAP engagements that have been initiated after the contract has been approved, and the UCOP appendix has been omitted, the final assessment report will include contract-related risk findings.  These findings are generally of a Critical risk nature, e.g.:

• No guarantee of service provider compliance with applicable laws (e.g., FERPA, HIPAA) or campus policies for the protection of covered data.
• The absence of requirements for a vendor information security plan and breach reporting process.
• Inadequate cyber-insurance to cover the cost of investigating and responding to a breach.

In these cases, the unit may be required to suspend the use of the service until the contract issues have been resolved with the vendor.

To request a Vendor Security Assessment Program evaluation for a PL2 system that is vendor managed, review the Details of the Vendor Security Assessment Program and then send an email to security@berkeley.edu. 

Please include the following information:

• Name of the unit requesting VSAP service
• Project Lead contact information
• UC Provisioning Representative contact information (if applicable)
• Name of third-party vendor/product/service
• Service description
• List of protected data elements that are known to be processed, stored, or transmitted by the service provider (see the UC Data Classification Standard for details)
• Estimated number of records containing PL2 data

A typical VSA takes 4 to 6 weeks to complete starting from the date the Vendor has provided all the information requested. Please plan accordingly.

Yes, the Requester will be responsible for providing the following information when requesting a VSA:

• Vendor primary point of contact (name, title, phone number, and email address)

• Vendor name and product/service being purchased

• A description of the Vendor product/service and how it will be used on campus

• A completed UC Appendix DS Exhibit 1 form

Additionally, the following security documents will speed up the assessment process:

• SOC 2 Type II report

• If available, include the Vendor’s SOC 2 Type II report. NOTE: Venminder will need the Vendor’s own report and not the report of the Vendor’s hosting provider such as AWS, Azure, GCP, etc.

• PCI DSS compliance documentation for Vendors that accept payment card data on behalf of UC.

• Please include the vendor’s PCI DSS Self-Assessment Questionnaire (SAQ), Attestation of Compliance (AOC), and any other supporting policies or PCI compliance documentation.

ISO will no longer ask for the statement of work, contract/agreement, or the Vendor’s security plan.

The Requester is responsible for signing any Non-Disclosure Agreements with the Vendor and informing ISO which documents are under NDA. 

Inform the ISO Assessments Team on the corresponding ServiceNow ticket for your VSA request if the Vendor is asking that ISO or Venminder sign the NDA.

Once a VSA is complete, ISO recommends reviewing the guidance letter and the Venminder report with your Unit Information Security Lead (UISL) to decide on the appropriate course of action for responding to the findings identified in the Venminder report. The ISO guidance letter in particular will provide information regarding what type of response the Unit requires per campus security policy.

It is important to understand how a vendor's services/products may use Artificial intelligence (AI) capabilities to ensure that use aligns with UC's policies, advisories, and guidelines on AI. AI functionality in Vendor services/products must be evaluated for security, privacy, and general AI risks.

Regarding the Vendor Security Assessment process and AI, the following are some key questions the Requester should be prepared to answer in coordination with the Vendor.

ISO will ask you to provide answers to these types of questions when we initially triage your VSA request:

1. How is AI being used in the vendor's service/product? Please provide a detailed response. Technical descriptions are encouraged. 
   • Be prepared to provide links or copies of the vendor's documentation describing how AI is being used and relay any vendor's responses to these questions.
   • For example, ISO will need to understand what types of AI are utilized (e.g., generative AI, machine learning) and how they interact with UC Institutional Information or IT Resources to assess security impacts. 
2. Is customer data (UC) used to train the Vendor's AI models or mechanisms?
3. What types of data are processed and/or collected by the Vendor's AI services/products, and for what purpose?
4. If UC data is collected by the Vendor's AI services/products, is it anonymized?
5. Does the Vendor's use of AI involve highly consequential automated decision-making on behalf of UC? If so, please describe.
   • Examples include, but are not limited to:
     • Legal analysis or advice
     • Recruitment, personnel, or disciplinary decision-making
     • Seeking to replace work currently done by represented employees
     • Security tools using facial recognition
     • Grading or assessment of student work
6. Have you engaged the UC Berkeley Privacy Office to evaluate the privacy impacts of the Vendor's AI services/products?
   • If you have not already, we recommend you reach out to begin the process as a privacy impact analysis on AI is needed in most cases. 

Additional AI Resources

• For questions regarding the appropriate use of AI tools, review the Appropriate Use of Generative AI page from the Office of Ethics, Risk, and Compliance Services
• For an overview of policy, governance, and other guidance regarding the use of AI, see the AI at UC Berkeley page on the Berkeley IT website.
• For consultation on assessing risk and determining risk remediation activities, consider engaging in the process overseen by the Committee on Enterprise Risk and Compliance's AI Risk Subcommittee (CERC-AIR)

Units are allowed a maximum of one (1) resubmission for Vendors that receive an overall Not Recommended rating. Prior to resubmission, significant deficiencies identified in the previous assessment must be addressed. If a Vendor receives an overall Not Recommended rating after the one (1) resubmissions, then alternative Vendors should be considered or apply for an exception.

Why is there a limit on the number of resubmissions?

• A limit on reassessments encourages Vendors to take the necessary steps to improve their offerings before seeking another evaluation. This fosters a culture of accountability and continuous improvement, ultimately benefiting both parties.

• Our assessment team has finite capacity. Frequent reassessments of Vendors who have previously failed can overwhelm our resources, leading to delays in evaluating other potential vendors. By setting a limit, we ensure that our team can maintain a balanced workload and continue to assess new vendors effectively.

• Each reassessment requires considerable time and effort from both our team and the Vendor. Limiting reassessments helps streamline our operations and ensures that we can focus on Vendors who meet our expectations.

• Reassessing a Vendor incurs costs to order assessments from Venminder. By limiting reassessments, we can better manage our budget.

Units requesting a Vendor Security Assessment (VSA) should review the following document and share it with the Vendor so that they are prepared for the VSA process.

• UC Berkeley Vendor Security Assessments (VSA) - Responsibilities & Expectations (PDF)