Az Policy Advertizer

Canada_Federal_PBMM_3-1-2020_AC_4(21)

AC_4(21)

Canada Federal PBMM 3-1-2020 AC 4(21)

Information Flow Enforcement

Information Flow Enforcement | Physical / Logical Separation of Information Flows

Shared

The information system separates information flows logically or physically using session encryption to accomplish separation of all sessions.

To enhance security measures and safeguard sensitive data from unauthorized access or interception.

Canada_Federal_PBMM_3-1-2020_CA_3

CA_3

Canada Federal PBMM 3-1-2020 CA 3

Information System Connections

System Interconnections

Shared

1. The organization authorizes connection from information system to other information system through the use of Interconnection Security Agreements. 2. The organization documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated. 3. The organization reviews and updates Interconnection Security Agreements annually.

To establish and maintain secure connections between information systems.

Canada_Federal_PBMM_3-1-2020_CA_3(3)

CA_3(3)

Canada Federal PBMM 3-1-2020 CA 3(3)

Information System Connections

System Interconnections | Classified Non-National Security System Connections

Shared

The organization prohibits the direct connection of any internal network or system to an external network without the use of security controls approved by the information owner.

To ensure the integrity and security of internal systems against external threats.

Canada_Federal_PBMM_3-1-2020_CA_3(5)

CA_3(5)

Canada Federal PBMM 3-1-2020 CA 3(5)

Information System Connections

System Interconnections | Restrictions on External Network Connections

Shared

The organization employs allow-all, deny-by-exception; deny-all policy for allowing any systems to connect to external information systems.

To enhance security posture against unauthorized access.

Canada_Federal_PBMM_3-1-2020_CA_7

CA_7

Canada Federal PBMM 3-1-2020 CA 7

Continuous Monitoring

Shared

1. The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes establishment of organization-defined metrics to be monitored. 2. The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes establishment of at least monthly monitoring and assessments of at least operating system scans, database, and web application scan. 3. The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy. 4. The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy. 5. The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring. 6. The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes response actions to address results of the analysis of security-related information. 7. The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes reporting the security status of organization and the information system to organization-defined personnel or roles at organization-defined frequency.

To ensure the ongoing effectiveness of security controls and maintain the security posture in alignment with organizational objectives and requirements.

123

Canada_Federal_PBMM_3-1-2020_SI_3

SI_3

Canada Federal PBMM 3-1-2020 SI 3

Malicious Code Protection

Shared

1. The organization employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code. 2. The organization updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures. 3. The organization configures malicious code protection mechanisms to: a. Perform periodic scans of the information system at least weekly and real-time scans of files from external sources at endpoints and network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy; and b. Block and quarantine malicious code; send alert to the key role as defined in the system and information integrity policy in response to malicious code detection. 4. The organization addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.

To mitigate potential impacts on system availability.

Canada_Federal_PBMM_3-1-2020_SI_3(1)

SI_3(1)

Canada Federal PBMM 3-1-2020 SI 3(1)

Malicious Code Protection

Malicious Code Protection | Central Management

Shared

The organization centrally manages malicious code protection mechanisms.

To centrally manage malicious code protection mechanisms.

Canada_Federal_PBMM_3-1-2020_SI_3(2)

SI_3(2)

Canada Federal PBMM 3-1-2020 SI 3(2)

Malicious Code Protection

Malicious Code Protection | Automatic Updates

Shared

The information system automatically updates malicious code protection mechanisms.

To ensure automatic updates in malicious code protection mechanisms.

Canada_Federal_PBMM_3-1-2020_SI_3(7)

SI_3(7)

Canada Federal PBMM 3-1-2020 SI 3(7)

Malicious Code Protection

Malicious Code Protection | Non Signature-Based Detection

Shared

The information system implements non-signature-based malicious code detection mechanisms.

To enhance overall security posture.

Canada_Federal_PBMM_3-1-2020_SI_4

SI_4

Canada Federal PBMM 3-1-2020 SI 4

Information System Monitoring

Shared

1. The organization monitors the information system to detect: a. Attacks and indicators of potential attacks in accordance with organization-defined monitoring objectives; and b. Unauthorized local, network, and remote connections; 2. The organization identifies unauthorized use of the information system through organization-defined techniques and methods. 3. The organization 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. 4. The organization protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion. 5. The organization 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 Canada based on law enforcement information, intelligence information, or other credible sources of information. 6. The organization obtains legal opinion with regard to information system monitoring activities in accordance with organizational policies, directives and standards. 7. The organization provides organization-defined information system monitoring information to organization-defined personnel or roles at an organization-defined frequency.

To enhance overall security posture.

Canada_Federal_PBMM_3-1-2020_SI_4(1)

SI_4(1)

Canada Federal PBMM 3-1-2020 SI 4(1)

Information System Monitoring

Information System Monitoring | System-Wide Intrusion Detection System

Shared

The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.

To enhance overall security posture.

Canada_Federal_PBMM_3-1-2020_SI_4(2)

SI_4(2)

Canada Federal PBMM 3-1-2020 SI 4(2)

Information System Monitoring

Information System Monitoring | Automated Tools for Real-Time Analysis

Shared

The organization employs automated tools to support near real-time analysis of events.

To enhance overall security posture.

Canada_Federal_PBMM_3-1-2020_SI_8(1)

SI_8(1)

Canada Federal PBMM 3-1-2020 SI 8(1)

Spam Protection

Spam Protection | Central Management of Protection Mechanisms

Shared

The organization centrally manages spam protection mechanisms.

To enhance overall security posture.

10.7

CIS_Controls_v8.1_10.7

CIS Controls v8.1 10.7

Malware Defenses

Use behaviour based anti-malware software

Shared

Use behaviour based anti-malware software

To ensure that a generic anti-malware software is not used.

12.8

CIS_Controls_v8.1_12.8

CIS Controls v8.1 12.8

Network Infrastructure Management

Establish and maintain dedicated computing resources for all administrative work

Shared

1. Establish and maintain dedicated computing resources, either physically or logically separated, for all administrative tasks or tasks requiring administrative access. 2. The computing resources should be segmented from the enterprise’s primary network and not be allowed internet access.

To ensure administrative work is on a different system on which access to data and internet is restricted.

13.1

CIS_Controls_v8.1_13.1

CIS Controls v8.1 13.1

Network Monitoring and Defense

Centralize security event alerting

Shared

1. Centralize security event alerting across enterprise assets for log correlation and analysis. 2. Best practice implementation requires the use of a SIEM, which includes vendor-defined event correlation alerts. 3.A log analytics platform configured with security-relevant correlation alerts also satisfies this safeguard.

To ensure that any security event is immediately alerted enterprise-wide.

100

13.3

CIS_Controls_v8.1_13.3

CIS Controls v8.1 13.3

Network Monitoring and Defense

Deploy a network intrusion detection solution

Shared

1. Deploy a network intrusion detection solution on enterprise assets, where appropriate. 2. Example implementations include the use of a Network Intrusion Detection System (NIDS) or equivalent cloud service provider (CSP) service.

To enhance the organization's cybersecurity.

18.4

CIS_Controls_v8.1_18.4

CIS Controls v8.1 18.4

Penetration Testing

Validate security measures

Shared

Validate security measures after each penetration test. If deemed necessary, modify rulesets and capabilities to detect the techniques used during testing.

To ensure ongoing alignment with evolving threat landscapes and bolstering the overall security posture of the enterprise.

3.3

CIS_Controls_v8.1_3.3

CIS Controls v8.1 3.3

Data Protection

Configure data access control lists

Shared

1. Configure data access control lists based on a user’s need to know. 2. Apply data access control lists, also known as access permissions, to local and remote file systems, databases, and applications.

To ensure that users have access only to the data necessary for their roles.

5.1

CIS_Controls_v8.1_5.1

CIS Controls v8.1 5.1

Account Management

Establish and maintain an inventory of accounts

Shared

1. Establish and maintain an inventory of all accounts managed in the enterprise. 2. The inventory must include both user and administrator accounts. 3. The inventory, at a minimum, should contain the person’s name, username, start/stop dates, and department. 4. Validate that all active accounts are authorized, on a recurring schedule at a minimum quarterly, or more frequently.

To ensure accurate tracking and management of accounts.

5.4

CIS_Controls_v8.1_5.4

CIS Controls v8.1 5.4

Account Management

Restrict administrator privileges to dedicated administrator accounts.

Shared

1. Restrict administrator privileges to dedicated administrator accounts on enterprise assets. 2. Conduct general computing activities, such as internet browsing, email, and productivity suite use, from the user’s primary, non-privileged account.

To restrict access to privileged accounts.

6.8

CIS_Controls_v8.1_6.8

CIS Controls v8.1 6.8

Access Control Management

Define and maintain role-based access control.

Shared

1. Define and maintain role-based access control, through determining and documenting the access rights necessary for each role within the enterprise to successfully carry out its assigned duties. 2. Perform access control reviews of enterprise assets to validate that all privileges are authorized, on a recurring schedule at a minimum annually, or more frequently.

To implement a system of role-based access control.

8.11

CIS_Controls_v8.1_8.11

CIS Controls v8.1 8.11

Audit Log Management

Conduct audit log reviews

Shared

1. Conduct reviews of audit logs to detect anomalies or abnormal events that could indicate a potential threat. 2. Conduct reviews on a weekly, or more frequent, basis.

To ensure the integrity of the data in audit logs.

CMMC_L2_v1.9.0_AC.L1_3.1.1

AC.L1_3.1.1

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 AC.L1 3.1.1

Access Control

Authorized Access Control

Shared

Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems).

To ensure security and integrity.

CMMC_L2_v1.9.0_AC.L1_3.1.20

AC.L1_3.1.20

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 AC.L1 3.1.20

Access Control

External Connections

Shared

Verify and control/limit connections to and use of external information systems.

To enhance security and minimise potential risks associated with external access.

CMMC_L2_v1.9.0_AC.L2_3.1.3

AC.L2_3.1.3

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 AC.L2 3.1.3

Access Control

Control CUI Flow

Shared

Control the flow of CUI in accordance with approved authorizations.

To regulate the flow of Controlled Unclassified Information (CUI) in accordance with approved authorizations

CMMC_L2_v1.9.0_AC.L2_3.1.5

AC.L2_3.1.5

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 AC.L2 3.1.5

Access Control

Least Privilege

Shared

Employ the principle of least privilege, including for specific security functions and privileged accounts.

To restrict information system access.

CMMC_L2_v1.9.0_AC.L2_3.1.6

AC.L2_3.1.6

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 AC.L2 3.1.6

Access Control

Non Privileged Account Use

Shared

Use non privileged accounts or roles when accessing nonsecurity functions.

To restrict information system access.

CMMC_L2_v1.9.0_AC.L2_3.1.7

AC.L2_3.1.7

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 AC.L2 3.1.7

Access Control

Privileged Functions

Shared

Prevent non privileged users from executing privileged functions and capture the execution of such functions in audit logs.

To restrict information system access.

CMMC_L2_v1.9.0_SC.L1_3.13.1

SC.L1_3.13.1

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 SC.L1 3.13.1

System and Communications Protection

Boundary Protection

Shared

Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems.

To protect information assets from external attacks and insider threats.

CMMC_L2_v1.9.0_SC.L1_3.13.5

SC.L1_3.13.5

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 SC.L1 3.13.5

System and Communications Protection

Public Access System Separation

Shared

Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.

To control access, monitor traffic, and mitigate the risk of unauthorized access or exploitation of internal resources.

CMMC_L2_v1.9.0_SC.L2_3.13.7

SC.L2_3.13.7

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 SC.L2 3.13.7

System and Communications Protection

Split Tunneling

Shared

Prevent remote devices from simultaneously establishing non remote connections with organizational systems and communicating via some other connection to resources in external networks (i.e., split tunneling).

To mitigate security risks.

DCS_02

CSA_v4.0.12_DCS_02

CSA Cloud Controls Matrix v4.0.12 DCS 02

Datacenter Security

Off-Site Transfer Authorization Policy and Procedures

Shared

n/a

Establish, document, approve, communicate, apply, evaluate and maintain policies and procedures for the relocation or transfer of hardware, software, or data/information to an offsite or alternate location. The relocation or transfer request requires the written or cryptographically verifiable authorization. Review and update the policies and procedures at least annually.

DSP_05

CSA_v4.0.12_DSP_05

CSA Cloud Controls Matrix v4.0.12 DSP 05

Data Security and Privacy Lifecycle Management

Data Flow Documentation

Shared

n/a

Create data flow documentation to identify what data is processed, stored or transmitted where. Review data flow documentation at defined intervals, at least annually, and after any change.

DSP_10

CSA_v4.0.12_DSP_10

CSA Cloud Controls Matrix v4.0.12 DSP 10

Data Security and Privacy Lifecycle Management

Sensitive Data Transfer

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures that ensure any transfer of personal or sensitive data is protected from unauthorized access and only processed within scope as permitted by the respective laws and regulations.

IAM_02

CSA_v4.0.12_IAM_02

CSA Cloud Controls Matrix v4.0.12 IAM 02

Identity & Access Management

Strong Password Policy and Procedures

Shared

n/a

Establish, document, approve, communicate, implement, apply, evaluate and maintain strong password policies and procedures. Review and update the policies and procedures at least annually.

IAM_04

CSA_v4.0.12_IAM_04

CSA Cloud Controls Matrix v4.0.12 IAM 04

Identity & Access Management

Separation of Duties

Shared

n/a

Employ the separation of duties principle when implementing information system access.

IAM_05

CSA_v4.0.12_IAM_05

CSA Cloud Controls Matrix v4.0.12 IAM 05

Identity & Access Management

Least Privilege

Shared

n/a

Employ the least privilege principle when implementing information system access.

IAM_06

CSA_v4.0.12_IAM_06

CSA Cloud Controls Matrix v4.0.12 IAM 06

Identity & Access Management

User Access Provisioning

Shared

n/a

Define and implement a user access provisioning process which authorizes, records, and communicates access changes to data and assets.

IAM_07

CSA_v4.0.12_IAM_07

CSA Cloud Controls Matrix v4.0.12 IAM 07

Identity & Access Management

User Access Changes and Revocation

Shared

n/a

De-provision or respectively modify access of movers / leavers or system identity changes in a timely manner in order to effectively adopt and communicate identity and access management policies.

IAM_10

CSA_v4.0.12_IAM_10

CSA Cloud Controls Matrix v4.0.12 IAM 10

Identity & Access Management

Management of Privileged Access Roles

Shared

n/a

Define and implement an access process to ensure privileged access roles and rights are granted for a time limited period, and implement procedures to prevent the culmination of segregated privileged access.

IAM_13

CSA_v4.0.12_IAM_13

CSA Cloud Controls Matrix v4.0.12 IAM 13

Identity & Access Management

Uniquely Identifiable Users

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures that ensure users are identifiable through unique IDs or which can associate individuals to the usage of user IDs.

IAM_16

CSA_v4.0.12_IAM_16

CSA Cloud Controls Matrix v4.0.12 IAM 16

Identity & Access Management

Authorization Mechanisms

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures to verify access to data and system functions is authorized.

Cyber_Essentials_v3.1

Cyber_Essentials_v3.1_2

Cyber Essentials v3.1 2

Cyber Essentials

Secure Configuration

Shared

n/a

Aim: ensure that computers and network devices are properly configured to reduce vulnerabilities and provide only the services required to fulfill their role.

Cyber_Essentials_v3.1

Cyber_Essentials_v3.1_4

Cyber Essentials v3.1 4

Cyber Essentials

User Access Control

Shared

n/a

Aim: ensure that user accounts (1) are assigned to authorised individuals only, and (2) provide access to only those applications, computers and networks the user needs to carry out their role.

Cyber_Essentials_v3.1

Cyber_Essentials_v3.1_5

Cyber Essentials v3.1 5

Cyber Essentials

Malware protection

Shared

n/a

Aim: to restrict execution of known malware and untrusted software, from causing damage or accessing data.

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.

192

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

309

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

309

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

309

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

309

FBI_Criminal_Justice_Information_Services_v5.9.5_5.1

FBI Criminal Justice Information Services (CJIS) v5.9.5 5.1

Policy and Implementation - Systems And Communications Protection

Systems And Communications Protection

Shared

In addition, applications, services, or information systems must have the capability to ensure system integrity through the detection and protection against unauthorized changes to software and information.

Examples of systems and communications safeguards range from boundary and transmission protection to securing an agency's virtualized environment.

110

FBI_Criminal_Justice_Information_Services_v5.9.5_5

FBI_Criminal_Justice_Information_Services_v5.9.5_5.5

FBI Criminal Justice Information Services (CJIS) v5.9.5 5.5

Policy and Implementation - Access Control

Access Control

Shared

Refer to Section 5.13.6 for additional access control requirements related to mobile devices used to access CJI.

Access control provides the planning and implementation of mechanisms to restrict reading, writing, processing, and transmission of CJIS information and the modification of information systems, applications, services and communication configurations allowing access to CJIS information.

FFIEC_CAT_2017

3.1.1

FFIEC_CAT_2017_3.1.1

FFIEC CAT 2017 3.1.1

Cybersecurity Controls

Infrastructure Management

Shared

n/a

- Network perimeter defense tools (e.g., border router and firewall) are used. - Systems that are accessed from the Internet or by external parties are protected by firewalls or other similar devices. - All ports are monitored. - Up to date antivirus and anti-malware tools are used. - Systems configurations (for servers, desktops, routers, etc.) follow industry standards and are enforced. - Ports, functions, protocols and services are prohibited if no longer needed for business purposes. - Access to make changes to systems configurations (including virtual machines and hypervisors) is controlled and monitored. - Programs that can override system, object, network, virtual machine, and application controls are restricted. - System sessions are locked after a pre-defined period of inactivity and are terminated after pre-defined conditions are met. - Wireless network environments require security settings with strong encryption for authentication and transmission. (*N/A if there are no wireless networks.)

FFIEC_CAT_2017

3.1.2

FFIEC_CAT_2017_3.1.2

FFIEC CAT 2017 3.1.2

Cybersecurity Controls

Access and Data Management

Shared

n/a

Employee access is granted to systems and confidential data based on job responsibilities and the principles of least privilege.'FFIEC_Cybersecurity Control'!F8 - Employee access to systems and confidential data provides for separation of duties. - Elevated privileges (e.g., administrator privileges) are limited and tightly controlled (e.g., assigned to individuals, not shared, and require stronger 'FFIEC_Cybersecurity Control'!F7password controls). - User access reviews are performed periodically for all systems and applications based on the risk to the application or system. - Changes to physical and logical user access, including those that result from voluntary and involuntary terminations, are submitted to and approved by appropriate personnel. - Identification and authentication are required and managed for access to systems, applications, and hardware. - Access controls include password complexity and limits to password attempts and reuse. - All default passwords and unnecessary default accounts are changed before system implementation. - Customer access to Internet-based products or services requires authentication controls (e.g., layered controls, multifactor) that are commensurate with the risk. - Production and non-production environments are segregated to prevent unauthorized access or changes to information assets. (*N/A if no production environment exists at the institution or the institution’s third party.) - Physical security controls are used to prevent unauthorized access to information systems and telecommunication systems. - All passwords are encrypted in storage and in transit. - Confidential data are encrypted when transmitted across public or untrusted networks (e.g., Internet). - Mobile devices (e.g., laptops, tablets, and removable media) are encrypted if used to store confidential data. (*N/A if mobile devices are not used.) - Remote access to critical systems by employees, contractors, and third parties uses encrypted connections and multifactor authentication. - Administrative, physical, or technical controls are in place to prevent users without administrative responsibilities from installing unauthorized software. - Customer service (e.g., the call center) utilizes formal procedures to authenticate customers commensurate with the risk of the transaction or request. - Data is disposed of or destroyed according to documented requirements and within expected time frames.

FFIEC_CAT_2017

4.1.1

FFIEC_CAT_2017_4.1.1

FFIEC CAT 2017 4.1.1

External Dependency Management

Connections

Shared

n/a

- The critical business processes that are dependent on external connectivity have been identified. - The institution ensures that third-party connections are authorized. - A network diagram is in place and identifies all external connections. - Data flow diagrams are in place and document information flow to external parties.

01.c

HITRUST_CSF_v11.3_01.c

HITRUST CSF v11.3 01.c

Authorized Access to Information Systems

Control privileged access to information systems and services.

Shared

1. Privileged role assignments to be automatically tracked and monitored. 2. Role-based access controls to be implemented and should be capable of mapping each user to one or more roles, and each role to one or more system functions. 3. Critical security functions to be executable only after granting of explicit authorization.

The allocation and use of privileges to information systems and services shall be restricted and controlled. Special attention shall be given to the allocation of privileged access rights, which allow users to override system controls.

01.m

HITRUST_CSF_v11.3_01.m

HITRUST CSF v11.3 01.m

Network Access Control

Ensure segregation in networks.

Shared

Security gateways, internal network perimeters, wireless network segregation, firewalls, and logical network domains with controlled data flows to be implemented to enhance network security.

Groups of information services, users, and information systems should be segregated on networks.

01.n

HITRUST_CSF_v11.3_01.n

HITRUST CSF v11.3 01.n

Network Access Control

Prevent unauthorised access to shared networks.

Shared

Default deny policy at managed interfaces, restricted user connections through network gateways, comprehensive access controls, time-based restrictions, and encryption of sensitive information transmitted over public networks for is to be implemented for enhanced security.

For shared networks, especially those extending across the organization’s boundaries, the capability of users to connect to the network shall be restricted, in line with the access control policy and requirements of the business applications.

01.o

HITRUST_CSF_v11.3_01.o

HITRUST CSF v11.3 01.o

Network Access Control

Implement network routing controls to prevent breach of the access control policy of business applications.

Shared

Security gateways are to be leveraged, application-layer filtering proxy is to be employed, outbound traffic is to be directed through authenticated proxy servers, and internal directory services to fortify network access controls and protect against external threats are to be secured.

Routing controls shall be implemented for networks to ensure that computer connections and information flows do not breach the access control policy of the business applications.

09.ab

HITRUST_CSF_v11.3_09.ab

HITRUST CSF v11.3 09.ab

Monitoring

Establish procedures for monitoring use of information processing systems and facilities to check for use and effectiveness of implemented controls.

Shared

1. It is to be specified how often audit logs are reviewed, how the reviews are documented, and the specific roles and responsibilities of the personnel conducting the reviews, including the professional certifications or other qualifications required. 2. All relevant legal requirements applicable to its monitoring of authorized access and unauthorized access attempts is to be complied with.

Procedures for monitoring use of information processing systems and facilities shall be established to check for use and effectiveness of implemented controls. The results of the monitoring activities shall be reviewed regularly.

112

ISO_IEC_27017_2015_12.4.3

09.w

HITRUST_CSF_v11.3_09.w

HITRUST CSF v11.3 09.w

Exchange of Information

Develop and implement policies and procedures, to protect information associated with the interconnection of business information systems.

Shared

1. A security baseline is to be documented and implemented for interconnected systems. 2. Other requirements and controls linked to interconnected business systems are to include the separation of operational systems from interconnected system, retention and back-up of information held on the system, and fallback requirements and arrangements.

Policies and procedures shall be developed and implemented to protect information associated with the interconnection of business information systems.

ISO_IEC_27002_2022

5.14

ISO_IEC_27002_2022_5.14

ISO IEC 27002 2022 5.14

Protection, Preventive Control

Information transfer

Shared

To maintain the security of information transferred within an organization and with any external interested party.

Information transfer rules, procedures, or agreements should be in place for all types of transfer facilities within the organization and between the organization and other parties.

ISO_IEC_27002_2022

8.2

ISO_IEC_27002_2022_8.2

ISO IEC 27002 2022 8.2

Protection, Preventive, Control

Privileged access rights

Shared

The allocation and use of privileged access rights should be restricted and managed.

To ensure only authorized users, software components and services are provided with privileged access rights.

ISO_IEC_27017_2015

12.4.3

ISO IEC 27017 2015 12.4.3

Operations Security

Administrator and Operation Logs

Shared

For Cloud Service Customer: If a privileged operation is delegated to the cloud service customer, the operation and performance of those operations should be logged. The cloud service customer should determine whether logging capabilities provided by the cloud service provider are appropriate or whether the cloud service customer should implement additional logging capabilities.

To log operation and performance of those operations wherein rivileged operation is delegated to the cloud service customer.

NIST_CSF_v2.0

PR.AA_05

NIST_CSF_v2.0_PR.AA_05

NIST CSF v2.0 PR.AA 05

PROTECT- Identity Management, Authentication, and Access

Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties.

Shared

n/a

To implement safeguards for managing organization’s cybersecurity risks.

NIST_SP_800-171_R3_3.1.18

.1.18

NIST 800-171 R3 3.1.18

Access Control

Access Control for Mobile Devices

Shared

A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable, or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, smart watches, and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of mobile devices may be comparable to or a subset of notebook or desktop systems, depending on the nature and intended purpose of the device. The protection and control of mobile devices is behavior- or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which the organization provides physical or procedural controls to meet the requirements established for protecting CUI. Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions, configuration requirements, and connection requirements for mobile devices include configuration management, device identification and authentication, implementing mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware. Organizations can employ full-device encryption or container-based encryption to protect the confidentiality of CUI on mobile devices. Container-based encryption provides a fine-grained approach to the encryption of data and information, including encrypting selected data structures (e.g., files, records, or fields).

a. Establish usage restrictions, configuration requirements, and connection requirements for mobile devices. b. Authorize the connection of mobile devices to the system. c. Implement full-device or container-based encryption to protect the confidentiality of CUI on mobile devices.

.1.2

NIST_SP_800-171_R3_3.1.2

NIST 800-171 R3 3.1.2

Access Control

Access Enforcement

Shared

Access control policies control access between active entities or subjects (i.e., users or system processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. Types of system access include remote access and access to systems that communicate through external networks, such as the internet. Access enforcement mechanisms can also be employed at the application and service levels to provide increased protection for CUI. This recognizes that the system can host many applications and services in support of mission and business functions.

Enforce approved authorizations for logical access to CUI and system resources.

.1.3

NIST_SP_800-171_R3_3.1.3

NIST 800-171 R3 3.1.3

Access Control

Information Flow Enforcement

Shared

Information flow control regulates where CUI can transit within a system and between systems (versus who can access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include keeping CUI from being transmitted in the clear to the internet, blocking outside traffic that claims to be from within the organization, restricting requests to the internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Organizations commonly use information flow control policies and enforcement mechanisms to control the flow of CUI between designated sources and destinations (e.g., networks, individuals, and devices) within systems and between interconnected systems. Flow control is based on characteristics of the information or the information path. Enforcement occurs in boundary protection devices (e.g., encrypted tunnels, routers, gateways, and firewalls) that use rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering and inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Transferring information between systems that represent different security domains with different security policies introduces the risk that such transfers violate one or more domain security policies. In such situations, information owners or stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes prohibiting information transfers between interconnected systems (i.e., allowing information access only), employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security attributes and security labels.

Enforce approved authorizations for controlling the flow of CUI within the system and between connected systems.

.1.6

NIST_SP_800-171_R3_3.1.6

NIST 800-171 R3 3.1.6

Access Control

Least Privilege – Privileged Accounts

Shared

Privileged accounts are typically described as system administrator accounts. Restricting privileged accounts to specific personnel or roles prevents nonprivileged users from accessing security functions or security-relevant information. Requiring the use of non-privileged accounts when accessing nonsecurity functions or nonsecurity information limits exposure when operating from within privileged accounts. Including roles addresses situations in which organizations implement access control policies, such as role-based access control, and where a change of role provides the same degree of assurance in the change of access authorizations for the user and the processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.

a. Restrict privileged accounts on the system to [Assignment: organization-defined personnel or roles]. b. Require that users (or roles) with privileged accounts use non-privileged accounts when accessing nonsecurity functions or nonsecurity information.

.1.7

NIST_SP_800-171_R3_3.1.7

NIST 800-171 R3 3.1.7

Access Control

Least Privilege – Privileged Functions

Shared

Privileged functions include establishing system accounts, performing system integrity checks, conducting patching operations, or administering cryptographic key management activities. Non-privileged users do not possess the appropriate authorizations to execute privileged functions. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users. This requirement represents a condition to be achieved by the definition of authorized privileges in 03.01.01 and the enforcement of those privileges in 03.01.02. The misuse of privileged functions – whether intentionally or unintentionally by authorized users or by unauthorized external entities that have compromised system accounts – is a serious and ongoing concern that can have significant adverse impacts on organizations. Logging the use of privileged functions is one way to detect such misuse and mitigate the risks from insider threats and advanced persistent threats

a. Prevent non-privileged users from executing privileged functions. b. Log the execution of privileged functions.

NIST_SP_800-171_R3_3.12.5

.12.5

NIST 800-171 R3 3.12.5

Security Assessment Control

Information Exchange

Shared

The types of agreements selected are based on factors such as the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual) and the level of access to the organizational system by users of the other system. Types of agreements can include interconnection security agreements, information exchange security agreements, memoranda of understanding or agreement, service-level agreements, or other types of agreements. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (e.g., service providers, contractors, system developers, and system integrators). Examples of the types of information contained in exchange agreements include the interface characteristics, security requirements, controls, and responsibilities for each system.

a. Approve and manage the exchange of CUI between the system and other systems using [Selection (one or more): interconnection security agreements; information exchange security agreements; memoranda of understanding or agreement; service level agreements; user agreements; nondisclosure agreements]. b. Document, as part of the exchange agreements, interface characteristics, security requirements, and responsibilities for each system. c. Review and update the exchange agreements periodically.

NIST_SP_800-171_R3_3.13.1

.13.1

NIST 800-171 R3 3.13.1

System and Communications Protection Control

Boundary Protection

Shared

Managed interfaces include gateways, routers, firewalls, network-based malicious code analysis, virtualization systems, and encrypted tunnels implemented within a security architecture. Subnetworks that are either physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses.

a. Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system. b. Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks. c. Connect to external systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.

NIST_SP_800-171_R3_3.13.9

.13.9

NIST 800-171 R3 3.13.9

System and Communications Protection Control

Network Disconnect

Shared

This requirement applies to internal and external networks. Terminating network connections associated with communications sessions includes deallocating TCP/IP addresses or port pairs at the operating system level or deallocating networking assignments at the application level if multiple application sessions are using a single network connection. Time periods of inactivity may be established by organizations and include time periods by type of network access or for specific network accesses.

Terminate network connections associated with communications sessions at the end of the sessions or after periods of inactivity.

.5.5

NIST_SP_800-171_R3_3.5.5

404 not found

n/a

NIST_SP_800-53_R5.1.1_AC.3

AC.3

NIST SP 800-53 R5.1.1 AC.3

Access Control

Access Enforcement

Shared

Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of mission and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection (PE) family.

NIST_SP_800-53_R5.1.1_AC.4

AC.4

NIST SP 800-53 R5.1.1 AC.4

Access Control

Information Flow Enforcement

Shared

Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on [Assignment: organization-defined information flow control policies].

Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization, keeping export-controlled information from being transmitted in the clear to the Internet, restricting web requests that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see CA-3). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces the risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only), verifying write permissions before accepting information from another security or privacy domain or connected system, employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, such as high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf products. Information flow enforcement also applies to control plane traffic (e.g., routing and DNS).

NIST_SP_800-53_R5.1.1_AC.6

AC.6

NIST SP 800-53 R5.1.1 AC.6

Access Control

Least Privilege

Shared

Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks.

Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems.

NIST_SP_800-53_R5.1.1_AC.6.6

AC.6.6

NIST SP 800-53 R5.1.1 AC.6.6

Access Control

Least Privilege | Privileged Access by Non-organizational Users

Shared

Prohibit privileged access to the system by non-organizational users.

An organizational user is an employee or an individual considered by the organization to have the equivalent status of an employee. Organizational users include contractors, guest researchers, or individuals detailed from other organizations. A non-organizational user is a user who is not an organizational user. Policies and procedures for granting equivalent status of employees to individuals include a need-to-know, citizenship, and the relationship to the organization.

NIST_SP_800-53_R5.1.1_SC.7

SC.7

NIST SP 800-53 R5.1.1 SC.7

System and Communications Protection

Boundary Protection

Shared

a. Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system; b. Implement subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and c. Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.

Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis, virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions. Boundary protection may be implemented as a common control for all or part of an organizational network such that the boundary to be protected is greater than a system-specific boundary (i.e., an authorization boundary).

NIST_SP_800-53_R5.1.1_SC.7.3

SC.7.3

NIST SP 800-53 R5.1.1 SC.7.3

System and Communications Protection

Boundary Protection | Access Points

Shared

Limit the number of external network connections to the system.

Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection [DHS TIC] initiative is an example of a federal guideline that requires limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system.

14.1.10.C.01.

NZISM_v3.7_14.1.10.C.01.

NZISM v3.7 14.1.10.C.01.

Standard Operating Environments

14.1.10.C.01. - reduce potential vulnerabilities.

Shared

n/a

Agencies MUST reduce potential vulnerabilities in their SOEs by: 1. removing unused accounts; 2. renaming or deleting default accounts; and 3. replacing default passwords before or during the installation process.

14.1.10.C.02.

NZISM_v3.7_14.1.10.C.02.

NZISM v3.7 14.1.10.C.02.

Standard Operating Environments

14.1.10.C.02. - reduce potential vulnerabilities.

Shared

n/a

Agencies SHOULD reduce potential vulnerabilities in their SOEs by: 1. removing unused accounts; 2. renaming or deleting default accounts; and 3. replacing default passwords, before or during the installation process.

14.3.12.C.01.

NZISM_v3.7_14.3.12.C.01.

NZISM v3.7 14.3.12.C.01.

Web Applications

14.3.12.C.01. - strengthening the overall security posture of the agency's network environment.

Shared

n/a

Agencies SHOULD use the Web proxy to filter content that is potentially harmful to system users and their workstations.

16.1.33.C.01.

NZISM_v3.7_16.1.33.C.01.

NZISM v3.7 16.1.33.C.01.

Identification, Authentication and Passwords

16.1.33.C.01. - promote security and accountability within the agency's systems.

Shared

n/a

Agencies MUST NOT use shared credentials to access accounts.

16.1.33.C.02.

NZISM_v3.7_16.1.33.C.02.

NZISM v3.7 16.1.33.C.02.

Identification, Authentication and Passwords

16.1.33.C.02. - promote security and accountability within the agency's systems.

Shared

n/a

Agencies SHOULD NOT use shared credentials to access accounts.

16.1.34.C.01.

NZISM_v3.7_16.1.34.C.01.

NZISM v3.7 16.1.34.C.01.

Identification, Authentication and Passwords

16.1.34.C.01. - promote security and accountability within the agency's systems.

Shared

n/a

If agencies choose to allow shared, non user-specific accounts they MUST ensure that an independent means of determining the identification of the system user is implemented.

16.1.35.C.02.

NZISM_v3.7_16.1.35.C.02.

NZISM v3.7 16.1.35.C.02.

Identification, Authentication and Passwords

16.1.35.C.02. - implement additional authentication factors to enhance security.

Shared

n/a

Agencies SHOULD ensure that they combine the use of multiple methods when identifying and authenticating system users.

16.1.47.C.01.

NZISM_v3.7_16.1.47.C.01.

NZISM v3.7 16.1.47.C.01.

Identification, Authentication and Passwords

16.1.47.C.01. - enhance overall security posture.

Shared

n/a

Agencies SHOULD ensure that repeated account lockouts are investigated before reauthorising access.

17.5.7.C.01.

NZISM_v3.7_17.5.7.C.01.

NZISM v3.7 17.5.7.C.01.

Secure Shell

17.5.7.C.01. - enhance overall cybersecurity posture.

Shared

n/a

Agencies SHOULD use public key-based authentication before using password-based authentication.

17.5.7.C.02.

NZISM_v3.7_17.5.7.C.02.

NZISM v3.7 17.5.7.C.02.

Secure Shell

17.5.7.C.02. - enhance overall cybersecurity posture.

Shared

n/a

Agencies that allow password authentication SHOULD use techniques to block brute force attacks against the password.

20.4.4.C.01.

NZISM_v3.7_20.4.4.C.01.

NZISM v3.7 20.4.4.C.01.

Databases

20.4.4.C.01. - enhance data security and integrity.

Shared

n/a

Agencies MUST protect database files from access that bypasses the database's normal access controls.

20.4.4.C.02.

NZISM_v3.7_20.4.4.C.02.

NZISM v3.7 20.4.4.C.02.

Databases

20.4.4.C.02. - enhance data security and integrity.

Shared

n/a

Agencies SHOULD protect database files from access that bypass normal access controls.

20.4.5.C.01.

NZISM_v3.7_20.4.5.C.01.

NZISM v3.7 20.4.5.C.01.

Databases

20.4.5.C.01. - enhance data security and integrity.

Shared

n/a

Agencies MUST enable logging and auditing of system users' actions.

20.4.5.C.02.

NZISM_v3.7_20.4.5.C.02.

NZISM v3.7 20.4.5.C.02.

Databases

20.4.5.C.02. - bolster data security and compliance measures.

Shared

n/a

Agencies SHOULD ensure that databases provide functionality to allow for auditing of system users' actions.

20.4.6.C.01.

NZISM_v3.7_20.4.6.C.01.

NZISM v3.7 20.4.6.C.01.

Databases

20.4.6.C.01. - mitigate the risk of unauthorized access to sensitive information and ensuring compliance with security clearance requirements.

Shared

n/a

If results from database queries cannot be appropriately filtered, agencies MUST ensure that all query results are appropriately sanitised to meet the minimum security clearances of system users.

20.4.6.C.02.

NZISM_v3.7_20.4.6.C.02.

NZISM v3.7 20.4.6.C.02.

Databases

20.4.6.C.02. - enhance data security.

Shared

n/a

Agencies SHOULD ensure that system users who do not have sufficient security clearances to view database contents cannot see or interrogate associated metadata in a list of results from a search engine query.

1.4.4

PCI_DSS_v4.0.1_1.4.4

PCI DSS v4.0.1 1.4.4

Install and Maintain Network Security Controls

System components that store cardholder data are not directly accessible from untrusted networks

Shared

n/a

Examine the data-flow diagram and network diagram to verify that it is documented that system components storing cardholder data are not directly accessible from the untrusted networks. Examine configurations of NSCs to verify that controls are implemented such that system components storing cardholder data are not directly accessible from untrusted networks

7.2.1

PCI_DSS_v4.0.1_7.2.1

PCI DSS v4.0.1 7.2.1

Restrict Access to System Components and Cardholder Data by Business Need to Know

An access control model is defined and includes granting access as follows: Appropriate access depending on the entity’s business and access needs. Access to system components and data resources that is based on users’ job classification and functions. The least privileges required (for example, user, administrator) to perform a job function

Shared

n/a

Examine documented policies and procedures and interview personnel to verify the access control model is defined in accordance with all elements specified in this requirement. Examine access control model settings and verify that access needs are appropriately defined in accordance with all elements specified in this requirement

7.2.2

PCI_DSS_v4.0.1_7.2.2

PCI DSS v4.0.1 7.2.2

Restrict Access to System Components and Cardholder Data by Business Need to Know

Access is assigned to users, including privileged users, based on: Job classification and function. Least privileges necessary to perform job responsibilities

Shared

n/a

Examine policies and procedures to verify they cover assigning access to users in accordance with all elements specified in this requirement. Examine user access settings, including for privileged users, and interview responsible management personnel to verify that privileges assigned are in accordance with all elements specified in this requirement. Interview personnel responsible for assigning access to verify that privileged user access is assigned in accordance with all elements specified in this requirement

7.2.3

PCI_DSS_v4.0.1_7.2.3

PCI DSS v4.0.1 7.2.3

Restrict Access to System Components and Cardholder Data by Business Need to Know

Required privileges are approved by authorized personnel

Shared

n/a

Examine policies and procedures to verify they define processes for approval of all privileges by authorized personnel. Examine user IDs and assigned privileges, and compare with documented approvals to verify that: Documented approval exists for the assigned privileges. The approval was by authorized personnel. Specified privileges match the roles assigned to the individual

7.2.4

PCI_DSS_v4.0.1_7.2.4

PCI DSS v4.0.1 7.2.4

Restrict Access to System Components and Cardholder Data by Business Need to Know

All user accounts and related access privileges, including third-party/vendor accounts, are reviewed as follows: At least once every six months. To ensure user accounts and access remain appropriate based on job function. Any inappropriate access is addressed. Management acknowledges that access remains appropriate

Shared

n/a

Examine policies and procedures to verify they define processes to review all user accounts and related access privileges, including third-party/vendor accounts, in accordance with all elements specified in this requirement. Interview responsible personnel and examine documented results of periodic reviews of user accounts to verify that all the results are in accordance with all elements specified in this requirement

7.2.5

PCI_DSS_v4.0.1_7.2.5

PCI DSS v4.0.1 7.2.5

Restrict Access to System Components and Cardholder Data by Business Need to Know

All application and system accounts and related access privileges are assigned and managed as follows: Based on the least privileges necessary for the operability of the system or application. Access is limited to the systems, applications, or processes that specifically require their use

Shared

n/a

Examine policies and procedures to verify they define processes to manage and assign application and system accounts and related access privileges in accordance with all elements specified in this requirement. Examine privileges associated with system and application accounts and interview responsible personnel to verify that application and system accounts and related access privileges are assigned and managed in accordance with all elements specified in this requirement

7.2.5.1

PCI_DSS_v4.0.1_7.2.5.1

PCI DSS v4.0.1 7.2.5.1

Restrict Access to System Components and Cardholder Data by Business Need to Know

All access by application and system accounts and related access privileges are reviewed as follows: Periodically (at the frequency defined in the entity’s targeted risk analysis, which is performed according to all elements specified in Requirement 12.3.1). The application/system access remains appropriate for the function being performed. Any inappropriate access is addressed. Management acknowledges that access remains appropriate

Shared

n/a

Examine policies and procedures to verify they define processes to review all application and system accounts and related access privileges in accordance with all elements specified in this requirement. Examine the entity’s targeted risk analysis for the frequency of periodic reviews of application and system accounts and related access privileges to verify the risk analysis was performed in accordance with all elements specified in Requirement 12.3.1. Interview responsible personnel and examine documented results of periodic reviews of system and application accounts and related privileges to verify that the reviews occur in accordance with all elements specified in this requirement

7.2.6

PCI_DSS_v4.0.1_7.2.6

PCI DSS v4.0.1 7.2.6

Restrict Access to System Components and Cardholder Data by Business Need to Know

All user access to query repositories of stored cardholder data is restricted as follows: Via applications or other programmatic methods, with access and allowed actions based on user roles and least privileges. Only the responsible administrator(s) can directly access or query repositories of stored CHD

Shared

n/a

Examine policies and procedures and interview personnel to verify processes are defined for granting user access to query repositories of stored cardholder data, in accordance with all elements specified in this requirement. Examine configuration settings for querying repositories of stored cardholder data to verify they are in accordance with all elements specified in this requirement

Sarbanes_Oxley_Act_(1)_2022_1

7.3.1

PCI_DSS_v4.0.1_7.3.1

PCI DSS v4.0.1 7.3.1

Restrict Access to System Components and Cardholder Data by Business Need to Know

An access control system(s) is in place that restricts access based on a user’s need to know and covers all system components

Shared

n/a

Examine vendor documentation and system settings to verify that access is managed for each system component via an access control system(s) that restricts access based on a user’s need to know and covers all system components

RMiT_v1.0

10.54

RMiT_v1.0_10.54

RMiT 10.54

Access Control

Access Control - 10.54

Shared

n/a

A financial institution must implement an appropriate access controls policy for the identification, authentication and authorisation of users (internal and external users such as third party service providers). This must address both logical and physical technology access controls which are commensurate with the level of risk of unauthorised access to its technology systems.

link

Sarbanes Oxley Act 2022 1

PUBLIC LAW

Sarbanes Oxley Act 2022 (SOX)

Shared

n/a

A1.1

SOC_2023_A1.1

SOC 2023 A1.1

Additional Criteria for Availability

Effectively manage capacity demand and facilitate the implementation of additional capacity as needed.

Shared

n/a

The entity maintains, monitors, and evaluates current processing capacity and use of system components (infrastructure, data, and software) to manage capacity demand and to enable the implementation of additional capacity to help meet its objectives.

110

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.

217

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.

228

CC6.1

SOC_2023_CC6.1

SOC 2023 CC6.1

Logical and Physical Access Controls

Mitigate security events and ensuring the confidentiality, integrity, and availability of critical information assets.

Shared

n/a

Entity implements logical access security software, infrastructure, and architectures over protected information assets to protect them from security events to meet the entity's objectives by identifying and managing the inventory of information assets, restricting logical access, identification and authentication of users, consider network segmentation, manage points of access, restricting access of information assets, managing identification and authentication, managing credentials for infrastructure and software, using encryption to protect data and protect using encryption keys.

128

CC6.2

SOC_2023_CC6.2

SOC 2023 CC6.2

Logical and Physical Access Controls

Ensure effective access control and ensuring the security of the organization's systems and data.

Shared

n/a

1. Prior to issuing system credentials and granting system access, the entity registers and authorizes new internal and external users whose access is administered by the entity. 2. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized.

CC6.3

SOC_2023_CC6.3

404 not found

n/a

CC6.7

SOC_2023_CC6.7

404 not found

n/a

CC7.2

SOC_2023_CC7.2

SOC 2023 CC7.2

Systems Operations

Maintain robust security measures and ensure operational resilience.

Shared

n/a

The entity monitors system components and the operation of those components for anomalies that are indicative of malicious acts, natural disasters, and errors affecting the entity's ability to meet its objectives; anomalies are analysed to determine whether they represent security events.

166

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.

212

CC8.1

SOC_2023_CC8.1

SOC 2023 CC8.1

Change Management

Minimise risks, ensure quality, optimise efficiency, and enhance resilience in the face of change.

Shared

n/a

The entity authorizes, designs, develops or acquires, configures, documents, tests, approves, and implements changes to infrastructure, data, software, and procedures to meet its objectives by Managing Changes Throughout the System Life Cycle, authorizing changes, designing and developing changes, documenting all changes, tracking system changes, configuring software's, testing system changes, approving system changes, deploying system changes, identifying and evaluating system changes, creating baseline configurations for IT technologies and providing necessary changes in emergency situations.

146

PI1.3

SOC_2023_PI1.3

SOC 2023 PI1.3

Additional Criteria for Processing Integrity (Over the provision of services or the production, manufacturing, or distribution of goods)

Enhance efficiency, accuracy, and compliance with organizational standards and regulatory requirements with regards to system processing to result in products, services, and reporting to meet the entity’s objectives.

Shared

n/a

The entity implements policies and procedures over system processing to result in products, services, and reporting to meet the entity’s objectives.

1.1

SWIFT_CSCF_2024_1.1

SWIFT Customer Security Controls Framework 2024 1.1

Physical and Environmental Security

Swift Environment Protection

Shared

1. Segmentation between the user's Swift infrastructure and the larger enterprise network reduces the attack surface and has shown to be an effective way to defend against cyber-attacks that commonly involve a compromise of the general enterprise IT environment. 2. Effective segmentation includes network-level separation, access restrictions, and connectivity restrictions.

To ensure the protection of the user’s Swift infrastructure from potentially compromised elements of the general IT environment and external environment.

1.2

SWIFT_CSCF_2024_1.2

SWIFT Customer Security Controls Framework 2024 1.2

Privileged Account Control

Operating System Privileged Account Control

Shared

Tightly protecting administrator-level accounts within the operating system reduces the opportunity for an attacker to use the privileges of the account as part of an attack (for example, executing commands or deleting evidence).

To restrict and control the allocation and usage of administrator-level operating system accounts.

1.5

SWIFT_CSCF_2024_1.5

SWIFT Customer Security Controls Framework 2024 1.5

Physical and Environmental Security

Customer Environment Protection

Shared

1. Segmentation between the customer’s connectivity infrastructure and its larger enterprise network reduces the attack surface and has shown to be an effective way to defend against cyber-attacks that commonly involve compromise of the general enterprise IT environment. 2. Effective segmentation will include network-level separation, access restrictions, and connectivity restrictions.

To ensure the protection of the customer’s connectivity infrastructure from external environment and potentially compromised elements of the general IT environment.