Az Policy Advertizer

Azure_Security_Benchmark_v1.0

9.2

Azure_Security_Benchmark_v1.0_9.2

Azure Security Benchmark 9.2

Data Recovery

Perform complete system backups and backup any customer managed keys

Customer

Enable Azure Backup and target VM(s), as well as the desired frequency and retention periods. Backup customer managed keys within Azure Key Vault. How to enable Azure Backup: https://docs.microsoft.com/azure/backup/ How to backup key vault keys in Azure: https://docs.microsoft.com/powershell/module/azurerm.keyvault/backup-azurekeyvaultkey?view=azurermps-6.13.0

n/a

Azure_Security_Benchmark_v2.0

BR-1

Azure_Security_Benchmark_v2.0_BR-1

Azure Security Benchmark BR-1

Backup and Recovery

Ensure regular automated backups

Customer

Ensure you are backing up systems and data to maintain business continuity after an unexpected event. This should be defined by any objectives for Recovery Point Objective (RPO) and Recovery Time Objective (RTO). Enable Azure Backup and configure the backup source (e.g. Azure VMs, SQL Server, HANA databases, or File Shares), as well as the desired frequency and retention period. For a higher level of protection, you can enable geo-redundant storage option to replicate backup data to a secondary region and recover using cross region restore. Enterprise-scale business continuity and disaster recovery: https://docs.microsoft.com/azure/cloud-adoption-framework/ready/enterprise-scale/business-continuity-and-disaster-recovery How to enable Azure Backup: https://docs.microsoft.com/azure/backup/ How to enable cross region restore: https://docs.microsoft.com/azure/backup/backup-azure-arm-restore-vms#cross-region-restore

n/a

Azure_Security_Benchmark_v2.0

BR-2

Azure_Security_Benchmark_v2.0_BR-2

Azure Security Benchmark BR-2

Backup and Recovery

Encrypt backup data

Customer

Ensure your backups are protected against attacks. This should include encryption of the backups to protect against loss of confidentiality. For on-premises backups using Azure Backup, encryption-at-rest is provided using the passphrase you provide. For regular Azure service backups, backup data is automatically encrypted using Azure platform-managed keys. You can choose to encrypt the backups using customer managed key. In this case, ensure this customer-managed key in the key vault is also in the backup scope. Use role-based access control in Azure Backup, Azure Key Vault, or other resources to protect backups and customer managed keys. Additionally, you can enable advanced security features to require MFA before backups can be altered or deleted. Overview of security features in Azure Backup: https://docs.microsoft.com/azure/backup/security-overview Encryption of backup data using customer-managed keys: https://docs.microsoft.com/azure/backup/encryption-at-rest-with-cmk How to backup Key Vault keys in Azure: https://docs.microsoft.com/powershell/module/azurerm.keyvault/backup-azurekeyvaultkey?view=azurermps-6.13.0 Security features to help protect hybrid backups from attacks: https://docs.microsoft.com/azure/backup/backup-azure-security-feature#prevent-attacks

n/a

Azure_Security_Benchmark_v3.0

BR-1

Azure_Security_Benchmark_v3.0_BR-1

Microsoft cloud security benchmark BR-1

Backup and Recovery

Ensure regular automated backups

Shared

**Security Principle:** Ensure backup of business-critical resources, either during resource creation or enforced through policy for existing resources. **Azure Guidance:** For Azure Backup supported resources, enable Azure Backup and configure the backup source (such as Azure VMs, SQL Server, HANA databases, or File Shares) on the desired frequency and retention period. For Azure VM, you can use Azure Policy to have backup automatically enabled using Azure Policy. For resources not supported by Azure Backup, enable the backup as part of its resource creation. Where applicable, use built-in policies (Azure Policy) to ensure that your Azure resources are configured for backup. **Implementation and additional context:** How to enable Azure Backup: https://docs.microsoft.com/azure/backup/ Auto-Enable Backup on VM Creation using Azure Policy: https://docs.microsoft.com/azure/backup/backup-azure-auto-enable-backup

n/a

Azure_Security_Benchmark_v3.0

BR-2

Azure_Security_Benchmark_v3.0_BR-2

Microsoft cloud security benchmark BR-2

Backup and Recovery

Protect backup and recovery data

Shared

**Security Principle:** Ensure backup data and operations are protected from data exfiltration, data compromise, ransomware/malware and malicious insiders. The security controls that should be applied include user and network access control, data encryption at-rest and in-transit. **Azure Guidance:** Use Azure RBAC and multi-factor-authentication to secure the critical Azure Backup operations (such as delete, change retention, updates to backup config). For Azure Backup supported resources, use Azure RBAC to segregate duties and enable fine grained access, and create private endpoints within your Azure Virtual Network to securely backup and restore data from your Recovery Services vaults. For Azure Backup supported resources, backup data is automatically encrypted using Azure platform-managed keys with 256-bit AES encryption. You can also choose to encrypt the backups using customer managed key. In this case, ensure this customer-managed key in the Azure Key Vault is also in the backup scope. If you use customer-managed key options, use soft delete and purge protection in Azure Key Vault to protect keys from accidental or malicious deletion. For on-premises backups using Azure Backup, encryption-at-rest is provided using the passphrase you provide. Safeguard backup data from accidental or malicious deletion (such as ransomware attacks/attempts to encrypt or tamper backup data. For Azure Backup supported resources, enable soft delete to ensure recovery of items with no data loss for up to 14 days after an unauthorized deletion, and enable multifactor authentication using a PIN generated in the Azure portal. Also enable cross-region restore to ensure backup data is restorable when there is a disaster in primary region. Note: If you use resource's native backup feature or backup services other than Azure Backup, refer to the Azure Security Benchmark (and service baselines) to implement the above controls. **Implementation and additional context:** Overview of security features in Azure Backup: https://docs.microsoft.com/azure/backup/security-overview Encryption of backup data using customer-managed keys: https://docs.microsoft.com/azure/backup/encryption-at-rest-with-cmk Security features to help protect hybrid backups from attacks: https://docs.microsoft.com/azure/backup/backup-azure-security-feature#prevent-attacks Azure Backup - set cross region restore https://docs.microsoft.com/azure/backup/backup-create-rs-vault#set-cross-region-restore

n/a

CMMC_L2_v1.9.0_MP.L2_3.8.9

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.L2_3.8.9

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 MP.L2 3.8.9

Media Protection

Protect Backups

Shared

Protect the confidentiality of backup CUI at storage locations.

To safeguard backup data from unauthorized access or disclosure.

CMMC_L3

RE.2.137

CMMC_L3_RE.2.137

CMMC L3 RE.2.137

Recovery

Regularly perform and test data back-ups.

Customer

The customer is responsible for implementing this requirement.

Backups are used to recover data in the event of a hardware or software failure. Backups should be performed and tested regularly based on an organizational defined frequency.

CMMC_L3

RE.3.139

CMMC_L3_RE.3.139

CMMC L3 RE.3.139

Recovery

Regularly perform complete, comprehensive and resilient data backups as organizationally-defined.

Customer

The customer is responsible for implementing this requirement.

The processes and tools used to properly back up critical information with a proven methodology for timely recovery of it. When attackers compromise machines, they often make significant changes to configurations and software. Sometimes attackers also make subtle alterations of data stored on compromised machines, potentially jeopardizing organizational effectiveness with polluted data. When the attackers are discovered, it can be extremely difficult for organizations without a trustworthy data recovery capability to remove all aspects of the attacker’s presence on the machine. This practice is based on the following CIS controls: 10.1 Ensure that all system data is automatically backed up on a regular basis. 10.2 Ensure that all of the organization’s key systems are backed up as a complete system, through processes such as imaging, to enable the quick recovery of an entire system. 10.5 Ensure that all backups have at least one offline (i.e., not accessible via a network connection) backup destination.

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

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.

189

EU_2555_(NIS2)_2022

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

306

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

306

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

306

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

306

FedRAMP_High_R4

CP-6

FedRAMP_High_R4_CP-6

FedRAMP High CP-6

Contingency Planning

Alternate Storage Site

Shared

n/a

The organization: a. Establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and b. Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site. Supplemental Guidance: Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems. Related controls: CP-2, CP-7, CP-9, CP-10, MP-4. References: NIST Special Publication 800-34.

FedRAMP_High_R4

CP-6(1)

FedRAMP_High_R4_CP-6(1)

FedRAMP High CP-6 (1)

Contingency Planning

Separation From Primary Site

Shared

n/a

The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats. Supplemental Guidance: Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant. Related control: RA-3.

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-6

FedRAMP_Moderate_R4_CP-6

FedRAMP Moderate CP-6

Contingency Planning

Alternate Storage Site

Shared

n/a

FedRAMP_Moderate_R4_CP-6(1)

FedRAMP_Moderate_R4

CP-6(1)

FedRAMP Moderate CP-6 (1)

Contingency Planning

Separation From Primary Site

Shared

n/a

FedRAMP_Moderate_R4

CP-9

FedRAMP_Moderate_R4_CP-9

FedRAMP Moderate CP-9

Contingency Planning

Information System Backup

Shared

n/a

hipaa-1619.09l1Organizational.7-09.l

FFIEC_CAT_2017

5.1.1

FFIEC_CAT_2017_5.1.1

FFIEC CAT 2017 5.1.1

Cyber Incident Management and Resilience

Planning

Shared

n/a

- The institution has documented how it will react and respond to cyber incidents. - Communication channels exist to provide employees a means for reporting information security events in a timely manner. - Roles and responsibilities for incident response team members are defined. - The response team includes individuals with a wide range of backgrounds and expertise, from many different areas within the institution (e.g., management, legal, public relations, as well as information technology). - A formal backup and recovery plan exists for all critical business lines. - The institution plans to use business continuity, disaster recovery, and data backup programs to recover operations following an incident.

hipaa

1619.09l1Organizational.7-09.l

1619.09l1Organizational.7-09.l

16 Business Continuity & Disaster Recovery

1619.09l1Organizational.7-09.l 09.05 Information Back-Up

Shared

n/a

Inventory records for the backup copies, including content and current location, are maintained.

hipaa

1624.09l3Organizational.12-09.l

hipaa-1624.09l3Organizational.12-09.l

1624.09l3Organizational.12-09.l

16 Business Continuity & Disaster Recovery

1624.09l3Organizational.12-09.l 09.05 Information Back-Up

Shared

n/a

The organization performs incremental or differential backups daily and full backups weekly to separate media.

hipaa

1627.09l3Organizational.6-09.l

hipaa-1627.09l3Organizational.6-09.l

1627.09l3Organizational.6-09.l

16 Business Continuity & Disaster Recovery

1627.09l3Organizational.6-09.l 09.05 Information Back-Up

Shared

n/a

The organization tests backup information following each backup to verify media reliability and information integrity, and at least annually thereafter.

HITRUST_CSF_v11.3

06.c

HITRUST_CSF_v11.3_06.c

HITRUST CSF v11.3 06.c

Compliance with Legal Requirements

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

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.

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

.8.9

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-6

NIST_SP_800-53_R4_CP-6

NIST SP 800-53 Rev. 4 CP-6

Contingency Planning

Alternate Storage Site

Shared

n/a

NIST_SP_800-53_R4_CP-6(1)

NIST_SP_800-53_R4

CP-6(1)

NIST SP 800-53 Rev. 4 CP-6 (1)

Contingency Planning

Separation From Primary Site

Shared

n/a

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

SC.36.2

NIST_SP_800-53_R5.1.1_SC.36.2

NIST SP 800-53 R5.1.1 SC.36.2

System and Communications Protection

Distributed Processing and Storage | Synchronization

Shared

Synchronize the following duplicate systems or system components: [Assignment: organization-defined duplicate systems or system components].

SC-36 and CP-9(6) require the duplication of systems or system components in distributed locations. The synchronization of duplicated and redundant services and data helps to ensure that information contained in the distributed locations can be used in the mission or business functions of organizations, as needed.

NIST_SP_800-53_R5

CP-6

NIST_SP_800-53_R5_CP-6

NIST SP 800-53 Rev. 5 CP-6

Contingency Planning

Alternate Storage Site

Shared

n/a

a. Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and b. Ensure that the alternate storage site provides controls equivalent to that of the primary site.

NIST_SP_800-53_R5_CP-6(1)

NIST_SP_800-53_R5

CP-6(1)

NIST SP 800-53 Rev. 5 CP-6 (1)

Contingency Planning

Separation from Primary Site

Shared

n/a

Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats.

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

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. - 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. - 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. - 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. - 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. - enhance incident management and oversight.

Shared

n/a

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

op.cont.3 Periodic tests

404 not found

n/a

op.cont.4 Alternative means

404 not found

n/a

op.exp.3 Security configuration management

404 not found

n/a

123

RBI_CSF_Banks_v2016

13.3

RBI_CSF_Banks_v2016_13.3

Advanced Real-Timethreat Defenceand Management

Advanced Real-Timethreat Defenceand Management-13.3

n/a

Consider implementing whitelisting of internet websites/systems.

RBI_CSF_Banks_v2016

19.5

RBI_CSF_Banks_v2016_19.5

Incident Response & Management

Recovery From Cyber - Incidents-19.5

n/a

Banks shall ensure such capabilities in all interconnected systems and networks including those of vendors and partners and readiness demonstrated through collaborative & co-ordinated resilience testing that meet the bank???s recovery time objectives.

5.2

RBI_ITF_NBFC_v2017_5.2

RBI IT Framework 5.2

IS Audit

Coverage-5.2

n/a

IS Audit should cover effectiveness of policy and oversight of IT systems, evaluating adequacy of processes and internal controls, recommend corrective action to address deficiencies and follow-up. IS Audit should also evaluate the effectiveness of business continuity planning, disaster recovery set up and ensure that BCP is effectively implemented in the organization. During the process of IS Audit, due importance shall be given to compliance of all the applicable legal and statutory requirements.

RBI_ITF_NBFC_v2017_6

RBI IT Framework 6

Business Continuity Planning

Business Continuity Planning (BCP) and Disaster Recovery-6

n/a

BCP forms a significant part of an organisation's overall Business Continuity Management plan, which includes policies, standards and procedures to ensure continuity, resumption and recovery of critical business processes. BCP shall be designed to minimise the operational, financial, legal, reputational and other material consequences arising from a disaster. NBFC should adopt a Board approved BCP Policy. The functioning of BCP shall be monitored by the Board by way of periodic reports. The CIO shall be responsible for formulation, review and monitoring of BCP to ensure continued effectiveness. The BCP may have the following salient features

6.2

RBI_ITF_NBFC_v2017_6.2

RBI IT Framework 6.2

Business Continuity Planning

Recovery strategy / Contingency Plan-6.2

n/a

NBFCs shall try to fully understand the vulnerabilities associated with interrelationships between various systems, departments and business processes. The BCP should come up with the probabilities of various failure scenarios. Evaluation of various options should be done for recovery and the most cost-effective, practical strategy should be selected to minimize losses in case of a disaster.

6.3

RBI_ITF_NBFC_v2017_6.3

RBI IT Framework 6.3

Business Continuity Planning

Recovery strategy / Contingency Plan-6.3

n/a

NBFCs shall consider the need to put in place necessary backup sites for their critical business systems and Data centers.

RMiT_v1.0

10.51

RMiT_v1.0_10.51

RMiT 10.51

Cloud Services

Cloud Services - 10.51

Shared

n/a

A financial institution is required to consult the Bank prior to the use of public cloud for critical systems. The financial institution is expected to demonstrate that specific risks associated with the use of cloud services for critical systems have been adequately considered and addressed. The risk assessment shall address the risks outlined in paragraph 10.49 as well as the following areas: (a) the adequacy of the overarching cloud adoption strategy of the financial institution including: (i) board oversight over cloud strategy and cloud operational management; (ii) senior management roles and responsibilities on cloud management; (iii) conduct of day-to-day operational management functions; (iv) management and oversight by the financial institution of cloud service providers; (v) quality of risk management and internal control functions; and (vi) strength of in-house competency and experience; (b) the availability of independent, internationally recognised certifications of the cloud service providers, at a minimum, in the following areas: (i) information security management framework, including cryptographic modules such as used for encryption and decryption of user data; and (ii) cloud-specific security controls for protection of customer and counterparty or proprietary information including payment transaction data in use, in storage and in transit; and (c) the degree to which the selected cloud configuration adequately addresses the following attributes: (i) geographical redundancy; (ii) high availability; (iii) scalability; (iv) portability; (v) interoperability; and (vi) strong recovery and resumption capability including appropriate alternate Internet path to protect against potential Internet faults.

Sarbanes_Oxley_Act_(1)_2022_1

Sarbanes Oxley Act 2022 1

PUBLIC LAW

Sarbanes Oxley Act 2022 (SOX)

Shared

n/a

SOC_2

A1.2

SOC_2_A1.2

SOC 2 Type 2 A1.2

Additional Criteria For Availability

Environmental protections, software, data back-up processes, and recovery infrastructure

Shared

The customer is responsible for implementing this recommendation.

Identifies Environmental Threats — As part of the risk assessment process, management identifies environmental threats that could impair the availability of the system, including threats resulting from adverse weather, failure of environmental control systems, electrical discharge, fire, and water. • Designs Detection Measures — Detection measures are implemented to identify anomalies that could result from environmental threat events. • Implements and Maintains Environmental Protection Mechanisms — Management implements and maintains environmental protection mechanisms to prevent and mitigate environmental events. • Implements Alerts to Analyze Anomalies — Management implements alerts that are communicated to personnel for analysis to identify environmental threat events. • Responds to Environmental Threat Events — Procedures are in place for responding to environmental threat events and for evaluating the effectiveness of those policies and procedures on a periodic basis. This includes automatic mitigation systems (for example, uninterruptable power system and generator backup subsystem). • Communicates and Reviews Detected Environmental Threat Events — Detected environmental threat events are communicated to and reviewed by the individuals responsible for the management of the system and actions are taken, if necessary. • Determines Data Requiring Backup — Data is evaluated to determine whether backup is required. • Performs Data Backup — Procedures are in place for backing up data, monitoring to detect backup failures, and initiating corrective action when such failures occur. • Addresses Offsite Storage — Backup data is stored in a location at a distance from its principal storage location sufficient that the likelihood of a security or environmental threat event affecting both sets of data is reduced to an appropriate level. • Implements Alternate Processing Infrastructure — Measures are implemented for migrating processing to alternate infrastructure in the event normal processing infrastructure becomes unavailable.

SOC_2

PI1.5

SOC_2_PI1.5

SOC 2 Type 2 PI1.5

Additional Criteria For Processing Integrity

Store inputs and outputs completely, accurately, and timely

Shared

The customer is responsible for implementing this recommendation.

• Protects Stored Items — Stored items are protected to prevent theft, corruption, destruction, or deterioration that would prevent output from meeting specifications. • Archives and Protects System Records — System records are archived and archives are protected against theft, corruption, destruction, or deterioration that would prevent them from being used. • Stores Data Completely and Accurately — Procedures are in place to provide for the complete, accurate, and timely storage of data. • Creates and Maintains Records of System Storage Activities — Records of system storage activities are created and maintained completely and accurately in a timely manner

SOC_2023

CC2.3

SOC_2023_CC2.3

SOC 2023 CC2.3

Information and Communication

Facilitate effective internal communication.

Shared

n/a

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

214

SOC_2023

CC5.3

SOC_2023_CC5.3

SOC 2023 CC5.3

Control Activities

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.

225

SOC_2023

CC7.4

SOC_2023_CC7.4

SOC 2023 CC7.4

Systems Operations

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.

209

SWIFT_CSCF_v2021

6.3

SWIFT_CSCF_v2021_6.3

SWIFT CSCF v2021 6.3

Detect Anomalous Activity to Systems or Transaction Records

Database Integrity

n/a

Ensure the integrity of the database records for the SWIFT messaging interface and act upon results