Az Policy Advertizer

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.

100

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.

102

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.

100

18.4

CIS_Controls_v8.1_18.4

CIS Controls v8.1 18.4

Penetration Testing

Validate security measures

Shared

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

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

3.3

CIS_Controls_v8.1_3.3

CIS Controls v8.1 3.3

Data Protection

Configure data access control lists

Shared

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

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

5.1

CIS_Controls_v8.1_5.1

CIS Controls v8.1 5.1

Account Management

Establish and maintain an inventory of accounts

Shared

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

To ensure accurate tracking and management of accounts.

6.8

CIS_Controls_v8.1_6.8

CIS Controls v8.1 6.8

Access Control Management

Define and maintain role-based access control.

Shared

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

To implement a system of role-based access control.

8.11

CIS_Controls_v8.1_8.11

CIS Controls v8.1 8.11

Audit Log Management

Conduct audit log reviews

Shared

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

To ensure the integrity of the data in audit logs.

CMMC_L2_v1.9.0_AC.L1_3.1.1

AC.L1_3.1.1

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

Access Control

Authorized Access Control

Shared

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

To ensure security and integrity.

CMMC_L2_v1.9.0_AC.L2_3.1.3

AC.L2_3.1.3

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

Access Control

Control CUI Flow

Shared

Control the flow of CUI in accordance with approved authorizations.

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

CMMC_L2_v1.9.0_AC.L2_3.1.5

AC.L2_3.1.5

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

Access Control

Least Privilege

Shared

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

To restrict information system access.

CMMC_L2_v1.9.0_CM.L2_3.4.5

CM.L2_3.4.5

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 CM.L2 3.4.5

Configuration Management

Access Restrictions for Change

Shared

Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.

To ensure only authorized individuals have access to make changes and that proper controls are in place to safeguard system integrity and security.

DCS_02

CSA_v4.0.12_DCS_02

CSA Cloud Controls Matrix v4.0.12 DCS 02

Datacenter Security

Off-Site Transfer Authorization Policy and Procedures

Shared

n/a

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

DSP_05

CSA_v4.0.12_DSP_05

CSA Cloud Controls Matrix v4.0.12 DSP 05

Data Security and Privacy Lifecycle Management

Data Flow Documentation

Shared

n/a

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

IAM_02

CSA_v4.0.12_IAM_02

CSA Cloud Controls Matrix v4.0.12 IAM 02

Identity & Access Management

Strong Password Policy and Procedures

Shared

n/a

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

IAM_04

CSA_v4.0.12_IAM_04

CSA Cloud Controls Matrix v4.0.12 IAM 04

Identity & Access Management

Separation of Duties

Shared

n/a

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

IAM_05

CSA_v4.0.12_IAM_05

CSA Cloud Controls Matrix v4.0.12 IAM 05

Identity & Access Management

Least Privilege

Shared

n/a

Employ the least privilege principle when implementing information system access.

IAM_06

CSA_v4.0.12_IAM_06

CSA Cloud Controls Matrix v4.0.12 IAM 06

Identity & Access Management

User Access Provisioning

Shared

n/a

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

IAM_07

CSA_v4.0.12_IAM_07

CSA Cloud Controls Matrix v4.0.12 IAM 07

Identity & Access Management

User Access Changes and Revocation

Shared

n/a

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

IAM_10

CSA_v4.0.12_IAM_10

CSA Cloud Controls Matrix v4.0.12 IAM 10

Identity & Access Management

Management of Privileged Access Roles

Shared

n/a

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

IAM_13

CSA_v4.0.12_IAM_13

CSA Cloud Controls Matrix v4.0.12 IAM 13

Identity & Access Management

Uniquely Identifiable Users

Shared

n/a

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

IAM_16

CSA_v4.0.12_IAM_16

CSA Cloud Controls Matrix v4.0.12 IAM 16

Identity & Access Management

Authorization Mechanisms

Shared

n/a

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

Cyber_Essentials_v3.1

Cyber_Essentials_v3.1_2

Cyber Essentials v3.1 2

Cyber Essentials

Secure Configuration

Shared

n/a

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

Cyber_Essentials_v3.1

Cyber_Essentials_v3.1_4

Cyber Essentials v3.1 4

Cyber Essentials

User Access Control

Shared

n/a

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

Cyber_Essentials_v3.1

Cyber_Essentials_v3.1_5

Cyber Essentials v3.1 5

Cyber Essentials

Malware protection

Shared

n/a

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

EU_2555_(NIS2)_2022

EU_2555_(NIS2)_2022_21

EU 2022/2555 (NIS2) 2022 21

Cybersecurity risk-management measures

Shared

n/a

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

194

EU_GDPR_2016_679_Art._24

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

Chapter 4 - Controller and processor

Responsibility of the controller

Shared

n/a

311

EU_GDPR_2016_679_Art._25

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

Chapter 4 - Controller and processor

Data protection by design and by default

Shared

n/a

311

EU_GDPR_2016_679_Art._28

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

Chapter 4 - Controller and processor

Processor

Shared

n/a

311

FBI_Criminal_Justice_Information_Services_v5.9.5_5

EU_GDPR_2016_679_Art._32

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

Chapter 4 - Controller and processor

Security of processing

Shared

n/a

311

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.

HITRUST_CSF_v11.3

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.

HITRUST_CSF_v11.3

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.

114

HITRUST_CSF_v11.3

09.w

HITRUST_CSF_v11.3_09.w

HITRUST CSF v11.3 09.w

Exchange of Information

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

Shared

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

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

ISO_IEC_27002_2022

5.14

ISO_IEC_27002_2022_5.14

ISO IEC 27002 2022 5.14

Protection, Preventive Control

Information transfer

Shared

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

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

ISO_IEC_27002_2022

8.2

ISO_IEC_27002_2022_8.2

ISO IEC 27002 2022 8.2

Protection, Preventive, Control

Privileged access rights

Shared

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

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

ISO_IEC_27017_2015

12.4.3

ISO_IEC_27017_2015_12.4.3

ISO IEC 27017 2015 12.4.3

Operations Security

Administrator and Operation Logs

Shared

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

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

New_Zealand_ISM

18.4.8.C.01

New_Zealand_ISM_18.4.8.C.01

18. Network security

18.4.8.C.01 IDS/IPSs on gateways

n/a

Agencies SHOULD deploy IDS/IPSs in all gateways between the agency’s networks and unsecure public networks or BYOD wireless networks.

NIST_CSF_v2.0

PR.AA_05

NIST_CSF_v2.0_PR.AA_05

NIST CSF v2.0 PR.AA 05

PROTECT- Identity Management, Authentication, and Access

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

Shared

n/a

To implement safeguards for managing organization’s cybersecurity risks.

.1.2

NIST_SP_800-171_R3_3.1.2

NIST 800-171 R3 3.1.2

Access Control

Access Enforcement

Shared

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

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

.1.3

NIST_SP_800-171_R3_3.1.3

NIST 800-171 R3 3.1.3

Access Control

Information Flow Enforcement

Shared

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

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

NIST_SP_800-171_R3_3.12.5

.12.5

NIST 800-171 R3 3.12.5

Security Assessment Control

Information Exchange

Shared

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

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

.4.5

NIST_SP_800-171_R3_3.4.5

404 not found

n/a

.5.5

NIST_SP_800-171_R3_3.5.5

404 not found

n/a

NIST_SP_800-53_R5.1.1_AC.3

AC.3

NIST SP 800-53 R5.1.1 AC.3

Access Control

Access Enforcement

Shared

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

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

NIST_SP_800-53_R5.1.1_AC.4

AC.4

NIST SP 800-53 R5.1.1 AC.4

Access Control

Information Flow Enforcement

Shared

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

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

NIST_SP_800-53_R5.1.1_AC.6

AC.6

NIST SP 800-53 R5.1.1 AC.6

Access Control

Least Privilege

Shared

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

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

NIST_SP_800-53_R5.1.1_CM.5

CM.5

NIST SP 800-53 R5.1.1 CM.5

Configuration Management Control

Access Restrictions for Change

Shared

Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.

Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system can potentially have significant effects on the security of the systems or individuals’ privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see AC-3 and PE-3), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).

NZ_ISM_v3.5

GS-2

NZ_ISM_v3.5_GS-2

NZISM Security Benchmark GS-2

Gateway security

19.1.11 Using Gateways

Customer

n/a

Physically locating all gateway components inside a secure server room will reduce the risk of unauthorised access to the device(s). The system owner of the higher security domain of connected security domains would be most familiar with the controls required to protect the more sensitive information and as such is best placed to manage any shared components of gateways. In some cases where multiple security domains from different agencies are connected to a gateway, it may be more appropriate to have a qualified third party manage the gateway on behalf of all connected agencies. Gateway components may also reside in a virtual environment ??? refer to Section 22.2 ??? Virtualisation and Section 22.3 ??? Virtual Local Area Networks

link

NZISM_Security_Benchmark_v1.1

GS-2

NZISM_Security_Benchmark_v1.1_GS-2

NZISM Security Benchmark GS-2

Gateway security

19.1.11 Using Gateways

Customer

Agencies MUST ensure that: all agency networks are protected from networks in other security domains by one or more gateways; all gateways contain mechanisms to filter or limit data flow at the network and content level to only the information necessary for business purposes; and all gateway components, discrete and virtual, are physically located within an appropriately secured server room.

Physically locating all gateway components inside a secure server room will reduce the risk of unauthorised access to the device(s). The system owner of the higher security domain of connected security domains would be most familiar with the controls required to protect the more sensitive information and as such is best placed to manage any shared components of gateways. In some cases where multiple security domains from different agencies are connected to a gateway, it may be more appropriate to have a qualified third party manage the gateway on behalf of all connected agencies. Gateway components may also reside in a virtual environment – refer to Section 22.2 – Virtualisation and Section 22.3 – Virtual Local Area Networks

link

14.1.10.C.01.

NZISM_v3.7_14.1.10.C.01.

NZISM v3.7 14.1.10.C.01.

Standard Operating Environments

14.1.10.C.01. - reduce potential vulnerabilities.

Shared

n/a

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

14.1.10.C.02.

NZISM_v3.7_14.1.10.C.02.

NZISM v3.7 14.1.10.C.02.

Standard Operating Environments

14.1.10.C.02. - reduce potential vulnerabilities.

Shared

n/a

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

14.3.12.C.01.

NZISM_v3.7_14.3.12.C.01.

NZISM v3.7 14.3.12.C.01.

Web Applications

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

Shared

n/a

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

16.1.33.C.01.

NZISM_v3.7_16.1.33.C.01.

NZISM v3.7 16.1.33.C.01.

Identification, Authentication and Passwords

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

Shared

n/a

Agencies MUST NOT use shared credentials to access accounts.

16.1.33.C.02.

NZISM_v3.7_16.1.33.C.02.

NZISM v3.7 16.1.33.C.02.

Identification, Authentication and Passwords

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

Shared

n/a

Agencies SHOULD NOT use shared credentials to access accounts.

16.1.34.C.01.

NZISM_v3.7_16.1.34.C.01.

NZISM v3.7 16.1.34.C.01.

Identification, Authentication and Passwords

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

Shared

n/a

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

16.1.35.C.02.

NZISM_v3.7_16.1.35.C.02.

NZISM v3.7 16.1.35.C.02.

Identification, Authentication and Passwords

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

Shared

n/a

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

16.1.47.C.01.

NZISM_v3.7_16.1.47.C.01.

NZISM v3.7 16.1.47.C.01.

Identification, Authentication and Passwords

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

Shared

n/a

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

17.5.7.C.01.

NZISM_v3.7_17.5.7.C.01.

NZISM v3.7 17.5.7.C.01.

Secure Shell

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

Shared

n/a

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

17.5.7.C.02.

NZISM_v3.7_17.5.7.C.02.

NZISM v3.7 17.5.7.C.02.

Secure Shell

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

Shared

n/a

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

20.4.4.C.01.

NZISM_v3.7_20.4.4.C.01.

NZISM v3.7 20.4.4.C.01.

Databases

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

Shared

n/a

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

20.4.4.C.02.

NZISM_v3.7_20.4.4.C.02.

NZISM v3.7 20.4.4.C.02.

Databases

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

Shared

n/a

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

20.4.5.C.01.

NZISM_v3.7_20.4.5.C.01.

NZISM v3.7 20.4.5.C.01.

Databases

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

Shared

n/a

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

20.4.5.C.02.

NZISM_v3.7_20.4.5.C.02.

NZISM v3.7 20.4.5.C.02.

Databases

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

Shared

n/a

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

20.4.6.C.01.

NZISM_v3.7_20.4.6.C.01.

NZISM v3.7 20.4.6.C.01.

Databases

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

Shared

n/a

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

20.4.6.C.02.

NZISM_v3.7_20.4.6.C.02.

NZISM v3.7 20.4.6.C.02.

Databases

20.4.6.C.02. - enhance data security.

Shared

n/a

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

7.2.1

PCI_DSS_v4.0.1_7.2.1

PCI DSS v4.0.1 7.2.1

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

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

Shared

n/a

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

7.2.2

PCI_DSS_v4.0.1_7.2.2

PCI DSS v4.0.1 7.2.2

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

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

Shared

n/a

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

7.2.3

PCI_DSS_v4.0.1_7.2.3

PCI DSS v4.0.1 7.2.3

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

Required privileges are approved by authorized personnel

Shared

n/a

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

7.2.4

PCI_DSS_v4.0.1_7.2.4

PCI DSS v4.0.1 7.2.4

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

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

Shared

n/a

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

7.2.5

PCI_DSS_v4.0.1_7.2.5

PCI DSS v4.0.1 7.2.5

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

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

Shared

n/a

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

7.2.5.1

PCI_DSS_v4.0.1_7.2.5.1

PCI DSS v4.0.1 7.2.5.1

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

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

Shared

n/a

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

7.2.6

PCI_DSS_v4.0.1_7.2.6

PCI DSS v4.0.1 7.2.6

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

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

Shared

n/a

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

Sarbanes_Oxley_Act_(1)_2022_1

7.3.1

PCI_DSS_v4.0.1_7.3.1

PCI DSS v4.0.1 7.3.1

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

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

Shared

n/a

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

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.

111

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.

218

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.

229

CC6.1

SOC_2023_CC6.1

SOC 2023 CC6.1

Logical and Physical Access Controls

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

Shared

n/a

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

128

CC6.2

SOC_2023_CC6.2

SOC 2023 CC6.2

Logical and Physical Access Controls

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

Shared

n/a

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

CC6.3

SOC_2023_CC6.3

404 not found

n/a

CC6.7

SOC_2023_CC6.7

404 not found

n/a

CC7.2

SOC_2023_CC7.2

SOC 2023 CC7.2

Systems Operations

Maintain robust security measures and ensure operational resilience.

Shared

n/a

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

167

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.

213

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.

147