last sync: 2023-Jan-27 18:40:07 UTC

Azure Policy definition

A vulnerability assessment solution should be enabled on your virtual machines

Name A vulnerability assessment solution should be enabled on your virtual machines
Azure Portal
Id 501541f7-f7e7-4cd6-868c-4190fdad3ac9
Version 3.0.0
details on versioning
Category Security Center
Microsoft docs
Description Audits virtual machines to detect whether they are running a supported vulnerability assessment solution. A core component of every cyber risk and security program is the identification and analysis of vulnerabilities. Azure Security Center's standard pricing tier includes vulnerability scanning for your virtual machines at no extra cost. Additionally, Security Center can automatically deploy this tool for you.
Mode All
Type BuiltIn
Preview FALSE
Deprecated FALSE
Effect Default
AuditIfNotExists
Allowed
AuditIfNotExists, Disabled
RBAC
Role(s)
none
Rule
Aliases
THEN-ExistenceCondition (1)
Alias Namespace ResourceType DefaultPath Modifiable
Microsoft.Security/assessments/status.code Microsoft.Security assessments properties.status.code false
Rule
ResourceTypes
IF (1)
Microsoft.ClassicCompute/virtualMachines
Compliance The following 63 compliance controls are associated with this Policy definition 'A vulnerability assessment solution should be enabled on your virtual machines' (501541f7-f7e7-4cd6-868c-4190fdad3ac9)
Control Domain Control Name MetadataId Category Title Owner Requirements Description Info Policy#
AU_ISM 1144 AU_ISM_1144 AU ISM 1144 Guidelines for System Management - System patching When to patch security vulnerabilities - 1144 n/a Security vulnerabilities in applications and drivers assessed as extreme risk are patched, updated or mitigated within 48 hours of the security vulnerabilities being identified by vendors, independent third parties, system managers or users. link 7
AU_ISM 1472 AU_ISM_1472 AU ISM 1472 Guidelines for System Management - System patching When to patch security vulnerabilities - 1472 n/a Security vulnerabilities in applications and drivers assessed as moderate or low risk are patched, updated or mitigated within one month of the security vulnerability being identified by vendors, independent third parties, system managers or users. link 7
AU_ISM 1494 AU_ISM_1494 AU ISM 1494 Guidelines for System Management - System patching When to patch security vulnerabilities - 1494 n/a Security vulnerabilities in operating systems and firmware assessed as extreme risk are patched, updated or mitigated within 48 hours of the security vulnerabilities being identified by vendors, independent third parties, system managers or users. link 7
AU_ISM 1495 AU_ISM_1495 AU ISM 1495 Guidelines for System Management - System patching When to patch security vulnerabilities - 1495 n/a Security vulnerabilities in operating systems and firmware assessed as high risk are patched, updated or mitigated within two weeks of the security vulnerability being identified by vendors, independent third parties, system managers or users. link 7
AU_ISM 1496 AU_ISM_1496 AU ISM 1496 Guidelines for System Management - System patching When to patch security vulnerabilities - 1496 n/a Security vulnerabilities in operating systems and firmware assessed as moderate or low risk are patched, updated or mitigated within one month of the security vulnerability being identified by vendors, independent third parties, system managers or users. link 7
AU_ISM 940 AU_ISM_940 AU ISM 940 Guidelines for System Management - System patching When to patch security vulnerabilities - 940 n/a Security vulnerabilities in applications and drivers assessed as high risk are patched, updated or mitigated within two weeks of the security vulnerability being identified by vendors, independent third parties, system managers or users. link 7
Azure_Security_Benchmark_v1.0 5.1 Azure_Security_Benchmark_v1.0_5.1 Azure Security Benchmark 5.1 Vulnerability Management Run automated vulnerability scanning tools Customer Follow recommendations from Azure Security Center on performing vulnerability assessments on your Azure virtual machines, container images, and SQL servers. Use a third-party solution for performing vulnerability assessments on network devices and web applications. When conducting remote scans, do not use a single, perpetual, administrative account. Consider implementing JIT provisioning methodology for the scan account. Credentials for the scan account should be protected, monitored, and used only for vulnerability scanning. How to implement Azure Security Center vulnerability assessment recommendations: https://docs.microsoft.com/azure/security-center/security-center-vulnerability-assessment-recommendations n/a link 3
Azure_Security_Benchmark_v2.0 PV-6 Azure_Security_Benchmark_v2.0_PV-6 Azure Security Benchmark PV-6 Posture and Vulnerability Management Perform software vulnerability assessments Customer Follow recommendations from Azure Security Center for performing vulnerability assessments on your Azure virtual machines, container images, and SQL servers. Azure Security Center has a built-in vulnerability scanner for virtual machine scan. Use a third-party solution for performing vulnerability assessments on network devices and web applications. When conducting remote scans, do not use a single, perpetual, administrative account. Consider implementing JIT (Just In Time) provisioning methodology for the scan account. Credentials for the scan account should be protected, monitored, and used only for vulnerability scanning. Export scan results at consistent intervals and compare the results with previous scans to verify that vulnerabilities have been remediated. When using vulnerability management recommendations suggested by Azure Security Center, you can pivot into the selected scan solution's portal to view historical scan data. How to implement Azure Security Center vulnerability assessment recommendations: https://docs.microsoft.com/azure/security-center/security-center-vulnerability-assessment-recommendations Integrated vulnerability scanner for virtual machines: https://docs.microsoft.com/azure/security-center/built-in-vulnerability-assessment SQL vulnerability assessment: https://docs.microsoft.com/azure/azure-sql/database/sql-vulnerability-assessment Exporting Azure Security Center vulnerability scan results: https://docs.microsoft.com/azure/security-center/built-in-vulnerability-assessment#exporting-results n/a link 5
Azure_Security_Benchmark_v3.0 PV-5 Azure_Security_Benchmark_v3.0_PV-5 Azure Security Benchmark PV-5 Posture and Vulnerability Management Perform vulnerability assessments Shared **Security Principle:** Perform vulnerabilities assessment for your cloud resources at all tiers in a fixed schedule or on-demand. Track and compare the scan results to verify the vulnerabilities are remediated. The assessment should include all type of vulnerabilities, such as vulnerabilities in Azure services, network, web, operating systems, misconfigurations, and so on. Be aware of the potential risks associated with the privileged access used by the vulnerability scanners. Follow the privileged access security best practice to secure any administrative accounts used for the scanning. **Azure Guidance:** Follow recommendations from Microsoft Defender for Cloud for performing vulnerability assessments on your Azure virtual machines, container images, and SQL servers. Microsoft Defender for Cloud has a built-in vulnerability scanner for virtual machine scan. Use a third-party solution for performing vulnerability assessments on network devices and applications (e.g., web applications) Export scan results at consistent intervals and compare the results with previous scans to verify that vulnerabilities have been remediated. When using vulnerability management recommendations suggested by Microsoft Defender for Cloud, you can pivot into the selected scan solution's portal to view historical scan data. When conducting remote scans, do not use a single, perpetual, administrative account. Consider implementing JIT (Just In Time) provisioning methodology for the scan account. Credentials for the scan account should be protected, monitored, and used only for vulnerability scanning. Note: Azure Defender services (including Defender for server, container registry, App Service, SQL, and DNS) embed certain vulnerability assessment capabilities. The alerts generated from Azure Defender services should be monitored and reviewed together with the result from Microsoft Defender for Cloud vulnerability scanning tool. Note: Ensure your setup email notifications in Microsoft Defender for Cloud. **Implementation and additional context:** How to implement Microsoft Defender for Cloud vulnerability assessment recommendations: https://docs.microsoft.com/azure/security-center/security-center-vulnerability-assessment-recommendations Integrated vulnerability scanner for virtual machines: https://docs.microsoft.com/azure/security-center/built-in-vulnerability-assessment SQL vulnerability assessment: https://docs.microsoft.com/azure/azure-sql/database/sql-vulnerability-assessment Exporting Microsoft Defender for Cloud vulnerability scan results: https://docs.microsoft.com/azure/security-center/built-in-vulnerability-assessment#exporting-results n/a link 3
CCCS RA-5 CCCS_RA-5 CCCS RA-5 Risk Assessment Vulnerability Scanning n/a (A) The organization scans for vulnerabilities in the information system and hosted applications monthly for operating systems/infrastructure, web applications, and database management systems and when new vulnerabilities potentially affecting the system/applications are identified and reported. (B) The organization employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for: (a) Enumerating platforms, software flaws, and improper configurations; (b) Formatting checklists and test procedures; and (c) Measuring vulnerability impact. (C) The organization analyzes vulnerability scan reports and results from security control assessments. (D) The organization remediates legitimate vulnerabilities within 30 days for high-risk vulnerabilities and 90 days for moderate-risk vulnerabilities from the date of discovery in accordance with an organizational assessment of risk. (E) The organization shares information obtained from the vulnerability scanning process and security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies). link 6
CIS_Azure_1.1.0 2.10 CIS_Azure_1.1.0_2.10 CIS Microsoft Azure Foundations Benchmark recommendation 2.10 2 Security Center Ensure ASC Default policy setting "Monitor Vulnerability Assessment" is not "Disabled" Shared The customer is responsible for implementing this recommendation. Enable vulnerability assessment recommendations for virtual machines. link 1
CMMC_2.0_L2 RA.L2-3.11.2 CMMC_2.0_L2_RA.L2-3.11.2 404 not found n/a n/a 21
CMMC_2.0_L2 RA.L2-3.11.3 CMMC_2.0_L2_RA.L2-3.11.3 404 not found n/a n/a 21
CMMC_2.0_L2 SI.L1-3.14.1 CMMC_2.0_L2_SI.L1-3.14.1 404 not found n/a n/a 26
CMMC_L3 CA.2.158 CMMC_L3_CA.2.158 CMMC L3 CA.2.158 Security Assessment Periodically assess the security controls in organizational systems to determine if the controls are effective in their application. Shared Microsoft and the customer share responsibilities for implementing this requirement. Organizations assess security controls in organizational systems and the environments in which those systems operate as part of the system development life cycle. Security controls are the safeguards or countermeasures organizations implement to satisfy security requirements. By assessing the implemented security controls, organizations determine if the security safeguards or countermeasures are in place and operating as intended. Security control assessments ensure that information security is built into organizational systems; identify weaknesses and deficiencies early in the development process; provide essential information needed to make risk-based decisions; and ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls as documented in system security plans. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Organizations can choose to use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of systems during the system life cycle. link 10
CMMC_L3 CA.3.161 CMMC_L3_CA.3.161 CMMC L3 CA.3.161 Security Assessment Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls. Shared Microsoft and the customer share responsibilities for implementing this requirement. Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and analyze security controls and information security-related risks at a frequency sufficient to support risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Providing access to security information on a continuing basis through reports or dashboards gives organizational officials the capability to make effective and timely risk management decisions. Automation supports more frequent updates to hardware, software, firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Monitoring requirements, including the need for specific monitoring, may also be referenced in other requirements. link 10
CMMC_L3 RM.2.141 CMMC_L3_RM.2.141 CMMC L3 RM.2.141 Risk Assessment Periodically assess the risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals, resulting from the operation of organizational systems and the associated processing, storage, or transmission of CUI. Shared Microsoft and the customer share responsibilities for implementing this requirement. Clearly defined system boundaries are a prerequisite for effective risk assessments. Such risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations, organizational assets, and individuals based on the operation and use of organizational systems. Risk assessments also consider risk from external parties (e.g., service providers, contractors operating systems on behalf of the organization, individuals accessing organizational systems, outsourcing entities). Risk assessments, either formal or informal, can be conducted at the organization level, the mission or business process level, or the system level, and at any phase in the system development life cycle. link 13
CMMC_L3 RM.2.142 CMMC_L3_RM.2.142 CMMC L3 RM.2.142 Risk Assessment Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified. Shared Microsoft and the customer share responsibilities for implementing this requirement. Organizations determine the required vulnerability scanning for all system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. The vulnerabilities to be scanned are readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This process ensures that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in source code reviews and in a variety of tools (e.g., static analysis tools, web-based application scanners, binary analyzers) and in source code reviews. Vulnerability scanning includes: scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for improperly configured or incorrectly operating information flow control mechanisms. To facilitate interoperability, organizations consider using products that are Security Content Automated Protocol (SCAP)-validated, scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention, and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of system vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Security assessments, such as red team exercises, provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). In certain situations, the nature of the vulnerability scanning may be more intrusive or the system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates thorough vulnerability scanning and protects the sensitive nature of such scanning. link 13
CMMC_L3 RM.2.143 CMMC_L3_RM.2.143 CMMC L3 RM.2.143 Risk Assessment Remediate vulnerabilities in accordance with risk assessments. Shared Microsoft and the customer share responsibilities for implementing this requirement. Vulnerabilities discovered, for example, via the scanning conducted in response to RM.2.142, are remediated with consideration of the related assessment of risk. The consideration of risk influences the prioritization of remediation efforts and the level of effort to be expended in the remediation for specific vulnerabilities. link 19
FedRAMP_High_R4 RA-5 FedRAMP_High_R4_RA-5 FedRAMP High RA-5 Risk Assessment Vulnerability Scanning Shared n/a The organization: a. Scans for vulnerabilities in the information system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system/applications are identified and reported; b. Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for: 1. Enumerating platforms, software flaws, and improper configurations; 2. Formatting checklists and test procedures; and 3. Measuring vulnerability impact; c. Analyzes vulnerability scan reports and results from security control assessments; d. Remediates legitimate vulnerabilities [Assignment: organization-defined response times], in accordance with an organizational assessment of risk; and e. Shares information obtained from the vulnerability scanning process and security control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies). Supplemental Guidance: Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). Related controls: CA-2, CA-7, CM-4, CM-6, RA-2, RA-3, SA-11, SI-2. References: NIST Special Publications 800-40, 800-70, 800-115; Web: http://cwe.mitre.org, http://nvd.nist.gov. link 23
FedRAMP_High_R4 SI-2 FedRAMP_High_R4_SI-2 FedRAMP High SI-2 System And Information Integrity Flaw Remediation Shared n/a The organization: a. Identifies, reports, and corrects information system flaws; b. Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation; c. Installs security-relevant software and firmware updates within [Assignment: organization- defined time period] of the release of the updates; and d. Incorporates flaw remediation into the organizational configuration management process. Supplemental Guidance: Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures. Related controls: CA-2, CA-7, CM-3, CM-5, CM-8, MA-2, IR-4, RA-5, SA-10, SA-11, SI-11. link 25
FedRAMP_Moderate_R4 RA-5 FedRAMP_Moderate_R4_RA-5 FedRAMP Moderate RA-5 Risk Assessment Vulnerability Scanning Shared n/a The organization: a. Scans for vulnerabilities in the information system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system/applications are identified and reported; b. Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for: 1. Enumerating platforms, software flaws, and improper configurations; 2. Formatting checklists and test procedures; and 3. Measuring vulnerability impact; c. Analyzes vulnerability scan reports and results from security control assessments; d. Remediates legitimate vulnerabilities [Assignment: organization-defined response times], in accordance with an organizational assessment of risk; and e. Shares information obtained from the vulnerability scanning process and security control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies). Supplemental Guidance: Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). Related controls: CA-2, CA-7, CM-4, CM-6, RA-2, RA-3, SA-11, SI-2. References: NIST Special Publications 800-40, 800-70, 800-115; Web: http://cwe.mitre.org, http://nvd.nist.gov. link 23
FedRAMP_Moderate_R4 SI-2 FedRAMP_Moderate_R4_SI-2 FedRAMP Moderate SI-2 System And Information Integrity Flaw Remediation Shared n/a The organization: a. Identifies, reports, and corrects information system flaws; b. Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation; c. Installs security-relevant software and firmware updates within [Assignment: organization- defined time period] of the release of the updates; and d. Incorporates flaw remediation into the organizational configuration management process. Supplemental Guidance: Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures. Related controls: CA-2, CA-7, CM-3, CM-5, CM-8, MA-2, IR-4, RA-5, SA-10, SA-11, SI-11. link 25
hipaa 0709.10m1Organizational.1-10.m hipaa-0709.10m1Organizational.1-10.m 0709.10m1Organizational.1-10.m 07 Vulnerability Management 0709.10m1Organizational.1-10.m 10.06 Technical Vulnerability Management Shared n/a Technical vulnerabilities are identified, evaluated for risk, and corrected in a timely manner. 13
hipaa 0711.10m2Organizational.23-10.m hipaa-0711.10m2Organizational.23-10.m 0711.10m2Organizational.23-10.m 07 Vulnerability Management 0711.10m2Organizational.23-10.m 10.06 Technical Vulnerability Management Shared n/a A technical vulnerability management program is in place to monitor, assess, rank, and remediate vulnerabilities identified in systems. 4
IRS_1075_9.3 .14.3 IRS_1075_9.3.14.3 IRS 1075 9.3.14.3 Risk Assessment Vulnerability Scanning (RA-5) n/a The agency must: a. Scan for vulnerabilities in the information system and hosted applications at a minimum of monthly for all systems and when new vulnerabilities potentially affecting the system/applications are identified and reported b. Employ vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for: 1. Enumerating platforms, software flaws, and improper configurations 2. Formatting checklists and test procedures 3. Measuring vulnerability impact c. Analyze vulnerability scan reports and results from security control assessments d. Remediate legitimate vulnerabilities in accordance with an assessment of risk e. Share information obtained from the vulnerability scanning process and security control assessments with designated agency officials to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies) f. Employ vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned (CE1) link 6
IRS_1075_9.3 .17.2 IRS_1075_9.3.17.2 IRS 1075 9.3.17.2 System and Information Integrity Flaw Remediation (SI-2) n/a The agency must: a. Identify, report, and correct information system flaws b. Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation c. Install security-relevant software and firmware updates based on severity and associated risk to the confidentiality of FTI d. Incorporate flaw remediation into the agency configuration management process e. Centrally manage the flaw remediation process (CE1) Security-relevant software updates include, for example, patches, service packs, hot fixes, and antivirus signatures. link 6
ISO27001-2013 A.12.6.1 ISO27001-2013_A.12.6.1 ISO 27001:2013 A.12.6.1 Operations Security Management of technical vulnerabilities Shared n/a Information about technical vulnerabilities of information systems being used shall be obtained in a timely fashion, the organization's exposure to such vulnerabilities evaluated and appropriate measures taken to address the associated risk. link 13
NIST_SP_800-171_R2_3 .11.2 NIST_SP_800-171_R2_3.11.2 NIST SP 800-171 R2 3.11.2 Risk Assessment Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified. Shared Microsoft and the customer share responsibilities for implementing this requirement. Organizations determine the required vulnerability scanning for all system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. The vulnerabilities to be scanned are readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This process ensures that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in source code reviews and in a variety of tools (e.g., static analysis tools, web-based application scanners, binary analyzers) and in source code reviews. Vulnerability scanning includes: scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for improperly configured or incorrectly operating information flow control mechanisms. To facilitate interoperability, organizations consider using products that are Security Content Automated Protocol (SCAP)-validated, scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention, and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of system vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Security assessments, such as red team exercises, provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). In certain situations, the nature of the vulnerability scanning may be more intrusive or the system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates thorough vulnerability scanning and protects the sensitive nature of such scanning. [SP 800-40] provides guidance on vulnerability management. link 24
NIST_SP_800-171_R2_3 .11.3 NIST_SP_800-171_R2_3.11.3 NIST SP 800-171 R2 3.11.3 Risk Assessment Remediate vulnerabilities in accordance with risk assessments. Shared Microsoft and the customer share responsibilities for implementing this requirement. Vulnerabilities discovered, for example, via the scanning conducted in response to 3.11.2, are remediated with consideration of the related assessment of risk. The consideration of risk influences the prioritization of remediation efforts and the level of effort to be expended in the remediation for specific vulnerabilities. link 23
NIST_SP_800-171_R2_3 .14.1 NIST_SP_800-171_R2_3.14.1 NIST SP 800-171 R2 3.14.1 System and Information Integrity Identify, report, and correct system flaws in a timely manner. Shared Microsoft and the customer share responsibilities for implementing this requirement. Organizations identify systems that are affected by announced software and firmware flaws including potential vulnerabilities resulting from those flaws and report this information to designated personnel with information security responsibilities. Security-relevant updates include patches, service packs, hot fixes, and anti-virus signatures. Organizations address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations can take advantage of available resources such as the Common Weakness Enumeration (CWE) database or Common Vulnerabilities and Exposures (CVE) database in remediating flaws discovered in organizational systems. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types of remediation. [SP 800-40] provides guidance on patch management technologies. link 29
NIST_SP_800-53_R4 RA-5 NIST_SP_800-53_R4_RA-5 NIST SP 800-53 Rev. 4 RA-5 Risk Assessment Vulnerability Scanning Shared n/a The organization: a. Scans for vulnerabilities in the information system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system/applications are identified and reported; b. Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for: 1. Enumerating platforms, software flaws, and improper configurations; 2. Formatting checklists and test procedures; and 3. Measuring vulnerability impact; c. Analyzes vulnerability scan reports and results from security control assessments; d. Remediates legitimate vulnerabilities [Assignment: organization-defined response times], in accordance with an organizational assessment of risk; and e. Shares information obtained from the vulnerability scanning process and security control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies). Supplemental Guidance: Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). Related controls: CA-2, CA-7, CM-4, CM-6, RA-2, RA-3, SA-11, SI-2. References: NIST Special Publications 800-40, 800-70, 800-115; Web: http://cwe.mitre.org, http://nvd.nist.gov. link 23
NIST_SP_800-53_R4 SI-2 NIST_SP_800-53_R4_SI-2 NIST SP 800-53 Rev. 4 SI-2 System And Information Integrity Flaw Remediation Shared n/a The organization: a. Identifies, reports, and corrects information system flaws; b. Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation; c. Installs security-relevant software and firmware updates within [Assignment: organization- defined time period] of the release of the updates; and d. Incorporates flaw remediation into the organizational configuration management process. Supplemental Guidance: Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures. Related controls: CA-2, CA-7, CM-3, CM-5, CM-8, MA-2, IR-4, RA-5, SA-10, SA-11, SI-11. link 25
NIST_SP_800-53_R5 RA-5 NIST_SP_800-53_R5_RA-5 NIST SP 800-53 Rev. 5 RA-5 Risk Assessment Vulnerability Monitoring and Scanning Shared n/a a. Monitor and scan for vulnerabilities in the system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system are identified and reported; b. Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for: 1. Enumerating platforms, software flaws, and improper configurations; 2. Formatting checklists and test procedures; and 3. Measuring vulnerability impact; c. Analyze vulnerability scan reports and results from vulnerability monitoring; d. Remediate legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk; e. Share information obtained from the vulnerability monitoring process and control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other systems; and f. Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned. link 23
NIST_SP_800-53_R5 SI-2 NIST_SP_800-53_R5_SI-2 NIST SP 800-53 Rev. 5 SI-2 System and Information Integrity Flaw Remediation Shared n/a a. Identify, report, and correct system flaws; b. Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation; c. Install security-relevant software and firmware updates within [Assignment: organization-defined time period] of the release of the updates; and d. Incorporate flaw remediation into the organizational configuration management process. link 25
NZ_ISM_v3.5 ISM-3 NZ_ISM_v3.5_ISM-3 NZISM Security Benchmark ISM-3 Information security monitoring 6.2.5 Conducting vulnerability assessments Customer n/a A baseline or known point of origin is the basis of any comparison and allows measurement of changes and improvements when further information security monitoring activities are conducted. link 3
NZISM_Security_Benchmark_v1.1 ISM-3 NZISM_Security_Benchmark_v1.1_ISM-3 NZISM Security Benchmark ISM-3 Information security monitoring 6.2.5 Conducting vulnerability assessments Customer Agencies should conduct vulnerability assessments on systems: - before the system is deployed, including conducting assessments during the system design and development stages - after a significant change to the system - after significant changes to the threats or risks faced by a system; for example, a software vendor announces a critical vulnerability in a product used by the agency at least annually, or as specified by an ITSM or the system owner. A baseline or known point of origin is the basis of any comparison and allows measurement of changes and improvements when further information security monitoring activities are conducted. link 3
PCI_DSS_V3.2.1 11.2.1 PCI_DSS_v3.2.1_11.2.1 PCI DSS v3.2.1 11.2.1 Requirement 11 PCI DSS requirement 11.2.1 shared n/a n/a link 5
PCI_DSS_V3.2.1 5.1 PCI_DSS_v3.2.1_5.1 PCI DSS v3.2.1 5.1 Requirement 5 PCI DSS requirement 5.1 shared n/a n/a link 5
PCI_DSS_V3.2.1 6.2 PCI_DSS_v3.2.1_6.2 PCI DSS v3.2.1 6.2 Requirement 6 PCI DSS requirement 6.2 shared n/a n/a link 5
PCI_DSS_V3.2.1 6.6 PCI_DSS_v3.2.1_6.6 PCI DSS v3.2.1 6.6 Requirement 6 PCI DSS requirement 6.6 shared n/a n/a link 5
PCI_DSS_v4.0 11.3.1 PCI_DSS_v4.0_11.3.1 PCI DSS v4.0 11.3.1 Requirement 11: Test Security of Systems and Networks Regularly External and internal vulnerabilities are regularly identified, prioritized, and addressed Shared n/a Internal vulnerability scans are performed as follows: • At least once every three months. • High-risk and critical vulnerabilities (per the entity’s vulnerability risk rankings defined at Requirement 6.3.1) are resolved. • Rescans are performed that confirm all high-risk and critical vulnerabilities as noted above) have been resolved. • Scan tool is kept up to date with latest vulnerability information. • Scans are performed by qualified personnel and organizational independence of the tester exists. link 7
PCI_DSS_v4.0 5.2.1 PCI_DSS_v4.0_5.2.1 PCI DSS v4.0 5.2.1 Requirement 05: Protect All Systems and Networks from Malicious Software Malicious software (malware) is prevented, or detected and addressed Shared n/a An anti-malware solution(s) is deployed on all system components, except for those system components identified in periodic evaluations per Requirement 5.2.3 that concludes the system components are not at risk from malware. link 12
PCI_DSS_v4.0 5.2.2 PCI_DSS_v4.0_5.2.2 PCI DSS v4.0 5.2.2 Requirement 05: Protect All Systems and Networks from Malicious Software Malicious software (malware) is prevented, or detected and addressed Shared n/a The deployed anti-malware solution(s): • Detects all known types of malware. • Removes, blocks, or contains all known types of malware. link 12
PCI_DSS_v4.0 5.2.3 PCI_DSS_v4.0_5.2.3 PCI DSS v4.0 5.2.3 Requirement 05: Protect All Systems and Networks from Malicious Software Malicious software (malware) is prevented, or detected and addressed Shared n/a Any system components that are not at risk for malware are evaluated periodically to include the following: • A documented list of all system components not at risk for malware. • Identification and evaluation of evolving malware threats for those system components. • Confirmation whether such system components continue to not require anti-malware protection. link 12
PCI_DSS_v4.0 6.3.3 PCI_DSS_v4.0_6.3.3 PCI DSS v4.0 6.3.3 Requirement 06: Develop and Maintain Secure Systems and Software Security vulnerabilities are identified and addressed Shared n/a All system components are protected from known vulnerabilities by installing applicable security patches/updates as follows: • Critical or high-security patches/updates are identified according to the risk ranking process at Requirement 6.3.1. • Critical or high-security patches/updates are installed within one month of release. • All other applicable security patches/updates are installed within an appropriate time frame as determined by the entity (for example, within three months of release). link 5
PCI_DSS_v4.0 6.4.1 PCI_DSS_v4.0_6.4.1 PCI DSS v4.0 6.4.1 Requirement 06: Develop and Maintain Secure Systems and Software Public-facing web applications are protected against attacks Shared n/a For public-facing web applications, new threats and vulnerabilities are addressed on an ongoing basis and these applications are protected against known attacks as follows: • Reviewing public-facing web applications via manual or automated application vulnerability security assessment tools or methods as follows: – At least once every 12 months and after significant changes. – By an entity that specializes in application security. – Including, at a minimum, all common software attacks in Requirement 6.3.6. – All vulnerabilities are ranked in accordance with requirement 6.2.1. – All vulnerabilities are corrected. – The application is re-evaluated after the corrections OR • Installing an automated technical solution(s) that continually detects and prevents web-based attacks as follows: – Installed in front of public-facing web applications to detect and prevent webbased attacks. – Actively running and up to date as applicable. – Generating audit logs. – Configured to either block web-based attacks or generate an alert that is immediately investigated. link 7
RBI_CSF_Banks_v2016 13.2 RBI_CSF_Banks_v2016_13.2 Advanced Real-Timethreat Defenceand Management Advanced Real-Timethreat Defenceand Management-13.2 n/a Implement Anti-malware, Antivirus protection including behavioural detection systems for all categories of devices ???(Endpoints such as PCs/laptops/ mobile devices etc.), servers (operating systems, databases, applications, etc.), Web/Internet gateways, email-gateways, Wireless networks, SMS servers etc. including tools and processes for centralised management and monitoring. 22
RBI_CSF_Banks_v2016 13.4 RBI_CSF_Banks_v2016_13.4 Advanced Real-Timethreat Defenceand Management Advanced Real-Timethreat Defenceand Management-13.4 n/a Consider implementingsecure web gateways with capability to deep scan network packets including secure (HTTPS, etc.) traffic passing through the web/internet gateway 44
RBI_CSF_Banks_v2016 18.1 RBI_CSF_Banks_v2016_18.1 Vulnerability Assessment And Penetration Test And Red Team Exercises Vulnerability Assessment And Penetration Test And Red Team Exercises-18.1 n/a Periodically conduct vulnerability assessment and penetration testing exercises for all the critical systems, particularly those facing the internet. 3
RBI_CSF_Banks_v2016 18.2 RBI_CSF_Banks_v2016_18.2 Vulnerability Assessment And Penetration Test And Red Team Exercises Vulnerability Assessment And Penetration Test And Red Team Exercises-18.2 n/a The vulnerabilities detected are to be remedied promptly in terms of the bank???s risk management/treatment framework so asto avoid exploitation of such vulnerabilities. 4
RBI_CSF_Banks_v2016 20.1 RBI_CSF_Banks_v2016_20.1 Risk Based Transaction Monitoring Risk Based Transaction Monitoring-20.1 n/a Risk based transaction monitoring or surveillance process shall be implemented as part of fraud risk management system across all -delivery channels. 7
RBI_CSF_Banks_v2016 7.1 RBI_CSF_Banks_v2016_7.1 Patch/Vulnerability & Change Management Patch/Vulnerability & Change Management-7.1 n/a Follow a documented risk-based strategy for inventorying IT components that need to be patched, identification of patches and applying patches so as to minimize the number of vulnerable systems and the time window of vulnerability/exposure. 17
RBI_CSF_Banks_v2016 7.2 RBI_CSF_Banks_v2016_7.2 Patch/Vulnerability & Change Management Patch/Vulnerability & Change Management-7.2 n/a Put in place systems and processes to identify, track, manage and monitor the status of patches to operating system and application software running at end-user devices directly connected to the internet and in respect of Server operating Systems/Databases/Applications/ Middleware, etc. 17
RBI_ITF_NBFC_v2017 1 RBI_ITF_NBFC_v2017_1 RBI IT Framework 1 IT Governance IT Governance-1 n/a IT Governance is an integral part of corporate governance. It involves leadership support, organizational structure and processes to ensure that the NBFC???s IT sustains and extends business strategies and objectives. Effective IT Governance is the responsibility of the Board of Directors and Executive Management. Well-defined roles and responsibilities of Board and Senior Management are critical, while implementing IT Governance. Clearly-defined roles enable effective project control. People, when they are aware of others' expectations from them, are able to complete work on time, within budget and to the expected level of quality. IT Governance Stakeholders include: Board of Directors, IT Strategy Committees, CEOs, Business Executives, Chief Information Officers (CIOs), Chief Technology Officers (CTOs), IT Steering Committees (operating at an executive level and focusing on priority setting, resource allocation and project tracking), Chief Risk Officer and Risk Committees. The basic principles of value delivery, IT Risk Management, IT resource management and performance management must form the basis of governance framework. IT Governance has a continuous life-cycle. It's a process in which IT strategy drives the processes, using resources necessary to execute responsibilities. Given the criticality of the IT, NBFCs may follow relevant aspects of such prudential governance standards that have found acceptability in the finance industry. link 20
RBI_ITF_NBFC_v2017 3.3 RBI_ITF_NBFC_v2017_3.3 RBI IT Framework 3.3 Information and Cyber Security Vulnerability Management-3.3 n/a A vulnerability can be defined as an inherent configuration flaw in an organization???s information technology base, whether hardware or software, which can be exploited by a third party to gather sensitive information regarding the organization. Vulnerability management is an ongoing process to determine the process of eliminating or mitigating vulnerabilities based upon the risk and cost associated with the vulnerabilities. NBFCs may devise a strategy for managing and eliminating vulnerabilities and such strategy may clearly be communicated in the Cyber Security policy link 19
RBI_ITF_NBFC_v2017 4.4a RBI_ITF_NBFC_v2017_4.4a RBI IT Framework 4.4.a IT Operations IT Operations-4.4 n/a NBFCs may put in place MIS that assist the Top Management as well as the business heads in decision making and also to maintain an oversight over operations of various business verticals. With robust IT systems in place, NBFCs may have the following as part of an effective system generated MIS (indicative list) A dashboard for the Top Management summarising financial position vis-??-vis targets. It may include information on trend on returns on assets across categories, major growth business segments, movement of net-worth etc. System enabled identification and classification of Special Mention Accounts and NPA as well as generation of MIS reports in this regard. The MIS should facilitate pricing of products, especially large ticket loans. The MIS should capture regulatory requirements and their compliance. Financial Reports including operating and non-operating revenues and expenses, cost benefit analysis of segments/verticals, cost of funds, etc. (also regulatory compliance at transaction level) Reports relating to treasury operations. Fraud analysis- Suspicious transaction analysis, embezzlement, theft or suspected money-laundering, misappropriation of assets, manipulation of financial records etc. The regulatory requirement of reporting fraud to RBI should be system driven. Capacity and performance analysis of IT security systems Incident reporting, their impact and steps taken for non -recurrence of such events in the future. link 3
RBI_ITF_NBFC_v2017 4.4b RBI_ITF_NBFC_v2017_4.4b RBI IT Framework 4.4.b IT Operations MIS For Top Management-4.4 n/a NBFCs may put in place MIS that assist the Top Management as well as the business heads in decision making and also to maintain an oversight over operations of various business verticals. With robust IT systems in place, NBFCs may have the following as part of an effective system generated MIS (indicative list) A dashboard for the Top Management summarising financial position vis-??-vis targets. It may include information on trend on returns on assets across categories, major growth business segments, movement of net-worth etc. System enabled identification and classification of Special Mention Accounts and NPA as well as generation of MIS reports in this regard. The MIS should facilitate pricing of products, especially large ticket loans. The MIS should capture regulatory requirements and their compliance. Financial Reports including operating and non-operating revenues and expenses, cost benefit analysis of segments/verticals, cost of funds, etc. (also regulatory compliance at transaction level) Reports relating to treasury operations. Fraud analysis- Suspicious transaction analysis, embezzlement, theft or suspected money-laundering, misappropriation of assets, manipulation of financial records etc. The regulatory requirement of reporting fraud to RBI should be system driven. Capacity and performance analysis of IT security systems Incident reporting, their impact and steps taken for non -recurrence of such events in the future. link 3
RMiT_v1.0 11.8 RMiT_v1.0_11.8 RMiT 11.8 Cybersecurity Operations Cybersecurity Operations - 11.8 Shared n/a A financial institution must ensure that its cybersecurity operations continuously prevent and detect any potential compromise of its security controls or weakening of its security posture. For large financial institutions, this must include performing a quarterly vulnerability assessment of external and internal network components that support all critical systems. link 4
SOC_2 CC3.2 SOC_2_CC3.2 SOC 2 Type 2 CC3.2 Risk Assessment COSO Principle 7 Shared The customer is responsible for implementing this recommendation. Points of focus specified in the COSO framework: • Includes Entity, Subsidiary, Division, Operating Unit, and Functional Levels — The entity identifies and assesses risk at the entity, subsidiary, division, operating unit, and functional levels relevant to the achievement of objectives. • Analyzes Internal and External Factors — Risk identification considers both internal and external factors and their impact on the achievement of objectives. • Involves Appropriate Levels of Management — The entity puts into place effective risk assessment mechanisms that involve appropriate levels of management. • Estimates Significance of Risks Identified — Identified risks are analyzed through a process that includes estimating the potential significance of the risk. • Determines How to Respond to Risks — Risk assessment includes considering how the risk should be managed and whether to accept, avoid, reduce, or share the risk. Additional points of focus specifically related to all engagements using the trust services criteria: • Identifies and Assesses Criticality of Information Assets and Identifies Threats and Vulnerabilities — The entity's risk identification and assessment process includes (1) identifying information assets, including physical devices and systems, virtual devices, software, data and data flows, external information systems, and organizational roles; (2) assessing the criticality of those information assets; (3) identifying the threats to the assets from intentional (including malicious) and unintentional acts and environmental events; and (4) identifying the vulnerabilities of the identified assets. • Analyzes Threats and Vulnerabilities From Vendors, Business Partners, and Other Parties — The entity's risk assessment process includes the analysis of potential threats and vulnerabilities arising from vendors providing goods and services, as well as threats and vulnerabilities arising from business partners, customers, and others with access to the entity's information systems. • Considers the Significance of the Risk — The entity’s consideration of the potential significance of the identified risks includes (1) determining the criticality of identified assets in meeting objectives; (2) assessing the impact of identified threats and vulnerabilities in meeting objectives; (3) assessing the likelihood of identified threats; and (4) determining the risk associated with assets based on asset criticality, threat impact, and likelihood. 11
SOC_2 CC7.1 SOC_2_CC7.1 SOC 2 Type 2 CC7.1 System Operations Detection and monitoring of new vulnerabilities Shared The customer is responsible for implementing this recommendation. • Uses Defined Configuration Standards — Management has defined configuration standards. • Monitors Infrastructure and Software — The entity monitors infrastructure and software for noncompliance with the standards, which could threaten the achievement of the entity's objectives. • Implements Change-Detection Mechanisms — The IT system includes a changedetection mechanism (for example, file integrity monitoring tools) to alert personnel to unauthorized modifications of critical system files, configuration files, or content files. • Detects Unknown or Unauthorized Components — Procedures are in place to detect the introduction of unknown or unauthorized components. • Conducts Vulnerability Scans — The entity conducts vulnerability scans designed to identify potential vulnerabilities or misconfigurations on a periodic basis and after any significant change in the environment and takes action to remediate identified deficiencies on a timely basis 17
SWIFT_CSCF_v2022 2.7 SWIFT_CSCF_v2022_2.7 SWIFT CSCF v2022 2.7 2. Reduce Attack Surface and Vulnerabilities Identify known vulnerabilities within the local SWIFT environment by implementing a regular vulnerability scanning process and act upon results. Shared n/a Secure zone (including dedicated operator PC) systems are scanned for vulnerabilities using an up-to-date, reputable scanning tool and results are considered for appropriate resolving actions. link 16
UK_NCSC_CSP 5.2 UK_NCSC_CSP_5.2 UK NCSC CSP 5.2 Operational security Vulnerability management Shared n/a Service providers should have a management processes in place to identify, triage and mitigate vulnerabilities. Services which don’t, will quickly become vulnerable to attack using publicly known methods and tools. link 11
History
Date/Time (UTC ymd) (i) Change type Change detail
2021-01-27 16:54:46 change Major (2.0.0 > 3.0.0)
2020-09-02 14:03:46 change Previous DisplayName: Vulnerability assessment should be enabled on virtual machines
2020-07-14 15:28:17 change Previous DisplayName: [Preview] Vulnerability Assessment should be enabled on Virtual Machines
Initiatives
usage
Initiative DisplayName Initiative Id Initiative Category State Type
[Deprecated]: Azure Security Benchmark v1 42a694ed-f65e-42b2-aa9e-8052e9740a92 Regulatory Compliance Deprecated BuiltIn
[Deprecated]: Azure Security Benchmark v2 bb522ac1-bc39-4957-b194-429bcd3bcb0b Regulatory Compliance Deprecated BuiltIn
[Deprecated]: DoD Impact Level 4 8d792a84-723c-4d92-a3c3-e4ed16a2d133 Regulatory Compliance Deprecated BuiltIn
[Preview]: Australian Government ISM PROTECTED 27272c0b-c225-4cc3-b8b0-f2534b093077 Regulatory Compliance Preview BuiltIn
[Preview]: CMMC 2.0 Level 2 4e50fd13-098b-3206-61d6-d1d78205cb45 Regulatory Compliance Preview BuiltIn
[Preview]: Motion Picture Association of America (MPAA) 92646f03-e39d-47a9-9e24-58d60ef49af8 Regulatory Compliance Preview BuiltIn
[Preview]: Reserve Bank of India - IT Framework for Banks d0d5578d-cc08-2b22-31e3-f525374f235a Regulatory Compliance Preview BuiltIn
[Preview]: Reserve Bank of India - IT Framework for NBFC 7f89f09c-48c1-f28d-1bd5-84f3fb22f86c Regulatory Compliance Preview BuiltIn
Azure Security Benchmark 1f3afdf9-d0c9-4c3d-847f-89da613e70a8 Security Center GA BuiltIn
Canada Federal PBMM 4c4a5f27-de81-430b-b4e5-9cbd50595a87 Regulatory Compliance GA BuiltIn
CIS Microsoft Azure Foundations Benchmark v1.1.0 1a5bb27d-173f-493e-9568-eb56638dde4d Regulatory Compliance GA BuiltIn
CMMC Level 3 b5629c75-5c77-4422-87b9-2509e680f8de Regulatory Compliance GA BuiltIn
FedRAMP High d5264498-16f4-418a-b659-fa7ef418175f Regulatory Compliance GA BuiltIn
FedRAMP Moderate e95f5a9f-57ad-4d03-bb0b-b1d16db93693 Regulatory Compliance GA BuiltIn
HITRUST/HIPAA a169a624-5599-4385-a696-c8d643089fab Regulatory Compliance GA BuiltIn
IRS1075 September 2016 105e0327-6175-4eb2-9af4-1fba43bdb39d Regulatory Compliance GA BuiltIn
ISO 27001:2013 89c6cddc-1c73-4ac1-b19c-54d1a15a42f2 Regulatory Compliance GA BuiltIn
New Zealand ISM Restricted d1a462af-7e6d-4901-98ac-61570b4ed22a Regulatory Compliance GA BuiltIn
New Zealand ISM Restricted v3.5 93d2179e-3068-c82f-2428-d614ae836a04 Regulatory Compliance GA BuiltIn
NIST SP 800-171 Rev. 2 03055927-78bd-4236-86c0-f36125a10dc9 Regulatory Compliance GA BuiltIn
NIST SP 800-53 Rev. 4 cf25b9c1-bd23-4eb6-bd2c-f4f3ac644a5f Regulatory Compliance GA BuiltIn
NIST SP 800-53 Rev. 5 179d1daa-458f-4e47-8086-2a68d0d6c38f Regulatory Compliance GA BuiltIn
PCI DSS v4 c676748e-3af9-4e22-bc28-50feed564afb Regulatory Compliance GA BuiltIn
PCI v3.2.1:2018 496eeda9-8f2f-4d5e-8dfd-204f0a92ed41 Regulatory Compliance GA BuiltIn
RMIT Malaysia 97a6d4f1-3bed-4cf4-ac5b-0e444c0408d6 Regulatory Compliance GA BuiltIn
SOC 2 Type 2 4054785f-702b-4a98-9215-009cbd58b141 Regulatory Compliance GA BuiltIn
SWIFT CSP-CSCF v2022 7bc7cd6c-4114-ff31-3cac-59be3157596d Regulatory Compliance GA BuiltIn
UK OFFICIAL and UK NHS 3937f550-eedd-4639-9c5e-294358be442e Regulatory Compliance GA BuiltIn
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