| Compliance |
The following 45 compliance controls are associated with this Policy definition '[Preview]: Network traffic data collection agent should be installed on Linux virtual machines' (04c4380f-3fae-46e8-96c9-30193528f602)
| Control Domain |
Control |
Name |
MetadataId |
Category |
Title |
Owner |
Requirements |
Description |
Info |
Policy# |
| Azure_Security_Benchmark_v2.0 |
LT-3 |
Azure_Security_Benchmark_v2.0_LT-3 |
Azure Security Benchmark LT-3 |
Logging and Threat Detection |
Enable logging for Azure network activities |
Customer |
Enable and collect network security group (NSG) resource logs, NSG flow logs, Azure Firewall logs, and Web Application Firewall (WAF) logs for security analysis to support incident investigations, threat hunting, and security alert generation. You can send the flow logs to an Azure Monitor Log Analytics workspace and then use Traffic Analytics to provide insights.
Ensure you are collecting DNS query logs to assist in correlating other network data.
How to enable network security group flow logs: https://docs.microsoft.com/azure/network-watcher/network-watcher-nsg-flow-logging-portal
Azure Firewall logs and metrics: https://docs.microsoft.com/azure/firewall/logs-and-metrics
How to enable and use Traffic Analytics: https://docs.microsoft.com/azure/network-watcher/traffic-analytics
Monitoring with Network Watcher: https://docs.microsoft.com/azure/network-watcher/network-watcher-monitoring-overview
Azure networking monitoring solutions in Azure Monitor: https://docs.microsoft.com/azure/azure-monitor/insights/azure-networking-analytics
Gather insights about your DNS infrastructure with the DNS Analytics solution: https://docs.microsoft.com/azure/azure-monitor/insights/dns-analytics |
n/a |
link |
3 |
| Azure_Security_Benchmark_v3.0 |
LT-4 |
Azure_Security_Benchmark_v3.0_LT-4 |
Azure Security Benchmark LT-4 |
Logging and Threat Detection |
Enable network logging for security investigation
|
Shared |
**Security Principle:**
Enable logging for your network services to support network-related incident investigations, threat hunting, and security alert generation. The network logs may include logs from network services such as IP filtering, network and application firewall, DNS, flow monitoring and so on.
**Azure Guidance:**
Enable and collect network security group (NSG) resource logs, NSG flow logs, Azure Firewall logs, and Web Application Firewall (WAF) logs for security analysis to support incident investigations, and security alert generation. You can send the flow logs to an Azure Monitor Log Analytics workspace and then use Traffic Analytics to provide insights.
Collect DNS query logs to assist in correlating other network data.
**Implementation and additional context:**
How to enable network security group flow logs:
https://docs.microsoft.com/azure/network-watcher/network-watcher-nsg-flow-logging-portal
Azure Firewall logs and metrics:
https://docs.microsoft.com/azure/firewall/logs-and-metrics
Azure networking monitoring solutions in Azure Monitor:
https://docs.microsoft.com/azure/azure-monitor/insights/azure-networking-analytics
Gather insights about your DNS infrastructure with the DNS Analytics solution:
https://docs.microsoft.com/azure/azure-monitor/insights/dns-analytics
|
n/a |
link |
2 |
| CMMC_2.0_L2 |
AU.L2-3.3.1 |
CMMC_2.0_L2_AU.L2-3.3.1 |
404 not found |
|
|
|
n/a |
n/a |
|
40 |
| CMMC_2.0_L2 |
AU.L2-3.3.2 |
CMMC_2.0_L2_AU.L2-3.3.2 |
404 not found |
|
|
|
n/a |
n/a |
|
38 |
| CMMC_2.0_L2 |
SI.L2-3.14.6 |
CMMC_2.0_L2_SI.L2-3.14.6 |
404 not found |
|
|
|
n/a |
n/a |
|
29 |
| CMMC_2.0_L2 |
SI.L2-3.14.7 |
CMMC_2.0_L2_SI.L2-3.14.7 |
404 not found |
|
|
|
n/a |
n/a |
|
23 |
| FedRAMP_High_R4 |
AU-12 |
FedRAMP_High_R4_AU-12 |
FedRAMP High AU-12 |
Audit And Accountability |
Audit Generation |
Shared |
n/a |
The information system:
a. Provides audit record generation capability for the auditable events defined in AU-2 a. at [Assignment: organization-defined information system components];
b. Allows [Assignment: organization-defined personnel or roles] to select which auditable events are to be audited by specific components of the information system; and
c. Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.
Supplemental Guidance: Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records. Related controls: AC-3, AU-2, AU-3, AU-6, AU-7.
References: None. |
link |
39 |
| FedRAMP_High_R4 |
AU-12(1) |
FedRAMP_High_R4_AU-12(1) |
FedRAMP High AU-12 (1) |
Audit And Accountability |
System-Wide / Time-Correlated Audit Trail |
Shared |
n/a |
The information system compiles audit records from [Assignment: organization-defined information system components] into a system-wide (logical or physical) audit trail that is time- correlated to within [Assignment: organization-defined level of tolerance for relationship between time stamps of individual records in the audit trail].
Supplemental Guidance: Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances. Related controls: AU-8, AU-12. |
link |
36 |
| FedRAMP_High_R4 |
AU-6 |
FedRAMP_High_R4_AU-6 |
FedRAMP High AU-6 |
Audit And Accountability |
Audit Review, Analysis, And Reporting |
Shared |
n/a |
The organization:
a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and
b. Reports findings to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7.
References: None. |
link |
26 |
| FedRAMP_High_R4 |
AU-6(4) |
FedRAMP_High_R4_AU-6(4) |
FedRAMP High AU-6 (4) |
Audit And Accountability |
Central Review And Analysis |
Shared |
n/a |
The information system provides the capability to centrally review and analyze audit records from multiple components within the system.
Supplemental Guidance: Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products. Related controls: AU-2, AU-12. |
link |
35 |
| FedRAMP_High_R4 |
AU-6(5) |
FedRAMP_High_R4_AU-6(5) |
FedRAMP High AU-6 (5) |
Audit And Accountability |
Integration / Scanning And Monitoring Capabilities |
Shared |
n/a |
The organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; [Assignment: organization-defined data/information collected from other sources]] to further enhance the ability to identify inappropriate or unusual activity.
Supplemental Guidance: This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations. Related controls: AU-12, IR-4, RA-5. |
link |
36 |
| FedRAMP_High_R4 |
SI-4 |
FedRAMP_High_R4_SI-4 |
FedRAMP High SI-4 |
System And Information Integrity |
Information System Monitoring |
Shared |
n/a |
The organization:
a. Monitors the information system to detect:
1. Attacks and indicators of potential attacks in accordance with [Assignment: organization- defined monitoring objectives]; and
2. Unauthorized local, network, and remote connections;
b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods];
c. Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization;
d. Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;
e. Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
f. Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and
g. Provides [Assignment: or ganization-defined information system monitoring information] to [Assignment: organization-defined personnel or roles] [Selection (one or more): as needed; [Assignment: organization-defined frequency]].
Supplemental Guidance: Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless. Related controls: AC-3, AC-4, AC-8, AC-17, AU-2, AU-6, AU-7, AU-9, AU-12, CA-7, IR-4, PE-3, RA-5, SC-7, SC-26, SC-35, SI-3, SI-7.
References: NIST Special Publications 800-61, 800-83, 800-92, 800-94, 800-137. |
link |
26 |
| FedRAMP_Moderate_R4 |
AU-12 |
FedRAMP_Moderate_R4_AU-12 |
FedRAMP Moderate AU-12 |
Audit And Accountability |
Audit Generation |
Shared |
n/a |
The information system:
a. Provides audit record generation capability for the auditable events defined in AU-2 a. at [Assignment: organization-defined information system components];
b. Allows [Assignment: organization-defined personnel or roles] to select which auditable events are to be audited by specific components of the information system; and
c. Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.
Supplemental Guidance: Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records. Related controls: AC-3, AU-2, AU-3, AU-6, AU-7.
References: None. |
link |
39 |
| FedRAMP_Moderate_R4 |
AU-6 |
FedRAMP_Moderate_R4_AU-6 |
FedRAMP Moderate AU-6 |
Audit And Accountability |
Audit Review, Analysis, And Reporting |
Shared |
n/a |
The organization:
a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and
b. Reports findings to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7.
References: None. |
link |
26 |
| FedRAMP_Moderate_R4 |
SI-4 |
FedRAMP_Moderate_R4_SI-4 |
FedRAMP Moderate SI-4 |
System And Information Integrity |
Information System Monitoring |
Shared |
n/a |
The organization:
a. Monitors the information system to detect:
1. Attacks and indicators of potential attacks in accordance with [Assignment: organization- defined monitoring objectives]; and
2. Unauthorized local, network, and remote connections;
b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods];
c. Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization;
d. Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;
e. Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
f. Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and
g. Provides [Assignment: or ganization-defined information system monitoring information] to [Assignment: organization-defined personnel or roles] [Selection (one or more): as needed; [Assignment: organization-defined frequency]].
Supplemental Guidance: Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless. Related controls: AC-3, AC-4, AC-8, AC-17, AU-2, AU-6, AU-7, AU-9, AU-12, CA-7, IR-4, PE-3, RA-5, SC-7, SC-26, SC-35, SI-3, SI-7.
References: NIST Special Publications 800-61, 800-83, 800-92, 800-94, 800-137. |
link |
26 |
| hipaa |
0836.09.n2Organizational.1-09.n |
hipaa-0836.09.n2Organizational.1-09.n |
0836.09.n2Organizational.1-09.n |
08 Network Protection |
0836.09.n2Organizational.1-09.n 09.06 Network Security Management |
Shared |
n/a |
The organization formally authorizes and documents the characteristics of each connection from an information system to other information systems outside the organization. |
|
4 |
| hipaa |
0885.09n2Organizational.3-09.n |
hipaa-0885.09n2Organizational.3-09.n |
0885.09n2Organizational.3-09.n |
08 Network Protection |
0885.09n2Organizational.3-09.n 09.06 Network Security Management |
Shared |
n/a |
The organization reviews and updates the interconnection security agreements on an ongoing basis, verifying enforcement of security requirements. |
|
3 |
| NIST_SP_800-171_R2_3 |
.14.6 |
NIST_SP_800-171_R2_3.14.6 |
NIST SP 800-171 R2 3.14.6 |
System and Information Integrity |
Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the system. Organizations can monitor systems, for example, by observing audit record activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. System monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include selected perimeter locations and near server farms supporting critical applications, with such devices being employed at managed system interfaces. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of systems to support such objectives. System monitoring is an integral part of continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless. Unusual or unauthorized activities or conditions related to inbound/outbound communications traffic include internal traffic that indicates the presence of malicious code in systems or propagating among system components, the unauthorized exporting of information, or signaling to external systems. Evidence of malicious code is used to identify potentially compromised systems or system components. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other requirements. [SP 800-94] provides guidance on intrusion detection and prevention systems. |
link |
31 |
| NIST_SP_800-171_R2_3 |
.14.7 |
NIST_SP_800-171_R2_3.14.7 |
NIST SP 800-171 R2 3.14.7 |
System and Information Integrity |
Identify unauthorized use of organizational systems. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
System monitoring includes external and internal monitoring. System monitoring can detect unauthorized use of organizational systems. System monitoring is an integral part of continuous monitoring and incident response programs. Monitoring is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Output from system monitoring serves as input to continuous monitoring and incident response programs. Unusual/unauthorized activities or conditions related to inbound and outbound communications traffic include internal traffic that indicates the presence of malicious code in systems or propagating among system components, the unauthorized exporting of information, or signaling to external systems. Evidence of malicious code is used to identify potentially compromised systems or system components. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other requirements. [SP 800-94] provides guidance on intrusion detection and prevention systems. |
link |
24 |
| NIST_SP_800-171_R2_3 |
.3.1 |
NIST_SP_800-171_R2_3.3.1 |
NIST SP 800-171 R2 3.3.1 |
Audit and Accountability |
Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
An event is any observable occurrence in a system, which includes unlawful or unauthorized system activity. Organizations identify event types for which a logging functionality is needed as those events which are significant and relevant to the security of systems and the environments in which those systems operate to meet specific and ongoing auditing needs. Event types can include password changes, failed logons or failed accesses related to systems, administrative privilege usage, or third-party credential usage. In determining event types that require logging, organizations consider the monitoring and auditing appropriate for each of the CUI security requirements. Monitoring and auditing requirements can be balanced with other system needs. For example, organizations may determine that systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit logging capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of event types, the logging necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented or cloud-based architectures. Audit record content that may be necessary to satisfy this requirement includes time stamps, source and destination addresses, user or process identifiers, event descriptions, success or fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the system after the event occurred). Detailed information that organizations may consider in audit records includes full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit log information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest. Audit logs are reviewed and analyzed as often as needed to provide important information to organizations to facilitate risk-based decision making. [SP 800-92] provides guidance on security log management. |
link |
55 |
| NIST_SP_800-171_R2_3 |
.3.2 |
NIST_SP_800-171_R2_3.3.2 |
NIST SP 800-171 R2 3.3.2 |
Audit and Accountability |
Ensure that the actions of individual system users can be uniquely traced to those users, so they can be held accountable for their actions. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
This requirement ensures that the contents of the audit record include the information needed to link the audit event to the actions of an individual to the extent feasible. Organizations consider logging for traceability including results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, communications at system boundaries, configuration settings, physical access, nonlocal maintenance, use of maintenance tools, temperature and humidity, equipment delivery and removal, system component inventory, use of mobile code, and use of Voice over Internet Protocol (VoIP). |
link |
41 |
| NIST_SP_800-53_R4 |
AU-12 |
NIST_SP_800-53_R4_AU-12 |
NIST SP 800-53 Rev. 4 AU-12 |
Audit And Accountability |
Audit Generation |
Shared |
n/a |
The information system:
a. Provides audit record generation capability for the auditable events defined in AU-2 a. at [Assignment: organization-defined information system components];
b. Allows [Assignment: organization-defined personnel or roles] to select which auditable events are to be audited by specific components of the information system; and
c. Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.
Supplemental Guidance: Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records. Related controls: AC-3, AU-2, AU-3, AU-6, AU-7.
References: None. |
link |
39 |
| NIST_SP_800-53_R4 |
AU-12(1) |
NIST_SP_800-53_R4_AU-12(1) |
NIST SP 800-53 Rev. 4 AU-12 (1) |
Audit And Accountability |
System-Wide / Time-Correlated Audit Trail |
Shared |
n/a |
The information system compiles audit records from [Assignment: organization-defined information system components] into a system-wide (logical or physical) audit trail that is time- correlated to within [Assignment: organization-defined level of tolerance for relationship between time stamps of individual records in the audit trail].
Supplemental Guidance: Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances. Related controls: AU-8, AU-12. |
link |
36 |
| NIST_SP_800-53_R4 |
AU-6 |
NIST_SP_800-53_R4_AU-6 |
NIST SP 800-53 Rev. 4 AU-6 |
Audit And Accountability |
Audit Review, Analysis, And Reporting |
Shared |
n/a |
The organization:
a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and
b. Reports findings to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7.
References: None. |
link |
26 |
| NIST_SP_800-53_R4 |
AU-6(4) |
NIST_SP_800-53_R4_AU-6(4) |
NIST SP 800-53 Rev. 4 AU-6 (4) |
Audit And Accountability |
Central Review And Analysis |
Shared |
n/a |
The information system provides the capability to centrally review and analyze audit records from multiple components within the system.
Supplemental Guidance: Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products. Related controls: AU-2, AU-12. |
link |
35 |
| NIST_SP_800-53_R4 |
AU-6(5) |
NIST_SP_800-53_R4_AU-6(5) |
NIST SP 800-53 Rev. 4 AU-6 (5) |
Audit And Accountability |
Integration / Scanning And Monitoring Capabilities |
Shared |
n/a |
The organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; [Assignment: organization-defined data/information collected from other sources]] to further enhance the ability to identify inappropriate or unusual activity.
Supplemental Guidance: This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations. Related controls: AU-12, IR-4, RA-5. |
link |
36 |
| NIST_SP_800-53_R4 |
SI-4 |
NIST_SP_800-53_R4_SI-4 |
NIST SP 800-53 Rev. 4 SI-4 |
System And Information Integrity |
Information System Monitoring |
Shared |
n/a |
The organization:
a. Monitors the information system to detect:
1. Attacks and indicators of potential attacks in accordance with [Assignment: organization- defined monitoring objectives]; and
2. Unauthorized local, network, and remote connections;
b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods];
c. Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization;
d. Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;
e. Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
f. Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and
g. Provides [Assignment: or ganization-defined information system monitoring information] to [Assignment: organization-defined personnel or roles] [Selection (one or more): as needed; [Assignment: organization-defined frequency]].
Supplemental Guidance: Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless. Related controls: AC-3, AC-4, AC-8, AC-17, AU-2, AU-6, AU-7, AU-9, AU-12, CA-7, IR-4, PE-3, RA-5, SC-7, SC-26, SC-35, SI-3, SI-7.
References: NIST Special Publications 800-61, 800-83, 800-92, 800-94, 800-137. |
link |
26 |
| NIST_SP_800-53_R5 |
AU-12 |
NIST_SP_800-53_R5_AU-12 |
NIST SP 800-53 Rev. 5 AU-12 |
Audit and Accountability |
Audit Record Generation |
Shared |
n/a |
a. Provide audit record generation capability for the event types the system is capable of auditing as defined in [AU-2a](#au-2_smt.a) on [Assignment: organization-defined system components];
b. Allow [Assignment: organization-defined personnel or roles] to select the event types that are to be logged by specific components of the system; and
c. Generate audit records for the event types defined in [AU-2c](#au-2_smt.c) that include the audit record content defined in [AU-3](#au-3). |
link |
39 |
| NIST_SP_800-53_R5 |
AU-12(1) |
NIST_SP_800-53_R5_AU-12(1) |
NIST SP 800-53 Rev. 5 AU-12 (1) |
Audit and Accountability |
System-wide and Time-correlated Audit Trail |
Shared |
n/a |
Compile audit records from [Assignment: organization-defined system components] into a system-wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail]. |
link |
36 |
| NIST_SP_800-53_R5 |
AU-6 |
NIST_SP_800-53_R5_AU-6 |
NIST SP 800-53 Rev. 5 AU-6 |
Audit and Accountability |
Audit Record Review, Analysis, and Reporting |
Shared |
n/a |
a. Review and analyze system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity] and the potential impact of the inappropriate or unusual activity;
b. Report findings to [Assignment: organization-defined personnel or roles]; and
c. Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information. |
link |
26 |
| NIST_SP_800-53_R5 |
AU-6(4) |
NIST_SP_800-53_R5_AU-6(4) |
NIST SP 800-53 Rev. 5 AU-6 (4) |
Audit and Accountability |
Central Review and Analysis |
Shared |
n/a |
Provide and implement the capability to centrally review and analyze audit records from multiple components within the system. |
link |
35 |
| NIST_SP_800-53_R5 |
AU-6(5) |
NIST_SP_800-53_R5_AU-6(5) |
NIST SP 800-53 Rev. 5 AU-6 (5) |
Audit and Accountability |
Integrated Analysis of Audit Records |
Shared |
n/a |
Integrate analysis of audit records with analysis of [Selection (OneOrMore): vulnerability scanning information;performance data;system monitoring information; [Assignment: organization-defined data/information collected from other sources] ] to further enhance the ability to identify inappropriate or unusual activity. |
link |
36 |
| NIST_SP_800-53_R5 |
SI-4 |
NIST_SP_800-53_R5_SI-4 |
NIST SP 800-53 Rev. 5 SI-4 |
System and Information Integrity |
System Monitoring |
Shared |
n/a |
a. Monitor the system to detect:
1. Attacks and indicators of potential attacks in accordance with the following monitoring objectives: [Assignment: organization-defined monitoring objectives]; and
2. Unauthorized local, network, and remote connections;
b. Identify unauthorized use of the system through the following techniques and methods: [Assignment: organization-defined techniques and methods];
c. Invoke internal monitoring capabilities or deploy monitoring devices:
1. Strategically within the system to collect organization-determined essential information; and
2. At ad hoc locations within the system to track specific types of transactions of interest to the organization;
d. Analyze detected events and anomalies;
e. Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;
f. Obtain legal opinion regarding system monitoring activities; and
g. Provide [Assignment: organization-defined system monitoring information] to [Assignment: organization-defined personnel or roles] [Selection (OneOrMore): as needed; [Assignment: organization-defined frequency] ] . |
link |
26 |
| RBI_CSF_Banks_v2016 |
16.3 |
RBI_CSF_Banks_v2016_16.3 |
|
Maintenance, Monitoring, And Analysis Of Audit Logs |
Maintenance, Monitoring, And Analysis Of Audit Logs-16.3 |
|
n/a |
Enough care is to be taken tocapture audit logs pertaining to user actions in a system. Such arrangements should facilitate forensic auditing, if need be. |
|
6 |
| RBI_CSF_Banks_v2016 |
17.1 |
RBI_CSF_Banks_v2016_17.1 |
|
Audit Log Settings |
Audit Log Settings-17.1 |
|
n/a |
Implement and periodically validate settings for capturing of appropriate logs/audit trails of each device, system software and application software , ensuring that logs include minimum information to uniquely identify the log for example by including a date, timestamp, source addresses, destination addresses, and various other useful elements of each packet and/or event and/or transaction. |
|
15 |
| RBI_CSF_Banks_v2016 |
4.2 |
RBI_CSF_Banks_v2016_4.2 |
|
Network Management And Security |
Network Inventory-4.2 |
|
n/a |
Maintain an up-to-date/centralised inventory of authorised devices connected to bank???s network (within/outside bank???s premises) and authorised devices enabling the bank???s network. The bank may consider implementing solutions to automate network discovery and management. |
|
6 |
| RBI_ITF_NBFC_v2017 |
3.1.g |
RBI_ITF_NBFC_v2017_3.1.g |
RBI IT Framework 3.1.g |
Information and Cyber Security |
Trails-3.1 |
|
n/a |
The IS Policy must provide for a IS framework with the following basic tenets:
Trails- NBFCs shall ensure that audit trails exist for IT assets satisfying its business requirements including regulatory and legal requirements, facilitating audit, serving as forensic evidence when required and assisting in dispute resolution. If an employee, for instance, attempts to access an unauthorized section, this improper activity should be recorded in the audit trail. |
link |
40 |
| RBI_ITF_NBFC_v2017 |
4.2 |
RBI_ITF_NBFC_v2017_4.2 |
RBI IT Framework 4.2 |
IT Operations |
IT Operations-4.2 |
|
n/a |
NBFCs are required to realign their IT systems on a regular basis in line with the changing needs of its customers and business. The changes need to be done in such a way that adverse incidents and disruption to services are minimized while maximizing value for the customers. For this purpose, NBFCs should develop, with the approval of their Board, a Change Management Policy that encompasses the following:
prioritizing and responding to change proposals from business,
cost benefit analysis of the changes proposed,
assessing risks associated with the changes proposed,
change implementation, monitoring and reporting.
It should be the responsibility of the senior management to ensure that the Change Management policy is being followed on an ongoing basis. |
link |
1 |
| SWIFT_CSCF_v2021 |
1.1 |
SWIFT_CSCF_v2021_1.1 |
SWIFT CSCF v2021 1.1 |
SWIFT Environment Protection |
SWIFT Environment Protection |
|
n/a |
Ensure the protection of the user's local SWIFT infrastructure from potentially compromised elements of the general IT environment and external environment. |
link |
30 |
| SWIFT_CSCF_v2021 |
6.4 |
SWIFT_CSCF_v2021_6.4 |
SWIFT CSCF v2021 6.4 |
Detect Anomalous Activity to Systems or Transaction Records |
Logging and Monitoring |
|
n/a |
Record security events and detect anomalous actions and operations within the local SWIFT environment. |
link |
35 |
| SWIFT_CSCF_v2021 |
6.5A |
SWIFT_CSCF_v2021_6.5A |
SWIFT CSCF v2021 6.5A |
Detect Anomalous Activity to Systems or Transaction Records |
Intrusion Detection |
|
n/a |
Detect and prevent anomalous network activity into and within the local or remote SWIFT environment. |
link |
16 |
| SWIFT_CSCF_v2022 |
1.1 |
SWIFT_CSCF_v2022_1.1 |
SWIFT CSCF v2022 1.1 |
1. Restrict Internet Access & Protect Critical Systems from General IT Environment |
Ensure the protection of the user's local SWIFT infrastructure from potentially compromised elements of the general IT environment and external environment. |
Shared |
n/a |
A separated secure zone safeguards the user's SWIFT infrastructure from compromises and attacks on the broader enterprise and external environments. |
link |
22 |
| SWIFT_CSCF_v2022 |
1.5A |
SWIFT_CSCF_v2022_1.5A |
SWIFT CSCF v2022 1.5A |
1. Restrict Internet Access & Protect Critical Systems from General IT Environment |
Ensure the protection of the customer’s connectivity infrastructure from external environment and potentially compromised elements of the general IT environment. |
Shared |
n/a |
A separated secure zone safeguards the customer's infrastructure used for external connectivity from external environments and compromises or attacks on the broader enterprise environment. |
link |
26 |
| SWIFT_CSCF_v2022 |
6.4 |
SWIFT_CSCF_v2022_6.4 |
SWIFT CSCF v2022 6.4 |
6. Detect Anomalous Activity to Systems or Transaction Records |
Record security events and detect anomalous actions and operations within the local SWIFT environment. |
Shared |
n/a |
Capabilities to detect anomalous activity are implemented, and a process or tool is in place to keep and review logs. |
link |
53 |
| SWIFT_CSCF_v2022 |
6.5A |
SWIFT_CSCF_v2022_6.5A |
SWIFT CSCF v2022 6.5A |
6. Detect Anomalous Activity to Systems or Transaction Records |
Detect and contain anomalous network activity into and within the local or remote SWIFT environment. |
Shared |
n/a |
Intrusion detection is implemented to detect unauthorised network access and anomalous activity. |
link |
18 |
|