Az Policy Advertizer

Azure_Security_Benchmark_v1.0

9.4

Azure_Security_Benchmark_v1.0_9.4

Azure Security Benchmark 9.4

Data Recovery

Ensure protection of backups and customer managed keys

Customer

For on-premises backup, encryption-at-rest is provided using the passphrase you provide when backing up to Azure. For Azure VMs, data is encrypted-at-rest using Storage Service Encryption (SSE). You may enable Soft-Delete in Key Vault to protect keys against accidental or malicious deletion. How to enable Soft-Delete in Key Vault: https://docs.microsoft.com/azure/storage/blobs/storage-blob-soft-delete?tabs=azure-portal

n/a

Azure_Security_Benchmark_v2.0

BR-4

Azure_Security_Benchmark_v2.0_BR-4

Azure Security Benchmark BR-4

Backup and Recovery

Mitigate risk of lost keys

Customer

Ensure you have measures in place to prevent and recover from loss of keys. Enable soft delete and purge protection in Azure Key Vault to protect keys against accidental or malicious deletion. How to enable soft delete and purge protection in Key Vault: https://docs.microsoft.com/azure/storage/blobs/storage-blob-soft-delete?tabs=azure-portal

n/a

Azure_Security_Benchmark_v3.0

DP-8

Azure_Security_Benchmark_v3.0_DP-8

Microsoft cloud security benchmark DP-8

Data Protection

Ensure security of key and certificate repository

Shared

**Security Principle:** Ensure the security of the key vault service used for the cryptographic key and certificate lifecycle management. Harden your key vault service through access control, network security, logging and monitoring and backup to ensure keys and certificates are always protected using the maximum security. **Azure Guidance:** Secure your cryptographic keys and certificates by hardening your Azure Key Vault service through the following controls: - Restrict the access to keys and certificates in Azure Key Vault using built-in access policies or Azure RBAC to ensure the least privileges principle are in place for management plane access and data plane access. - Secure the Azure Key Vault using Private Link and Azure Firewall to ensure the minimal exposure of the service - Ensure separation of duties is place for users who manages encryption keys not have the ability to access encrypted data, and vice versa. - Use managed identity to access keys stored in the Azure Key Vault in your workload applications. - Never have the keys stored in plaintext format outside of the Azure Key Vault. - When purging data, ensure your keys are not deleted before the actual data, backups and archives are purged. - Backup your keys and certificates using the Azure Key Vault. Enable soft delete and purge protection to avoid accidental deletion of keys. - Turn on Azure Key Vault logging to ensure the critical management plane and data plane activities are logged. **Implementation and additional context:** Azure Key Vault overview: https://docs.microsoft.com/azure/key-vault/general/overview Azure Key Vault security best practices: https://docs.microsoft.com/azure/key-vault/general/best-practices Use managed identity to access Azure Key Vault: https://docs.microsoft.com/azure/active-directory/managed-identities-azure-resources/tutorial-windows-vm-access-nonaad

n/a

CIS_Azure_1.1.0

8.4

CIS_Azure_1.1.0_8.4

CIS Microsoft Azure Foundations Benchmark recommendation 8.4

8 Other Security Considerations

Ensure the key vault is recoverable

Shared

The customer is responsible for implementing this recommendation.

The key vault contains object keys, secrets and certificates. Accidental unavailability of a key vault can cause immediate data loss or loss of security functions (authentication, validation, verification, non-repudiation, etc.) supported by the key vault objects. It is recommended the key vault be made recoverable by enabling the "Do Not Purge" and "Soft Delete" functions. This is in order to prevent loss of encrypted data including storage accounts, SQL databases, and/or dependent services provided by key vault objects (Keys, Secrets, Certificates) etc., as may happen in the case of accidental deletion by a user or from disruptive activity by a malicious user.

CIS_Azure_1.3.0

8.4

CIS_Azure_1.3.0_8.4

CIS Microsoft Azure Foundations Benchmark recommendation 8.4

8 Other Security Considerations

Ensure the key vault is recoverable

Shared

The customer is responsible for implementing this recommendation.

CIS_Azure_1.4.0

8.6

CIS_Azure_1.4.0_8.6

CIS Microsoft Azure Foundations Benchmark recommendation 8.6

8 Other Security Considerations

Ensure the key vault is recoverable

Shared

The customer is responsible for implementing this recommendation.

CIS_Azure_2.0.0

8.5

CIS_Azure_2.0.0_8.5

CIS Microsoft Azure Foundations Benchmark recommendation 8.5

Ensure the Key Vault is Recoverable

Shared

Once purge-protection and soft-delete are enabled for a Key Vault, the action is irreversible.

The Key Vault contains object keys, secrets, and certificates. Accidental unavailability of a Key Vault can cause immediate data loss or loss of security functions (authentication, validation, verification, non-repudiation, etc.) supported by the Key Vault objects. It is recommended the Key Vault be made recoverable by enabling the "Do Not Purge" and "Soft Delete" functions. This is in order to prevent loss of encrypted data, including storage accounts, SQL databases, and/or dependent services provided by Key Vault objects (Keys, Secrets, Certificates) etc. This may happen in the case of accidental deletion by a user or from disruptive activity by a malicious user. WARNING: A current limitation of the soft-delete feature across all Azure services is role assignments disappearing when Key Vault is deleted. All role assignments will need to be recreated after recovery. There could be scenarios where users accidentally run delete/purge commands on Key Vault or an attacker/malicious user deliberately does so in order to cause disruption. Deleting or purging a Key Vault leads to immediate data loss, as keys encrypting data and secrets/certificates allowing access/services will become non-accessible. There are 2 Key Vault properties that play a role in permanent unavailability of a Key Vault: 1. `enableSoftDelete`: Setting this parameter to "true" for a Key Vault ensures that even if Key Vault is deleted, Key Vault itself or its objects remain recoverable for the next 90 days. Key Vault/objects can either be recovered or purged (permanent deletion) during those 90 days. If no action is taken, key vault and its objects will subsequently be purged. 2. `enablePurgeProtection`: enableSoftDelete only ensures that Key Vault is not deleted permanently and will be recoverable for 90 days from date of deletion. However, there are scenarios in which the Key Vault and/or its objects are accidentally purged and hence will not be recoverable. Setting enablePurgeProtection to "true" ensures that the Key Vault and its objects cannot be purged. Enabling both the parameters on Key Vaults ensures that Key Vaults and their objects cannot be deleted/purged permanently.

CMMC_L2_v1.9.0_MP.L1_3.8.3

CIS_Controls_v8.1

11.1

CIS_Controls_v8.1_11.1

CIS Controls v8.1 11.1

Data Recovery

Establish and maintain a data recovery process

Shared

1. Establish and maintain a data recovery process. In the process, address the scope of data recovery activities, recovery prioritization, and the security of backup data. 2. Review and update documentation annually, or when significant enterprise changes occur that could impact this safeguard.

To ensure there is a system in place to recover data.

CIS_Controls_v8.1

4.1

CIS_Controls_v8.1_4.1

CIS Controls v8.1 4.1

Secure Configuration of Enterprise Assets and Software

Establish and maintain a secure configuration process.

Shared

1. Establish and maintain a secure configuration process for enterprise assets (end-user devices, including portable and mobile; non-computing/IoT devices; and servers) and software (operating systems and applications). 2. Review and update documentation annually, or when significant enterprise changes occur that could impact this safeguard.

To ensure data integrity and safety of enterprise assets.

CMMC_2.0_L2

MP.L2-3.8.9

CMMC_2.0_L2_MP.L2-3.8.9

404 not found

n/a

CMMC_L2_v1.9.0

MP.L1_3.8.3

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 MP.L1 3.8.3

Media Protection

Media Disposal

Shared

Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse.

To ensure that sensitive data is securely handled and preventing unauthorized access or disclosure of sensitive information.

CMMC_L3

SC.3.187

CMMC_L3_SC.3.187

CMMC L3 SC.3.187

System and Communications Protection

Establish and manage cryptographic keys for cryptography employed in organizational systems.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

Cryptographic key management and establishment can be performed using manual procedures or mechanisms supported by manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, policies, directives, regulations, and standards specifying appropriate options, levels, and parameters.

CSA_v4.0.12

BCR_08

CSA_v4.0.12_BCR_08

CSA Cloud Controls Matrix v4.0.12 BCR 08

Business Continuity Management and Operational Resilience

Backup

Shared

n/a

Periodically backup data stored in the cloud. Ensure the confidentiality, integrity and availability of the backup, and verify data restoration from backup for resiliency.

CSA_v4.0.12

CEK_08

CSA_v4.0.12_CEK_08

CSA Cloud Controls Matrix v4.0.12 CEK 08

Cryptography, Encryption & Key Management

CSC Key Management Capability

Shared

n/a

CSPs must provide the capability for CSCs to manage their own data encryption keys.

CSA_v4.0.12

CEK_20

CSA_v4.0.12_CEK_20

CSA Cloud Controls Matrix v4.0.12 CEK 20

Cryptography, Encryption & Key Management

Key Recovery

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures to assess the risk to operational continuity versus the risk of the keying material and the information it protects being exposed if control of the keying material is lost, which include provisions for legal and regulatory requirements.

EU_2555_(NIS2)_2022_11

EU 2022/2555 (NIS2) 2022 11

Requirements, technical capabilities and tasks of CSIRTs

Shared

n/a

Outlines the requirements, technical capabilities, and tasks of CSIRTs.

EU_2555_(NIS2)_2022_12

EU 2022/2555 (NIS2) 2022 12

Coordinated vulnerability disclosure and a European vulnerability database

Shared

n/a

Establishes a coordinated vulnerability disclosure process and a European vulnerability database.

EU_2555_(NIS2)_2022_21

EU 2022/2555 (NIS2) 2022 21

Cybersecurity risk-management measures

Shared

n/a

Requires essential and important entities to take appropriate measures to manage cybersecurity risks.

194

EU_2555_(NIS2)_2022_29

EU 2022/2555 (NIS2) 2022 29

Cybersecurity information-sharing arrangements

Shared

n/a

Allows entities to exchange relevant cybersecurity information on a voluntary basis.

EU_2555_(NIS2)_2022_9

EU 2022/2555 (NIS2) 2022 9

National cyber crisis management frameworks

Shared

n/a

Requires Member States to establish frameworks for managing large-scale cybersecurity incidents and crises.

EU_GDPR_2016_679_Art._24

EU General Data Protection Regulation (GDPR) 2016/679 Art. 24

Chapter 4 - Controller and processor

Responsibility of the controller

Shared

n/a

311

EU_GDPR_2016_679_Art._25

EU General Data Protection Regulation (GDPR) 2016/679 Art. 25

Chapter 4 - Controller and processor

Data protection by design and by default

Shared

n/a

311

EU_GDPR_2016_679_Art._28

EU General Data Protection Regulation (GDPR) 2016/679 Art. 28

Chapter 4 - Controller and processor

Processor

Shared

n/a

311

FBI_Criminal_Justice_Information_Services_v5.9.5_5

EU_GDPR_2016_679_Art._32

EU General Data Protection Regulation (GDPR) 2016/679 Art. 32

Chapter 4 - Controller and processor

Security of processing

Shared

n/a

311

.11

FBI_Criminal_Justice_Information_Services_v5.9.5_5.11

FBI Criminal Justice Information Services (CJIS) v5.9.5 5.11

Policy and Implementation - Formal Audits

Policy Area 11: Formal Audits

Shared

Internal compliance checklists should be regularly kept updated with respect to applicable statutes, regulations, policies and on the basis of findings in audit.

Formal audits are conducted to ensure compliance with applicable statutes, regulations and policies.

FBI_Criminal_Justice_Information_Services_v5.9.5_5

FBI_Criminal_Justice_Information_Services_v5.9.5_5.8

FBI Criminal Justice Information Services (CJIS) v5.9.5 5.8

Policy and Implementation - Media Protection

Media Protection

Shared

Ensure proper documentation and implementation of media protection policies and procedure with appropriate security safeguards to avoid issues like data leak.

Documented and implemented media protection policies and procedures ensure that access to digital and non-digital media in all forms is restricted to authorized individuals using authorized methods and processes.

FedRAMP_High_R4

CP-9

FedRAMP_High_R4_CP-9

FedRAMP High CP-9

Contingency Planning

Information System Backup

Shared

n/a

The organization: a. Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; b. Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; c. Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and d. Protects the confidentiality, integrity, and availability of backup information at storage locations. Supplemental Guidance: System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Related controls: CP-2, CP-6, MP-4, MP-5, SC-13. References: NIST Special Publication 800-34.

FedRAMP_Moderate_R4

CP-9

FedRAMP_Moderate_R4_CP-9

FedRAMP Moderate CP-9

Contingency Planning

Information System Backup

Shared

n/a

hipaa-1635.12b1Organizational.2-12.b

hipaa

1635.12b1Organizational.2-12.b

1635.12b1Organizational.2-12.b

16 Business Continuity & Disaster Recovery

1635.12b1Organizational.2-12.b 12.01 Information Security Aspects of Business Continuity Management

Shared

n/a

Information security aspects of business continuity are: (i) based on identifying events (or sequence of events) that can cause interruptions to the organization's critical business processes (e.g., equipment failure, human errors, theft, fire, natural disasters acts of terrorism); (ii) followed by a risk assessment to determine the probability and impact of such interruptions, in terms of time, damage scale and recovery period; (iii) based on the results of the risk assessment, a business continuity strategy is developed to identify the overall approach to business continuity; and, (iv) once this strategy has been created, endorsement is provided by management, and a plan created and endorsed to implement this strategy.

HITRUST_CSF_v11.3

06.c

HITRUST_CSF_v11.3_06.c

HITRUST CSF v11.3 06.c

Compliance with Legal Requirements

To prevent loss, destruction and falsification of important records in accordance with statutory, regulatory, contractual, and business requirements.

Shared

1. Guidelines are to be issued and implemented by the organization on the ownership, classification, retention, storage, handling, and disposal of all records and information. 2. Accountings of disclosure as organizational records are to be documented and maintained for a pre-defined period.

Important records shall be protected from loss, destruction, and falsification, in accordance with statutory, regulatory, contractual, and business requirements.

HITRUST_CSF_v11.3

09.l

HITRUST_CSF_v11.3_09.l

HITRUST CSF v11.3 09.l

Information Back-Up

To ensure the maintenance, integrity, and availability of organizational information.

Shared

1. Restoration procedures are to be tested regularly at appropriate intervals in accordance with an agreed-upon backup policy. 2. Inventory records for the backup copies are to be maintained, and is to include the content of the backup copies, and the current location of the backup copies. 3. Full backups are to be performed weekly to separate media and incremental. 4. Differential backups are to be performed daily to separate media.

Back-up copies of information and software shall be taken and tested regularly.

HITRUST_CSF_v11.3

10.c

HITRUST_CSF_v11.3_10.c

HITRUST CSF v11.3 10.c

Correct Processing in Applications

To incorporate validation checks into applications to detect any corruption of information through processing errors or deliberate acts.

Shared

Data integrity controls which manage changes, prevent sequencing errors, ensure recovery from failures, and protect against buffer overrun attacks are to be implemented.

Validation checks shall be incorporated into applications to detect any corruption of information through processing errors or deliberate acts.

ISO_IEC_27002_2022

7.14

ISO_IEC_27002_2022_7.14

ISO IEC 27002 2022 7.14

Protection, Preventive, Control

Secure disposal or re-use of equipment

Shared

Items of equipment containing storage media should be verified to ensure that any sensitive data and licensed software has been removed or securely overwritten prior to disposal or re-use.

To prevent leakage of information from equipment to be disposed or re-used

New_Zealand_ISM

23.4.9.C.01

New_Zealand_ISM_23.4.9.C.01

23. Public Cloud Security

23.4.9.C.01 Data protection mechanisms

n/a

For each cloud service, agencies MUST ensure that the mechanisms used to protect data meet agency requirements.

NIST_CSF_v2.0

PR.DS_01

NIST_CSF_v2.0_PR.DS_01

NIST CSF v2.0 PR.DS 01

PROTECT-Data Security

The confidentiality, integrity, and availability of data-at-rest are protected.

Shared

n/a

To implement safeguards for managing organization’s cybersecurity risks.

NIST_SP_800-171_R2_3

.8.9

NIST_SP_800-171_R2_3.8.9

NIST SP 800-171 R2 3.8.9

Media Protection

Protect the confidentiality of backup CUI at storage locations.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

Organizations can employ cryptographic mechanisms or alternative physical controls to protect the confidentiality of backup information at designated storage locations. Backed-up information containing CUI may include system-level information and user-level information. System-level information includes system-state information, operating system software, application software, and licenses. User-level information includes information other than system-level information.

NIST_SP_800-171_R3_3

.8.3

NIST_SP_800-171_R3_3.8.3

404 not found

n/a

NIST_SP_800-171_R3_3

.8.9

NIST_SP_800-171_R3_3.8.9

NIST 800-171 R3 3.8.9

Media Protection Control

System Backup – Cryptographic Protection

Shared

Backup storage locations may include system-level information and user-level information System-level information includes system state information, operating system software, application software, and licenses. User-level information includes information other than system-level information. Hardware-enabled security technologies (e.g., hardware security modules [HSM]) can be used to enhance cryptographic protection for backup information. HSM devices safeguard and manage cryptographic keys and provide cryptographic processing. Cryptographic operations (e.g., encryption, decryption, and signature generation/verification) are typically hosted on the HSM device, and many implementations provide hardware-accelerated mechanisms for cryptographic operations. This requirement is related to 03.13.11.

Implement cryptographic mechanisms to prevent the unauthorized disclosure of CUI at backup storage locations.

NIST_SP_800-53_R4

CP-9

NIST_SP_800-53_R4_CP-9

NIST SP 800-53 Rev. 4 CP-9

Contingency Planning

Information System Backup

Shared

n/a

NIST_SP_800-53_R5.1.1_CP.9

NIST_SP_800-53_R5.1.1

CP.9

NIST SP 800-53 R5.1.1 CP.9

Contingency Planning Control

System Backup

Shared

a. Conduct backups of user-level information contained in [Assignment: organization-defined system components] [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; b. Conduct backups of system-level information contained in the system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; c. Conduct backups of system documentation, including security- and privacy-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and d. Protect the confidentiality, integrity, and availability of backup information.

System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of system backup information while in transit is addressed by MP-5 and SC-8. System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.

NIST_SP_800-53_R5.1.1

MP.6

NIST_SP_800-53_R5.1.1_MP.6

NIST SP 800-53 R5.1.1 MP.6

Media Protection Control

Media Sanitization

Shared

a. Sanitize [Assignment: organization-defined system media] prior to disposal, release out of organizational control, or release for reuse using [Assignment: organization-defined sanitization techniques and procedures]; and b. Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.

Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media (e.g., paper and microfilm). The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques—including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction—prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods, recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media that contains information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media that contains classified information. NARA policies control the sanitization process for controlled unclassified information.

NIST_SP_800-53_R5.1.1

SI.7.5

NIST_SP_800-53_R5.1.1_SI.7.5

NIST SP 800-53 R5.1.1 SI.7.5

System and Information Integrity Control

Software, Firmware, and Information Integrity | Automated Response to Integrity Violations

Shared

Automatically [Selection (one or more): shut the system down; restart the system; implement [Assignment: organization-defined controls] ] when integrity violations are discovered.

Organizations may define different integrity-checking responses by type of information, specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur.

NIST_SP_800-53_R5

CP-9

NIST_SP_800-53_R5_CP-9

NIST SP 800-53 Rev. 5 CP-9

Contingency Planning

System Backup

Shared

n/a

NL_BIO_Cloud_Theme_U.04.1(2)

NL_BIO_Cloud_Theme

U.04.1(2)

U.04 Data and Cloud Service Recovery

Restore Function

n/a

In the event of calamities, the data and cloud services are restored within the agreed period and maximum data loss and made available to the CSC.

NL_BIO_Cloud_Theme

U.04.2(2)

NL_BIO_Cloud_Theme_U.04.2(2)

U.04 Data and Cloud Service Recovery

Restore Function

n/a

The continuous process of recoverable protection of data is monitored.

NL_BIO_Cloud_Theme

U.04.3(2)

NL_BIO_Cloud_Theme_U.04.3(2)

U.04 Data and Cloud Service Recovery

Tested

n/a

The adequate functioning of recovery functions is periodically tested by qualified personnel and the results are shared with the CSC.

NZ_ISM_v3.5

CR-2

NZ_ISM_v3.5_CR-2

NZISM Security Benchmark CR-2

Cryptography

17.1.52 Data Recovery

Customer

n/a

It is important for continuity and operational stability that cryptographic products provide a means of data recovery to allow for the recovery of data in circumstances such as where the encryption key is unavailable due to loss, damage or failure. This includes production, storage, backup and virtual systems. This is sometimes described as ???key escrow???.

NZISM_Security_Benchmark_v1.1

CR-2

NZISM_Security_Benchmark_v1.1_CR-2

NZISM Security Benchmark CR-2

Cryptography

17.1.45 Data Recovery

Customer

Cryptographic products SHOULD provide a means of data recovery to allow for recovery of data in circumstances where the encryption key is unavailable due to loss, damage or failure.

12.6.4.C.01.

NZISM_v3.7_12.6.4.C.01.

NZISM v3.7 12.6.4.C.01.

Product Sanitisation and Disposal

12.6.4.C.01. - To safeguard classified information and mitigate risks during disposal.

Shared

n/a

Agencies MUST sanitise or destroy, then declassify, IT equipment containing any media before disposal.

12.6.4.C.02.

NZISM_v3.7_12.6.4.C.02.

NZISM v3.7 12.6.4.C.02.

Product Sanitisation and Disposal

12.6.4.C.02. - To ensure the protection of sensitive information.

Shared

n/a

IT equipment and associated media that have processed or stored NZEO information, and cannot be sanitised, MUST be returned to New Zealand for sanitisation or destruction, declassification and disposal.

13.1.12.C.03.

NZISM_v3.7_13.1.12.C.03.

NZISM v3.7 13.1.12.C.03.

System Decommissioning

13.1.12.C.03. - To ensure continuity and resilience in the event of system failures or data loss.

Shared

n/a

Agencies SHOULD archive essential software, system logic, system documentation and other system data to allow information to be recovered from archive.

13.1.9.C.01.

NZISM_v3.7_13.1.9.C.01.

NZISM v3.7 13.1.9.C.01.

System Decommissioning

13.1.9.C.01. - To safeguard sensitive data and minimise security risks during the transition process.

Shared

n/a

When the Information System reaches the end of its service life in an organisation, policy and procedures SHOULD be in place to ensure secure decommissioning and transfer or disposal, in order to satisfy corporate, legal and statutory requirements.

22.1.26.C.01.

NZISM_v3.7_22.1.26.C.01.

NZISM v3.7 22.1.26.C.01.

Cloud Computing

22.1.26.C.01. - To ensure safety of data.

Shared

n/a

Agencies MUST develop and implement a backup, recovery and archiving plan and supporting procedures.

5.1.21.C.02.

NZISM_v3.7_5.1.21.C.02.

NZISM v3.7 5.1.21.C.02.

Documentation Fundamentals

5.1.21.C.02. - To establish a systematic approach to reviewing information security documentation,

Shared

n/a

Agencies SHOULD ensure that information security documentation is reviewed: 1. At least annually; or 2. In response to significant changes in the environment, business or system; and 3. With the date of the most recent review being recorded on each document.

6.4.6.C.01.

NZISM_v3.7_6.4.6.C.01.

NZISM v3.7 6.4.6.C.01.

Business Continuity and Disaster Recovery

6.4.6.C.01. - To enhance operational resilience.

Shared

n/a

Agencies SHOULD: 1.Identify vital records; 2. backup all vital records; 3. store copies of critical information, with associated documented recovery procedures, offsite and secured in accordance with the requirements for the highest 4. 4. classification of the information; and 5. test backup and restoration processes regularly to confirm their effectiveness.

7.3.11.C.01.

NZISM_v3.7_7.3.11.C.01.

NZISM v3.7 7.3.11.C.01.

Managing Information Security Incidents

7.3.11.C.01. - To support comprehensive investigations and ensure accountability

Shared

n/a

Agencies SHOULD: 1. transfer a copy of raw audit trails and other relevant data onto media for secure archiving, as well as securing manual log records for retention; and 2. ensure that all personnel involved in the investigation maintain a record of actions undertaken to support the investigation.

7.3.6.C.01.

NZISM_v3.7_7.3.6.C.01.

NZISM v3.7 7.3.6.C.01.

Managing Information Security Incidents

7.3.6.C.01. - To enhance incident management and oversight.

Shared

n/a

Agencies SHOULD ensure that all information security incidents are recorded in a register.

PCI_DSS_v4.0.1

9.4.3

PCI_DSS_v4.0.1_9.4.3

PCI DSS v4.0.1 9.4.3

Restrict Physical Access to Cardholder Data

Media with cardholder data sent outside the facility is secured as follows: Media sent outside the facility is logged. Media is sent by secured courier or other delivery method that can be accurately tracked. Offsite tracking logs include details about media location

Shared

n/a

Examine documentation to verify that procedures are defined for securing media sent outside the facility in accordance with all elements specified in this requirement. Interview personnel and examine records to verify that all media sent outside the facility is logged and sent via secured courier or other delivery method that can be tracked. Examine offsite tracking logs for all media to verify tracking details are documented

RBI_CSF_Banks_v2016

21.1

RBI_CSF_Banks_v2016_21.1

Metrics

Metrics-21.1

n/a

Develop a comprehensive set of metrics that provide for prospective and retrospective measures, like key performance indicators and key risk indicators

RBI_ITF_NBFC_v2017

3.1.h

RBI_ITF_NBFC_v2017_3.1.h

RBI IT Framework 3.1.h

Information and Cyber Security

Public Key Infrastructure (PKI)-3.1

n/a

The IS Policy must provide for a IS framework with the following basic tenets: Public Key Infrastructure (PKI) - NBFCs may increase the usage of PKI to ensure confidentiality of data, access control, data integrity, authentication and nonrepudiation.

RMiT_v1.0

10.16

RMiT_v1.0_10.16

RMiT 10.16

Cryptography

Cryptography - 10.16

Shared

n/a

A financial institution must establish a robust and resilient cryptography policy to promote the adoption of strong cryptographic controls for protection of important data and information. This policy, at a minimum, shall address requirements for: (a) the adoption of industry standards for encryption algorithms, message authentication, hash functions, digital signatures and random number generation; (b) the adoption of robust and secure processes in managing cryptographic key lifecycles which include generation, distribution, renewal, usage, storage, recovery, revocation and destruction; (c) the periodic review, at least every three years, of existing cryptographic standards and algorithms in critical systems, external linked or transactional customer-facing applications to prevent exploitation of weakened algorithms or protocols; and (d) the development and testing of compromise-recovery plans in the event of a cryptographic key compromise. This must set out the escalation process, procedures for keys regeneration, interim measures, changes to business-as-usual protocols and containment strategies or options to minimise the impact of a compromise.

RMiT_v1.0

11.15

RMiT_v1.0_11.15

RMiT 11.15

Data Loss Prevention (DLP)

Data Loss Prevention (DLP) - 11.15

Shared

n/a

A financial institution must design internal control procedures and implement appropriate technology in all applications and access points to enforce DLP policies and trigger any policy violations. The technology deployed must cover the following: (a) data in-use - data being processed by IT resources; (b) data in-motion - data being transmitted on the network; and (c) data at-rest - data stored in storage mediums such as servers, backup media and databases.

Sarbanes_Oxley_Act_(1)_2022_1

Sarbanes Oxley Act 2022 1

PUBLIC LAW

Sarbanes Oxley Act 2022 (SOX)

Shared

n/a

SOC_2

CC6.1

SOC_2_CC6.1

SOC 2 Type 2 CC6.1

Logical and Physical Access Controls

Logical access security software, infrastructure, and architectures

Shared

The customer is responsible for implementing this recommendation.

The following points of focus, specifically related to all engagements using the trust services criteria, highlight important characteristics relating to this criterion: • Identifies and Manages the Inventory of Information Assets — The entity identifies, Page 29 TSP Ref. # TRUST SERVICES CRITERIA AND POINTS OF FOCUS inventories, classifies, and manages information assets. • Restricts Logical Access — Logical access to information assets, including hardware, data (at-rest, during processing, or in transmission), software, administrative authorities, mobile devices, output, and offline system components is restricted through the use of access control software and rule sets. • Identifies and Authenticates Users — Persons, infrastructure, and software are identified and authenticated prior to accessing information assets, whether locally or remotely. • Considers Network Segmentation — Network segmentation permits unrelated portions of the entity's information system to be isolated from each other. • Manages Points of Access — Points of access by outside entities and the types of data that flow through the points of access are identified, inventoried, and managed. The types of individuals and systems using each point of access are identified, documented, and managed. • Restricts Access to Information Assets — Combinations of data classification, separate data structures, port restrictions, access protocol restrictions, user identification, and digital certificates are used to establish access-control rules for information assets. • Manages Identification and Authentication — Identification and authentication requirements are established, documented, and managed for individuals and systems accessing entity information, infrastructure, and software. • Manages Credentials for Infrastructure and Software — New internal and external infrastructure and software are registered, authorized, and documented prior to being granted access credentials and implemented on the network or access point. Credentials are removed and access is disabled when access is no longer required or the infrastructure and software are no longer in use. • Uses Encryption to Protect Data — The entity uses encryption to supplement other measures used to protect data at rest, when such protections are deemed appropriate based on assessed risk. • Protects Encryption Keys — Processes are in place to protect encryption keys during generation, storage, use, and destruction

SOC_2023

CC2.3

SOC_2023_CC2.3

SOC 2023 CC2.3

Information and Communication

To facilitate effective internal communication.

Shared

n/a

Entity to communicate with external parties regarding matters affecting the functioning of internal control.

218

SOC_2023

CC5.3

SOC_2023_CC5.3

SOC 2023 CC5.3

Control Activities

To maintain alignment with organizational objectives and regulatory requirements.

Shared

n/a

Entity deploys control activities through policies that establish what is expected and in procedures that put policies into action by establishing Policies and Procedures to Support Deployment of Management’s Directives, Responsibility and Accountability for Executing Policies and Procedures, perform tasks in a timely manner, taking corrective actions, perform using competent personnel and reassess policies and procedures.

229

SOC_2023

CC7.4

SOC_2023_CC7.4

SOC 2023 CC7.4

Systems Operations

To effectively manage security incidents, minimize their impact, and protect assets, operations, and reputation.

Shared

n/a

The entity responds to identified security incidents by: a. Executing a defined incident-response program to understand, contain, remediate, and communicate security incidents by assigning roles and responsibilities; b. Establishing procedures to contain security incidents; c. Mitigating ongoing security incidents, End Threats Posed by Security Incidents; d. Restoring operations; e. Developing and Implementing Communication Protocols for Security Incidents; f. Obtains Understanding of Nature of Incident and Determines Containment Strategy; g. Remediation Identified Vulnerabilities; h. Communicating Remediation Activities; and, i. Evaluating the Effectiveness of Incident Response and periodic incident evaluations.

213

SWIFT_CSCF_2024

2.1

SWIFT_CSCF_2024_2.1

SWIFT Customer Security Controls Framework 2024 2.1

Risk Management

Internal Data Flow Security

Shared

The protection of internal data flows safeguards against unintended disclosure, modification, and access of the data while in transit.

To ensure the confidentiality, integrity, and authenticity of application data flows between ’user’s Swift-related components.

SWIFT_CSCF_2024

6.2

SWIFT_CSCF_2024_6.2

SWIFT Customer Security Controls Framework 2024 6.2

Risk Management

Software Integrity

Shared

Software integrity checks provide a detective control against unexpected modification to operational software.

To ensure the software integrity of the Swift-related components and act upon results.

SWIFT_CSCF_2024

6.3

SWIFT_CSCF_2024_6.3

SWIFT Customer Security Controls Framework 2024 6.3

Risk Management

Database Integrity

Shared

Database integrity checks allow unexpected modification to records stored within the database to be detected.

To ensure the integrity of the database records for the Swift messaging interface or the customer connector and act upon results.

SWIFT_CSCF_v2021

5.4

SWIFT_CSCF_v2021_5.4

SWIFT CSCF v2021 5.4

Manage Identities and Segregate Privileges

Physical and Logical Password Storage

n/a

Protect physically and logically repository of recorded passwords.

SWIFT_CSCF_v2022

5.4

SWIFT_CSCF_v2022_5.4

SWIFT CSCF v2022 5.4

5. Manage Identities and Segregate Privileges

Protect physically and logically the repository of recorded passwords.

Shared

n/a

Recorded passwords are stored in a protected physical or logical location, with access restricted on a need-to-know basis.