Az Policy Advertizer

Canada_Federal_PBMM_3-1-2020_AC_2(10)

AC_2(10)

Canada Federal PBMM 3-1-2020 AC 2(10)

Account Management

Account Management | Shared / Group Account Credential Termination

Shared

The information system terminates shared/group account credentials when members leave the group.

To uphold security measures within the information system.

Canada_Federal_PBMM_3-1-2020_AC_2(2)

AC_2(2)

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

Account Management

Account Management | Removal of Temporary / Emergency Accounts

Shared

The information system automatically disables temporary and emergency accounts after no more than 30 days for both temporary and emergency accounts.

To ensure timely security measures for both types of accounts.

Canada_Federal_PBMM_3-1-2020_AC_2(3)

AC_2(3)

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

Account Management

Account Management | Disable Inactive Accounts

Shared

The information system automatically disables inactive accounts after 90 days.

To bolster security measures and ensure efficient account management.

Canada_Federal_PBMM_3-1-2020_AC_5

AC_5

Canada Federal PBMM 3-1-2020 AC 5

Separation of Duties

Shared

The organization: 1. Separate organization-defined duties of individuals including at least separation of operational, development, security monitoring, and management functions; 2. Documents separation of duties of individuals; and 3. Defines information system access authorizations to support separation of duties.

To facilitate proper separation of duties within the organization.

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.

120

Canada_Federal_PBMM_3-1-2020_IA_5(3)

IA_5(3)

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

Authenticator Management

Authenticator Management | In-Person or Trusted Third-Party Registration

Shared

The organization requires that the registration process to receive be conducted in person before an organization-defined registration authority with authorization by organization-defined personnel or roles.

To enhance security and accountability within the organization's registration procedures.

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.

12.5

CIS_Controls_v8.1_12.5

CIS Controls v8.1 12.5

Network Infrastructure Management

Centralize network authentication, authorization and auditing (AAA)

Shared

Centralize network AAA.

To ensure that all network AAA is centralized to maintain standardisation and integrity of AAA.

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.

13.11

CIS_Controls_v8.1_13.11

CIS Controls v8.1 13.11

Network Monitoring and Defense

Tune security event alerting thresholds

Shared

Tune security event alerting thresholds monthly, or more frequently.

To regularly adjust and optimize security event alerting thresholds, aiming to enhance effectiveness.

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.

3.14

CIS_Controls_v8.1_3.14

CIS Controls v8.1 3.14

Data Protection

Log sensitive data access

Shared

Log sensitive data access, including modification and disposal.

To enhance accountability, traceability, and security measures within the enterprise.

4.7

CIS_Controls_v8.1_4.7

CIS Controls v8.1 4.7

Secure Configuration of Enterprise Assets and Software

Manage default accounts on enterprise assets and software

Shared

1. Manage default accounts on enterprise assets and software, such as root, administrator, and other pre-configured vendor accounts. 2. Example implementations can include: disabling default accounts or making them unusable.

To ensure access to default accounts is restricted.

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.

5.3

CIS_Controls_v8.1_5.3

CIS Controls v8.1 5.3

Account Management

Disable dormant accounts

Shared

Delete or disable any dormant accounts after a period of 45 days of inactivity, where supported.

To implement time based expiry of access to systems.

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.

5.5

CIS_Controls_v8.1_5.5

CIS Controls v8.1 5.5

Account Management

Establish and maintain an inventory of service accounts.

Shared

1. Establish and maintain an inventory of service accounts. 2. The inventory, at a minimum, must contain department owner, review date, and purpose. 3. Perform service account reviews to 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 service accounts.

5.6

CIS_Controls_v8.1_5.6

CIS Controls v8.1 5.6

Account Management

Centralize account management

Shared

Centralize account management through a directory or identity service.

To optimize and simply the process of account management.

6.1

CIS_Controls_v8.1_6.1

CIS Controls v8.1 6.1

Access Control Management

Establish an access granting process

Shared

Establish and follow a process, preferably automated, for granting access to enterprise assets upon new hire, rights grant, or role change of a user.

To implement role based access controls.

CMMC_L2_v1.9.0_IA.L1_3.5.1

6.2

CIS_Controls_v8.1_6.2

CIS Controls v8.1 6.2

Access Control Management

Establish an access revoking process

Shared

1. Establish and follow a process, preferably automated, for revoking access to enterprise assets, through disabling accounts immediately upon termination, rights revocation, or role change of a user. 2. Disabling accounts, instead of deleting accounts, may be necessary to preserve audit trails.

To restrict access to enterprise assets.

CMMC_L2_v1.9.0

IA.L1_3.5.1

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 IA.L1 3.5.1

Identification and Authentication

Identification

Shared

Identify information system users, processes acting on behalf of users, or devices.

To enable effective monitoring, authentication, and access control measures to be implemented within the system.

CMMC_L2_v1.9.0

PS.L2_3.9.2

CMMC_L2_v1.9.0_PS.L2_3.9.2

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 PS.L2 3.9.2

Personnel Security

Personnel Actions

Shared

Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers.

To ensure that organizational systems containing CUI are protected during and after personnel actions, such as terminations and transfers.

CMMC_L3

AC.2.008

CMMC_L3_AC.2.008

CMMC L3 AC.2.008

Access Control

Use non-privileged accounts or roles when accessing nonsecurity functions.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

This requirement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where 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 all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.

link

CMMC_L3

AC.3.021

CMMC_L3_AC.3.021

CMMC L3 AC.3.021

Access Control

Authorize remote execution of privileged commands and remote access to security-relevant information.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

A privileged command is a human-initiated (interactively or via a process operating on behalf of the human) command executed on a system involving the control, monitoring, or administration of the system including security functions and associated security-relevant information. Securityrelevant information is any information within the system that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce the system security policy or maintain isolation of code and data. Privileged commands give individuals the ability to execute sensitive, security-critical, or security-relevant system functions. Controlling such access from remote locations helps to ensure that unauthorized individuals are not able to execute such commands freely with the potential to do serious or catastrophic damage to organizational systems. Note that the ability to affect the integrity of the system is considered security-relevant as that could enable the means to by-pass security functions although not directly impacting the function itself.

link

CMMC_L3

CM.2.063

CMMC_L3_CM.2.063

CMMC L3 CM.2.063

Configuration Management

Control and monitor user-installed software.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

Users can install software in organizational systems if provided the necessary privileges. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation through policies. Permitted software installations include updates and security patches to existing software and applications from organization-approved “app stores.” Prohibited software installations may include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods, automated methods, or both.

link

CCC_03

CSA_v4.0.12_CCC_03

CSA Cloud Controls Matrix v4.0.12 CCC 03

Change Control and Configuration Management

Change Management Technology

Shared

n/a

Manage the risks associated with applying changes to organization assets, including application, systems, infrastructure, configuration, etc., regardless of whether the assets are managed internally or externally (i.e., outsourced).

CCC_04

CSA_v4.0.12_CCC_04

CSA Cloud Controls Matrix v4.0.12 CCC 04

Change Control and Configuration Management

Unauthorized Change Protection

Shared

n/a

Restrict the unauthorized addition, removal, update, and management of organization assets.

IAM_01

CSA_v4.0.12_IAM_01

CSA Cloud Controls Matrix v4.0.12 IAM 01

Identity & Access Management

Identity and Access Management Policy and Procedures

Shared

n/a

Establish, document, approve, communicate, implement, apply, evaluate and maintain policies and procedures for identity and access management. Review and update the policies and procedures at least annually.

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_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_12

CSA_v4.0.12_IAM_12

CSA Cloud Controls Matrix v4.0.12 IAM 12

Identity & Access Management

Safeguard Logs Integrity

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures to ensure the logging infrastructure is read-only for all with write access, including privileged access roles, and that the ability to disable it is controlled through a procedure that ensures the segregation of duties and break glass procedures.

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_14

CSA_v4.0.12_IAM_14

CSA Cloud Controls Matrix v4.0.12 IAM 14

Identity & Access Management

Strong Authentication

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures for authenticating access to systems, application and data assets, including multifactor authentication for at least privileged user and sensitive data access. Adopt digital certificates or alternatives which achieve an equivalent level of security for system identities.

IAM_15

CSA_v4.0.12_IAM_15

CSA Cloud Controls Matrix v4.0.12 IAM 15

Identity & Access Management

Passwords Management

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures for the secure management of passwords.

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.

TVM_04

CSA_v4.0.12_TVM_04

CSA Cloud Controls Matrix v4.0.12 TVM 04

Threat & Vulnerability Management

Detection Updates

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures to update detection tools, threat signatures, and indicators of compromise on a weekly, or more frequent basis.

Cyber_Essentials_v3.1_1

Cyber Essentials v3.1 1

Cyber Essentials

Firewalls

Shared

n/a

Aim: to make sure that only secure and necessary network services can be accessed from the internet.

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_3

Cyber Essentials v3.1 3

Cyber Essentials

Security Update Management

Shared

n/a

Aim: ensure that devices and software are not vulnerable to known security issues for which fixes are available.

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.

FBI_Criminal_Justice_Information_Services_v5.9.5_5

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.

189

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.

FBI_Criminal_Justice_Information_Services_v5.9.5_5

FBI_Criminal_Justice_Information_Services_v5.9.5_5.7

404 not found

n/a

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.

hipaa

1277.09c2Organizational.4-09.c

hipaa-1277.09c2Organizational.4-09.c

1277.09c2Organizational.4-09.c

12 Audit Logging & Monitoring

1277.09c2Organizational.4-09.c 09.01 Documented Operating Procedures

Shared

n/a

The initiation of an event is separated from its authorization to reduce the possibility of collusion.

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.l

HITRUST_CSF_v11.3_01.l

HITRUST CSF v11.3 01.l

Network Access Control

Prevent unauthorized access to networked services.

Shared

Ports, services, and applications installed on a computer or network systems, which are not specifically required for business functionality, to be disabled or removed.

Physical and logical access to diagnostic and configuration ports shall be controlled.

01.q

HITRUST_CSF_v11.3_01.q

HITRUST CSF v11.3 01.q

Operating System Access Control

Prevent unauthorized access to operating systems and implement authentication technique to verify user.

Shared

1. Each user ID in the information system to be assigned to a specific named individual to ensure accountability. 2. Multi-factor authentication to be implemented for network and local access to privileged accounts. 3. Users to be uniquely identified and authenticated for local access and remote access. 4. Biometric-based electronic signatures and multifactor authentication to be implemented to ensure exclusive ownership validation and enhanced security for both remote and local network access to privileged and non-privileged accounts.

All users shall have a unique identifier (user ID) for their personal use only, and an authentication technique shall be implemented to substantiate the claimed identity of a user.

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.

109

09.j

HITRUST_CSF_v11.3_09.j

HITRUST CSF v11.3 09.j

Protection Against Malicious and Mobile Code

Ensure that integrity of information and software is protected from malicious or unauthorized code

Shared

1. Technologies are to be implemented for timely installation, upgrade and renewal of anti-malware protective measures. 2. Automatic periodic scans of information systems is to be implemented. 3. Anti-malware software that offers a centralized infrastructure that compiles information on file reputations is to be implemented. 4. Post-malicious code update, signature deployment, scanning files, email, and web traffic is to be verified by automated systems, while BYOD users require anti-malware, network-based malware detection is to be used on servers without host-based solutions use. 5. Anti-malware audit logs checks to be performed. 6. Protection against malicious code is to be based on malicious code detection and repair software, security awareness, appropriate system access, and change management controls.

Detection, prevention, and recovery controls shall be implemented to protect against malicious code, and appropriate user awareness procedures on malicious code shall be provided.

09.m

HITRUST_CSF_v11.3_09.m

HITRUST CSF v11.3 09.m

Network Security Management

Ensure the protection of information in networks and protection of the supporting network infrastructure.

Shared

1. Vendor default encryption keys, default SNMP community strings on wireless devices, default passwords/passphrases on access points, and other security-related wireless vendor defaults is to be changed prior to authorization of implementation of wireless access points. 2. Wireless encryption keys to be changed when anyone with knowledge of the keys leaves or changes. 3. All authorized and unauthorized wireless access to the information system is to be monitored and installation of wireless access points (WAP) is to be prohibited unless explicitly authorized.

Networks shall be managed and controlled in order to protect the organization from threats and to maintain security for the systems and applications using the network, including information in transit.

10.m

HITRUST_CSF_v11.3_10.m

HITRUST CSF v11.3 10.m

Technical Vulnerability Management

Reduce the risks resulting from exploitation of published technical vulnerabilities, technical vulnerability management shall be implemented in an effective, systematic, and repeatable way with measurements taken to confirm its effectiveness.

Shared

1. The necessary secure services, protocols required for the function of the system are to be enabled. 2. Security features to be implemented for any required services that are considered to be insecure. 3. Laptops, workstations, and servers to be configured so they will not auto-run content from removable media. 4. Configuration standards to be consistent with industry-accepted system hardening standards. 5. An enterprise security posture review within every 365 days is to be conducted. 6. Vulnerability scanning tools to be regularly updated with all relevant information system vulnerabilities.

Timely information about technical vulnerabilities of information systems being used shall be obtained; the organization’s exposure to such vulnerabilities evaluated; and appropriate measures taken to address the associated risk.

ISO_IEC_27002_2022

5.18

ISO_IEC_27002_2022_5.18

ISO IEC 27002 2022 5.18

Protection, Preventive Control

Access rights

Shared

Access rights to information and other associated assets should be provisioned, reviewed, modified and removed in accordance with the organization’s topic-specific policy on and rules for access control.

To ensure access to information and other associated assets is defined and authorized according to the business requirements.

K_ISMS_P_2018

2.10.1

K_ISMS_P_2018_2.10.1

K ISMS P 2018 2.10.1

2.10

Establish Procedures for Managing the Security of System Operations

Shared

n/a

Establish and implement operating procedures for managing the security of system operations such as designating system administrators, updating policies, changing rulesets, monitoring events, managing policy implementations or exceptions.

455

.1.1

NIST_SP_800-171_R3_3.1.1

NIST 800-171 R3 3.1.1

Access Control

Account Management

Shared

a. Define the types of system accounts allowed and prohibited. b. Create, enable, modify, disable, and remove system accounts in accordance with organizational policy, procedures, prerequisites, and criteria. c. Specify authorized users of the system, group and role membership, and access authorizations (i.e., privileges). d. Authorize access to the system based on a valid access authorization and intended system usage. e. Monitor the use of system accounts. f. Disable system accounts when: 1. The accounts have expired; 2. The accounts have been inactive for [Assignment: organization-defined time period]; 3. The accounts are no longer associated with a user or individual; 4. The accounts are in violation of organizational policy; or 5. Significant risks associated with individuals are discovered. g. Notify organizational personnel or roles when: 1. Accounts are no longer required; 2. Users are terminated or transferred; and 3. System usage or need-to-know changes for an individual.

This requirement focuses on account management for systems and applications. The definition and enforcement of access authorizations other than those determined by account type (e.g.,privileged access, non-privileged access) are addressed in requirement 03.01.02. System account types include individual, group, temporary, system, guest, anonymous, emergency, developer, and service. Users who require administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access. Types of accounts that organizations may prohibit due to increased risk include group, emergency, guest, anonymous, and temporary. Organizations may choose to define access privileges or other attributes by account, type of account, or a combination of both. Other attributes required for authorizing access include restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes,organizations consider system requirements (e.g., system upgrades, scheduled maintenance) and mission and business requirements (e.g., time zone differences, remote access to facilitate travel requirements). Users who pose a significant security risk include individuals for whom reliable evidence indicates either the intention to use authorized access to the system to cause harm or that adversaries will cause harm through them. Close coordination among human resource managers, mission/business owners, system administrators, and legal staff is essential when disabling system accounts for high-risk individuals. Time periods for the notification of organizational personnel or roles may vary.

.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.

.1.5

NIST_SP_800-171_R3_3.1.5

NIST 800-171 R3 3.1.5

Access Control

Least Privilege

Shared

Organizations employ the principle of least privilege for specific duties and authorized access for users and system processes. Least privilege is applied to the development, implementation, and operation of the system. Organizations consider creating additional processes, roles, and system accounts to achieve least privilege. Security functions include establishing system accounts and assigning privileges, installing software, configuring access authorizations, configuring settings for events to be audited, establishing vulnerability scanning parameters, and establishing intrusion detection parameters. Security-relevant information includes threat and vulnerability information, filtering rules for routers or firewalls, configuration parameters for security services, security architecture, cryptographic key management information, and access control lists.

a. Allow only authorized system access for users (or processes acting on behalf of users) that is necessary to accomplish assigned organizational tasks. b. Authorize access to [Assignment: organization-defined security functions and security-relevant information]. c. Review the privileges assigned to roles or classes of users periodically to validate the need for such privileges. d. Reassign or remove privileges, as necessary.

.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.

.4.6

NIST_SP_800-171_R3_3.4.6

404 not found

n/a

NIST_SP_800-53_R5.1.1_AC.2

.5.5

NIST_SP_800-171_R3_3.5.5

404 not found

n/a

NIST_SP_800-53_R5.1.1

AC.2

NIST SP 800-53 R5.1.1 AC.2

Access Control

Account Management

Shared

a. Define and document the types of accounts allowed and specifically prohibited for use within the system; b. Assign account managers; c. Require [Assignment: organization-defined prerequisites and criteria] for group and role membership; d. Specify: 1. Authorized users of the system; 2. Group and role membership; and 3. Access authorizations (i.e., privileges) and [Assignment: organization-defined attributes (as required)] for each account; e. Require approvals by [Assignment: organization-defined personnel or roles] for requests to create accounts; f. Create, enable, modify, disable, and remove accounts in accordance with [Assignment: organization-defined policy, procedures, prerequisites, and criteria]; g. Monitor the use of accounts; h. Notify account managers and [Assignment: organization-defined personnel or roles] within: 1. [Assignment: organization-defined time period] when accounts are no longer required; 2. [Assignment: organization-defined time period] when users are terminated or transferred; and 3. [Assignment: organization-defined time period] when system usage or need-to-know changes for an individual; i. Authorize access to the system based on: 1. A valid access authorization; 2. Intended system usage; and 3. [Assignment: organization-defined attributes (as required)]; j. Review accounts for compliance with account management requirements [Assignment: organization-defined frequency]; k. Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and l. Align account management processes with personnel termination and transfer processes.

Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflect the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. Types of accounts that organizations may wish to prohibit due to increased risk include shared, group, emergency, anonymous, temporary, and guest accounts. Where access involves personally identifiable information, security programs collaborate with the senior agency official for privacy to establish the specific conditions for group and role membership; specify authorized users, group and role membership, and access authorizations for each account; and create, adjust, or remove system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors that trigger the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time of day, day of week, and point of origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability. Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required and when individuals are transferred or terminated. Changing shared/group authenticators when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training.

NIST_SP_800-53_R5.1.1

CM.7

NIST_SP_800-53_R5.1.1_CM.7

NIST SP 800-53 R5.1.1 CM.7

Configuration Management Control

Least Functionality

Shared

a. Configure the system to provide only [Assignment: organization-defined mission essential capabilities]; and b. Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: [Assignment: organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services].

Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see SA-8, SC-2, and SC-3).

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.

16.1.31.C.01.

NZISM_v3.7_16.1.31.C.01.

NZISM v3.7 16.1.31.C.01.

Identification, Authentication and Passwords

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

Shared

n/a

Agencies MUST: 1. develop, implement and maintain a set of policies and procedures covering all system users: a. identification; b. authentication; c. authorisation; d. privileged access identification and management; and 2. make their system users aware of the agency's policies and procedures.

16.1.32.C.01.

NZISM_v3.7_16.1.32.C.01.

NZISM v3.7 16.1.32.C.01.

Identification, Authentication and Passwords

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

Shared

n/a

Agencies MUST ensure that all system users are: 1. uniquely identifiable; and 2. authenticated on each occasion that access is granted to a system.

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.

16.4.32.C.02.

NZISM_v3.7_16.4.32.C.02.

NZISM v3.7 16.4.32.C.02.

Privileged Access Management

16.4.32.C.02. - enhance security and reduce the risk of unauthorized access or misuse.

Shared

n/a

Privileged Access credentials MUST NOT be issued until approval has been formally granted.

16.6.10.C.02.

NZISM_v3.7_16.6.10.C.02.

NZISM v3.7 16.6.10.C.02.

Event Logging and Auditing

16.6.10.C.02. - enhance system security and accountability.

Shared

n/a

Agencies SHOULD log, at minimum, the following events for all software components: 1. user login; 2. all privileged operations; 3. failed attempts to elevate privileges; 4. security related system alerts and failures; 5. system user and group additions, deletions and modification to permissions; and 6. unauthorised or failed access attempts to systems and files identified as critical to the agency.

16.6.11.C.01.

NZISM_v3.7_16.6.11.C.01.

NZISM v3.7 16.6.11.C.01.

Event Logging and Auditing

16.6.11.C.01. - enhance system security and accountability.

Shared

n/a

For each event identified as needing to be logged, agencies MUST ensure that the log facility records at least the following details, where applicable: 1. date and time of the event; 2. relevant system user(s) or processes; 3. event description; 4. success or failure of the event; 5. event source (e.g. application name); and 6. IT equipment location/identification.

16.6.12.C.01.

NZISM_v3.7_16.6.12.C.01.

NZISM v3.7 16.6.12.C.01.

Event Logging and Auditing

16.6.12.C.01. - maintain integrity of the data.

Shared

n/a

Event logs MUST be protected from: 1. modification and unauthorised access; and 2. whole or partial loss within the defined retention period.

16.6.6.C.01.

NZISM_v3.7_16.6.6.C.01.

NZISM v3.7 16.6.6.C.01.

Event Logging and Auditing

16.6.6.C.01. - enhance security and reduce the risk of unauthorized access or misuse.

Shared

n/a

Agencies MUST maintain system management logs for the life of a system.

16.6.7.C.01.

NZISM_v3.7_16.6.7.C.01.

NZISM v3.7 16.6.7.C.01.

Event Logging and Auditing

16.6.7.C.01. - facilitate effective monitoring, troubleshooting, and auditability of system operations.

Shared

n/a

A system management log SHOULD record the following minimum information: 1. all system start-up and shutdown; 2. service, application, component or system failures; 3. maintenance activities; 4. backup and archival activities; 5. system recovery activities; and 6. special or out of hours activities.

16.6.9.C.01.

NZISM_v3.7_16.6.9.C.01.

NZISM v3.7 16.6.9.C.01.

Event Logging and Auditing

16.6.9.C.01. - enhance system security and accountability.

Shared

n/a

Agencies MUST log, at minimum, the following events for all software components: 1. logons; 2. failed logon attempts; 3. logoffs; 4 .date and time; 5. all privileged operations; 6. failed attempts to elevate privileges; 7. security related system alerts and failures; 8. system user and group additions, deletions and modification to permissions; and 9. unauthorised or failed access attempts to systems and files identified as critical to the agency.

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.

19.1.20.C.01.

NZISM_v3.7_19.1.20.C.01.

NZISM v3.7 19.1.20.C.01.

Gateways

19.1.20.C.01. - reduce the risk of unauthorized access or misuse.

Shared

n/a

Agencies MUST authenticate system users to all classified networks accessed through gateways.

1.2.5

PCI_DSS_v4.0.1_1.2.5

PCI DSS v4.0.1 1.2.5

Install and Maintain Network Security Controls

All services, protocols, and ports allowed are identified, approved, and have a defined business need

Shared

n/a

Examine documentation to verify that a list exists of all allowed services, protocols, and ports, including business justification and approval for each. Examine configuration settings for NSCs to verify that only approved services, protocols, and ports are in use

2.2.4

PCI_DSS_v4.0.1_2.2.4

PCI DSS v4.0.1 2.2.4

Apply Secure Configurations to All System Components

Only necessary services, protocols, daemons, and functions are enabled, and all unnecessary functionality is removed or disabled

Shared

n/a

Examine system configuration standards to verify necessary services, protocols, daemons, and functions are identified and documented. Examine system configurations to verify the following: All unnecessary functionality is removed or disabled. Only required functionality, as documented in the configuration standards, is enabled

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

Sarbanes_Oxley_Act_(1)_2022_1

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 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.

107

CC2.2

SOC_2023_CC2.2

SOC 2023 CC2.2

Information and Communication

Facilitate effective internal communication, including objectives and responsibilities for internal control.

Shared

n/a

Entity internally communicates information, including objectives and responsibilities for internal control, necessary to support the functioning of internal control by setting up a process to communicate required information to enable personnel to understand and carry out responsibilities, ensure communication exists between management and board of directors, provides for separate communication channels which serve as fail-safe mechanism to enable anonymous or confidential communication and setting up relevant methods of communication by considering the timing, audience and nature information

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

CC5.1

SOC_2023_CC5.1

SOC 2023 CC5.1

Control Activities

Enhance the ability to manage uncertainties and accomplish its strategic goals.

Shared

n/a

Entity selects and develops control activities that contribute to the mitigation of risks to the achievement of objectives to acceptable levels.

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

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.

127

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

CC6.8

SOC_2023_CC6.8

SOC 2023 CC6.8

Logical and Physical Access Controls

Mitigate the risk of cybersecurity threats, safeguard critical systems and data, and maintain operational continuity and integrity.

Shared

n/a

Entity implements controls to prevent or detect and act upon the introduction of unauthorized or malicious software to meet the entity’s objectives.

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.

163

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

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.

143