compliance controls are associated with this Policy definition 'Review account provisioning logs' (a830fe9e-08c9-a4fb-420c-6f6bf1702395)
| Control Domain |
Control |
Name |
MetadataId |
Category |
Title |
Owner |
Requirements |
Description |
Info |
Policy# |
| CIS_Azure_1.1.0 |
1.3 |
CIS_Azure_1.1.0_1.3 |
CIS Microsoft Azure Foundations Benchmark recommendation 1.3 |
1 Identity and Access Management |
Ensure that there are no guest users |
Shared |
The customer is responsible for implementing this recommendation. |
Do not add guest users if not needed. |
link |
8 |
| CIS_Azure_1.3.0 |
1.3 |
CIS_Azure_1.3.0_1.3 |
CIS Microsoft Azure Foundations Benchmark recommendation 1.3 |
1 Identity and Access Management |
Ensure guest users are reviewed on a monthly basis |
Shared |
The customer is responsible for implementing this recommendation. |
Azure AD is extended to include Azure AD B2B collaboration, allowing you to invite people from outside your organization to be guest users in your cloud account and sign in with their own work, school, or social identities. Guest users allow you to share your company's applications and services with users from any other organization, while maintaining control over your own corporate data.
Work with external partners, large or small, even if they don't have Azure AD or an IT department. A simple invitation and redemption process lets partners use their own credentials to access your company's resources a a guest user. |
link |
8 |
| CIS_Azure_1.4.0 |
1.3 |
CIS_Azure_1.4.0_1.3 |
CIS Microsoft Azure Foundations Benchmark recommendation 1.3 |
1 Identity and Access Management |
Ensure guest users are reviewed on a monthly basis |
Shared |
The customer is responsible for implementing this recommendation. |
Azure AD is extended to include Azure AD B2B collaboration, allowing you to invite people from outside your organization to be guest users in your cloud account and sign in with their own work, school, or social identities. Guest users allow you to share your company's applications and services with users from any other organization, while maintaining control over your own corporate data.
Work with external partners, large or small, even if they don't have Azure AD or an IT department. A simple invitation and redemption process lets partners use their own credentials to access your company's resources a a guest user. |
link |
8 |
| CIS_Azure_2.0.0 |
1.5 |
CIS_Azure_2.0.0_1.5 |
CIS Microsoft Azure Foundations Benchmark recommendation 1.5 |
1 |
Ensure Guest Users Are Reviewed on a Regular Basis |
Shared |
Before removing guest users, determine their use and scope. Like removing any user, there may be unforeseen consequences to systems if it is deleted. |
Azure AD is extended to include Azure AD B2B collaboration, allowing you to invite people from outside your organization to be guest users in your cloud account and sign in with their own work, school, or social identities. Guest users allow you to share your company's applications and services with users from any other organization, while maintaining control over your own corporate data.
Work with external partners, large or small, even if they don't have Azure AD or an IT department. A simple invitation and redemption process lets partners use their own credentials to access your company's resources as a guest user.
Guest users in every subscription should be review on a regular basis to ensure that inactive and unneeded accounts are removed.
Guest users in the Azure AD are generally required for collaboration purposes in Office 365, and may also be required for Azure functions in enterprises with multiple Azure tenants. Guest users are typically added outside your employee on-boarding/off-boarding process and could potentially be overlooked indefinitely, leading to a potential vulnerability. To prevent this, guest users should be reviewed on a regular basis. During this audit, guest users should also be determined to not have administrative privileges. |
link |
8 |
| FedRAMP_High_R4 |
AC-2 |
FedRAMP_High_R4_AC-2 |
FedRAMP High AC-2 |
Access Control |
Account Management |
Shared |
n/a |
The organization:
a. Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
b. Assigns account managers for information system accounts;
c. Establishes conditions for group and role membership;
d. Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
e. Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
f. Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
g. Monitors the use of, information system accounts;
h. Notifies account managers:
1. When accounts are no longer required;
2. When users are terminated or transferred; and
3. When individual information system usage or need-to-know changes;
i. Authorizes access to the information system based on:
1. A valid access authorization;
2. Intended system usage; and
3. Other attributes as required by the organization or associated missions/business functions;
j. Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
k. Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
Supplemental Guidance: Information system account types include individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-2, IA-4, IA-5, IA-8, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PL-4, SC-13.
References: None. |
link |
25 |
| FedRAMP_High_R4 |
AU-6 |
FedRAMP_High_R4_AU-6 |
FedRAMP High AU-6 |
Audit And Accountability |
Audit Review, Analysis, And Reporting |
Shared |
n/a |
The organization:
a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and
b. Reports findings to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7.
References: None. |
link |
25 |
| FedRAMP_High_R4 |
AU-6(1) |
FedRAMP_High_R4_AU-6(1) |
FedRAMP High AU-6 (1) |
Audit And Accountability |
Process Integration |
Shared |
n/a |
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
Supplemental Guidance: Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits. Related controls: AU-12, PM-7. |
link |
11 |
| FedRAMP_High_R4 |
RA-5(8) |
FedRAMP_High_R4_RA-5(8) |
FedRAMP High RA-5 (8) |
Risk Assessment |
Review Historic Audit Logs |
Shared |
n/a |
The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
Supplemental Guidance: Related control: AU-6. |
link |
15 |
| FedRAMP_Moderate_R4 |
AC-2 |
FedRAMP_Moderate_R4_AC-2 |
FedRAMP Moderate AC-2 |
Access Control |
Account Management |
Shared |
n/a |
The organization:
a. Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
b. Assigns account managers for information system accounts;
c. Establishes conditions for group and role membership;
d. Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
e. Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
f. Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
g. Monitors the use of, information system accounts;
h. Notifies account managers:
1. When accounts are no longer required;
2. When users are terminated or transferred; and
3. When individual information system usage or need-to-know changes;
i. Authorizes access to the information system based on:
1. A valid access authorization;
2. Intended system usage; and
3. Other attributes as required by the organization or associated missions/business functions;
j. Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
k. Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
Supplemental Guidance: Information system account types include individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-2, IA-4, IA-5, IA-8, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PL-4, SC-13.
References: None. |
link |
25 |
| FedRAMP_Moderate_R4 |
AU-6 |
FedRAMP_Moderate_R4_AU-6 |
FedRAMP Moderate AU-6 |
Audit And Accountability |
Audit Review, Analysis, And Reporting |
Shared |
n/a |
The organization:
a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and
b. Reports findings to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7.
References: None. |
link |
25 |
| FedRAMP_Moderate_R4 |
AU-6(1) |
FedRAMP_Moderate_R4_AU-6(1) |
FedRAMP Moderate AU-6 (1) |
Audit And Accountability |
Process Integration |
Shared |
n/a |
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
Supplemental Guidance: Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits. Related controls: AU-12, PM-7. |
link |
11 |
| FedRAMP_Moderate_R4 |
RA-5(8) |
FedRAMP_Moderate_R4_RA-5(8) |
FedRAMP Moderate RA-5 (8) |
Risk Assessment |
Review Historic Audit Logs |
Shared |
n/a |
The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
Supplemental Guidance: Related control: AU-6. |
link |
15 |
| hipaa |
0202.09j1Organizational.3-09.j |
hipaa-0202.09j1Organizational.3-09.j |
0202.09j1Organizational.3-09.j |
02 Endpoint Protection |
0202.09j1Organizational.3-09.j 09.04 Protection Against Malicious and Mobile Code |
Shared |
n/a |
Audit logs of the scans are maintained. |
|
15 |
| hipaa |
0216.09j2Organizational.9-09.j |
hipaa-0216.09j2Organizational.9-09.j |
0216.09j2Organizational.9-09.j |
02 Endpoint Protection |
0216.09j2Organizational.9-09.j 09.04 Protection Against Malicious and Mobile Code |
Shared |
n/a |
For systems considered not commonly affected by malicious software, the organization performs periodic assessments to identify and evaluate evolving malware threats to confirm whether such systems continue to not require anti-virus software. |
|
13 |
| hipaa |
0217.09j2Organizational.10-09.j |
hipaa-0217.09j2Organizational.10-09.j |
0217.09j2Organizational.10-09.j |
02 Endpoint Protection |
0217.09j2Organizational.10-09.j 09.04 Protection Against Malicious and Mobile Code |
Shared |
n/a |
The organization configures malicious code and spam protection mechanisms to (i) perform periodic scans of the information system according to organization guidelines; (ii) perform real-time scans of files from external sources at endpoints and network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy; and, (iii) block malicious code, quarantine malicious code, or send an alert to the administrator in response to malicious code detection. |
|
25 |
| hipaa |
0644.10k3Organizational.4-10.k |
hipaa-0644.10k3Organizational.4-10.k |
0644.10k3Organizational.4-10.k |
06 Configuration Management |
0644.10k3Organizational.4-10.k 10.05 Security In Development and Support Processes |
Shared |
n/a |
The organization employs automated mechanisms to (i) centrally manage, apply, and verify configuration settings; (ii) respond to unauthorized changes to network and system security-related configuration settings; and, (iii) enforce access restrictions and auditing of the enforcement actions. |
|
20 |
| hipaa |
0714.10m2Organizational.7-10.m |
hipaa-0714.10m2Organizational.7-10.m |
0714.10m2Organizational.7-10.m |
07 Vulnerability Management |
0714.10m2Organizational.7-10.m 10.06 Technical Vulnerability Management |
Shared |
n/a |
The technical vulnerability management program is evaluated on a quarterly basis. |
|
20 |
| hipaa |
0790.10m3Organizational.22-10.m |
hipaa-0790.10m3Organizational.22-10.m |
0790.10m3Organizational.22-10.m |
07 Vulnerability Management |
0790.10m3Organizational.22-10.m 10.06 Technical Vulnerability Management |
Shared |
n/a |
The organization reviews historic audit logs to determine if high vulnerability scan findings identified in the information system have been previously exploited. |
|
17 |
| hipaa |
1106.01b1System.1-01.b |
hipaa-1106.01b1System.1-01.b |
1106.01b1System.1-01.b |
11 Access Control |
1106.01b1System.1-01.b 01.02 Authorized Access to Information Systems |
Shared |
n/a |
User identities are verified prior to establishing accounts. |
|
10 |
| hipaa |
11220.01b1System.10-01.b |
hipaa-11220.01b1System.10-01.b |
11220.01b1System.10-01.b |
11 Access Control |
11220.01b1System.10-01.b 01.02 Authorized Access to Information Systems |
Shared |
n/a |
User registration and de-registration formally address establishing, activating, modifying, reviewing, disabling and removing accounts. |
|
26 |
| hipaa |
1166.01e1System.12-01.e |
hipaa-1166.01e1System.12-01.e |
1166.01e1System.12-01.e |
11 Access Control |
1166.01e1System.12-01.e 01.02 Authorized Access to Information Systems |
Shared |
n/a |
User access rights are reviewed after any changes and reallocated as necessary. |
|
8 |
| hipaa |
12101.09ab1Organizational.3-09.ab |
hipaa-12101.09ab1Organizational.3-09.ab |
12101.09ab1Organizational.3-09.ab |
12 Audit Logging & Monitoring |
12101.09ab1Organizational.3-09.ab 09.10 Monitoring |
Shared |
n/a |
The organization specifies 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. |
|
18 |
| hipaa |
12103.09ab1Organizational.5-09.ab |
hipaa-12103.09ab1Organizational.5-09.ab |
12103.09ab1Organizational.5-09.ab |
12 Audit Logging & Monitoring |
12103.09ab1Organizational.5-09.ab 09.10 Monitoring |
Shared |
n/a |
Information collected from multiple sources is aggregated for review. |
|
11 |
| hipaa |
1216.09ab3System.12-09.ab |
hipaa-1216.09ab3System.12-09.ab |
1216.09ab3System.12-09.ab |
12 Audit Logging & Monitoring |
1216.09ab3System.12-09.ab 09.10 Monitoring |
Shared |
n/a |
Automated systems are used to review monitoring activities of security systems (e.g., IPS/IDS) and system records on a daily basis, and identify and document anomalies. |
|
20 |
| hipaa |
1270.09ad1System.12-09.ad |
hipaa-1270.09ad1System.12-09.ad |
1270.09ad1System.12-09.ad |
12 Audit Logging & Monitoring |
1270.09ad1System.12-09.ad 09.10 Monitoring |
Shared |
n/a |
The organization ensures proper logging is enabled in order to audit administrator activities; and reviews system administrator and operator logs on a regular basis. |
|
18 |
| hipaa |
1512.11a2Organizational.8-11.a |
hipaa-1512.11a2Organizational.8-11.a |
1512.11a2Organizational.8-11.a |
15 Incident Management |
1512.11a2Organizational.8-11.a 11.01 Reporting Information Security Incidents and Weaknesses |
Shared |
n/a |
Intrusion detection/information protection system (IDS/IPS) alerts are utilized for reporting information security events. |
|
17 |
| hipaa |
1519.11c2Organizational.2-11.c |
hipaa-1519.11c2Organizational.2-11.c |
1519.11c2Organizational.2-11.c |
15 Incident Management |
1519.11c2Organizational.2-11.c 11.02 Management of Information Security Incidents and Improvements |
Shared |
n/a |
For unauthorized disclosures of covered information, a log is maintained and annually submitted to the appropriate parties (e.g., a state, regional or national regulatory agency). |
|
14 |
| hipaa |
1808.08b2Organizational.7-08.b |
hipaa-1808.08b2Organizational.7-08.b |
1808.08b2Organizational.7-08.b |
18 Physical & Environmental Security |
1808.08b2Organizational.7-08.b 08.01 Secure Areas |
Shared |
n/a |
Physical access rights are reviewed every 90 days and updated accordingly. |
|
7 |
| ISO27001-2013 |
A.12.4.1 |
ISO27001-2013_A.12.4.1 |
ISO 27001:2013 A.12.4.1 |
Operations Security |
Event Logging |
Shared |
n/a |
Event logs recording user activities, exceptions, faults and information security events shall be produced, kept and regularly reviewed. |
link |
53 |
| ISO27001-2013 |
A.16.1.2 |
ISO27001-2013_A.16.1.2 |
ISO 27001:2013 A.16.1.2 |
Information Security Incident Management |
Reporting information security events |
Shared |
n/a |
Information security events shall be reported through appropriate management channels as quickly as possible. |
link |
14 |
| ISO27001-2013 |
A.16.1.4 |
ISO27001-2013_A.16.1.4 |
ISO 27001:2013 A.16.1.4 |
Information Security Incident Management |
Assessment of and decision on information security events |
Shared |
n/a |
Information security events shall be assessed and it shall be decided if they are to be classified as information security incidents. |
link |
23 |
| ISO27001-2013 |
A.9.2.1 |
ISO27001-2013_A.9.2.1 |
ISO 27001:2013 A.9.2.1 |
Access Control |
User registration and de-registration |
Shared |
n/a |
A formal user registration and de-registration process shall be implemented to enable assignment of access rights. |
link |
27 |
| ISO27001-2013 |
A.9.2.2 |
ISO27001-2013_A.9.2.2 |
ISO 27001:2013 A.9.2.2 |
Access Control |
User access provisioning |
Shared |
n/a |
A formal user access provisioning process shall be implemented to assign or revoke access rights for all user types to all systems and services. |
link |
19 |
| ISO27001-2013 |
A.9.2.3 |
ISO27001-2013_A.9.2.3 |
ISO 27001:2013 A.9.2.3 |
Access Control |
Management of privileged access rights |
Shared |
n/a |
The allocation and use of privileged access rights shall be restricted and controlled. |
link |
33 |
| ISO27001-2013 |
A.9.2.5 |
ISO27001-2013_A.9.2.5 |
ISO 27001:2013 A.9.2.5 |
Access Control |
Review of user access rights |
Shared |
n/a |
Asset owners shall review users' access rights at regular intervals. |
link |
17 |
| ISO27001-2013 |
A.9.2.6 |
ISO27001-2013_A.9.2.6 |
ISO 27001:2013 A.9.2.6 |
Access Control |
Removal or adjustment of access rights |
Shared |
n/a |
The access rights of all employees and external party users to information and information processing facilities shall be removed upon termination of their employment, contract or agreement, or adjusted upon change. |
link |
17 |
| NIST_SP_800-171_R2_3 |
.3.1 |
NIST_SP_800-171_R2_3.3.1 |
NIST SP 800-171 R2 3.3.1 |
Audit and Accountability |
Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
An event is any observable occurrence in a system, which includes unlawful or unauthorized system activity. Organizations identify event types for which a logging functionality is needed as those events which are significant and relevant to the security of systems and the environments in which those systems operate to meet specific and ongoing auditing needs. Event types can include password changes, failed logons or failed accesses related to systems, administrative privilege usage, or third-party credential usage. In determining event types that require logging, organizations consider the monitoring and auditing appropriate for each of the CUI security requirements. Monitoring and auditing requirements can be balanced with other system needs. For example, organizations may determine that systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit logging capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of event types, the logging necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented or cloud-based architectures. Audit record content that may be necessary to satisfy this requirement includes time stamps, source and destination addresses, user or process identifiers, event descriptions, success or fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the system after the event occurred). Detailed information that organizations may consider in audit records includes full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit log information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest. Audit logs are reviewed and analyzed as often as needed to provide important information to organizations to facilitate risk-based decision making. [SP 800-92] provides guidance on security log management. |
link |
53 |
| NIST_SP_800-53_R4 |
AC-2 |
NIST_SP_800-53_R4_AC-2 |
NIST SP 800-53 Rev. 4 AC-2 |
Access Control |
Account Management |
Shared |
n/a |
The organization:
a. Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
b. Assigns account managers for information system accounts;
c. Establishes conditions for group and role membership;
d. Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
e. Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
f. Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
g. Monitors the use of, information system accounts;
h. Notifies account managers:
1. When accounts are no longer required;
2. When users are terminated or transferred; and
3. When individual information system usage or need-to-know changes;
i. Authorizes access to the information system based on:
1. A valid access authorization;
2. Intended system usage; and
3. Other attributes as required by the organization or associated missions/business functions;
j. Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
k. Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
Supplemental Guidance: Information system account types include individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-2, IA-4, IA-5, IA-8, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PL-4, SC-13.
References: None. |
link |
25 |
| NIST_SP_800-53_R4 |
AU-6 |
NIST_SP_800-53_R4_AU-6 |
NIST SP 800-53 Rev. 4 AU-6 |
Audit And Accountability |
Audit Review, Analysis, And Reporting |
Shared |
n/a |
The organization:
a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and
b. Reports findings to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7.
References: None. |
link |
25 |
| NIST_SP_800-53_R4 |
AU-6(1) |
NIST_SP_800-53_R4_AU-6(1) |
NIST SP 800-53 Rev. 4 AU-6 (1) |
Audit And Accountability |
Process Integration |
Shared |
n/a |
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
Supplemental Guidance: Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits. Related controls: AU-12, PM-7. |
link |
11 |
| NIST_SP_800-53_R4 |
RA-5(8) |
NIST_SP_800-53_R4_RA-5(8) |
NIST SP 800-53 Rev. 4 RA-5 (8) |
Risk Assessment |
Review Historic Audit Logs |
Shared |
n/a |
The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
Supplemental Guidance: Related control: AU-6. |
link |
15 |
| NIST_SP_800-53_R5 |
AC-2 |
NIST_SP_800-53_R5_AC-2 |
NIST SP 800-53 Rev. 5 AC-2 |
Access Control |
Account Management |
Shared |
n/a |
a. Define and document the types of accounts allowed and specifically prohibited for use within the system;
b. Assign account managers;
c. Require [Assignment: organization-defined prerequisites and criteria] for group and role membership;
d. Specify:
1. Authorized users of the system;
2. Group and role membership; and
3. Access authorizations (i.e., privileges) and [Assignment: organization-defined attributes (as required)] for each account;
e. Require approvals by [Assignment: organization-defined personnel or roles] for requests to create accounts;
f. Create, enable, modify, disable, and remove accounts in accordance with [Assignment: organization-defined policy, procedures, prerequisites, and criteria];
g. Monitor the use of accounts;
h. Notify account managers and [Assignment: organization-defined personnel or roles] within:
1. [Assignment: organization-defined time period] when accounts are no longer required;
2. [Assignment: organization-defined time period] when users are terminated or transferred; and
3. [Assignment: organization-defined time period] when system usage or need-to-know changes for an individual;
i. Authorize access to the system based on:
1. A valid access authorization;
2. Intended system usage; and
3. [Assignment: organization-defined attributes (as required)];
j. Review accounts for compliance with account management requirements [Assignment: organization-defined frequency];
k. Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and
l. Align account management processes with personnel termination and transfer processes. |
link |
25 |
| NIST_SP_800-53_R5 |
AU-6 |
NIST_SP_800-53_R5_AU-6 |
NIST SP 800-53 Rev. 5 AU-6 |
Audit and Accountability |
Audit Record Review, Analysis, and Reporting |
Shared |
n/a |
a. Review and analyze system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity] and the potential impact of the inappropriate or unusual activity;
b. Report findings to [Assignment: organization-defined personnel or roles]; and
c. Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information. |
link |
25 |
| NIST_SP_800-53_R5 |
AU-6(1) |
NIST_SP_800-53_R5_AU-6(1) |
NIST SP 800-53 Rev. 5 AU-6 (1) |
Audit and Accountability |
Automated Process Integration |
Shared |
n/a |
Integrate audit record review, analysis, and reporting processes using [Assignment: organization-defined automated mechanisms]. |
link |
11 |
| NIST_SP_800-53_R5 |
RA-5(8) |
NIST_SP_800-53_R5_RA-5(8) |
NIST SP 800-53 Rev. 5 RA-5 (8) |
Risk Assessment |
Review Historic Audit Logs |
Shared |
n/a |
Review historic audit logs to determine if a vulnerability identified in a [Assignment: organization-defined system] has been previously exploited within an [Assignment: organization-defined time period]. |
link |
15 |
| PCI_DSS_v4.0 |
10.4.1 |
PCI_DSS_v4.0_10.4.1 |
PCI DSS v4.0 10.4.1 |
Requirement 10: Log and Monitor All Access to System Components and Cardholder Data |
Audit logs are reviewed to identify anomalies or suspicious activity |
Shared |
n/a |
The following audit logs are reviewed at least once daily:
• All security events.
• Logs of all system components that store, process, or transmit CHD and/or SAD.
• Logs of all critical system components.
• Logs of all servers and system components that perform security functions (for example, network security controls, intrusion-detection systems/intrusion-prevention systems (IDS/IPS), authentication servers). |
link |
11 |
| PCI_DSS_v4.0 |
10.4.1.1 |
PCI_DSS_v4.0_10.4.1.1 |
PCI DSS v4.0 10.4.1.1 |
Requirement 10: Log and Monitor All Access to System Components and Cardholder Data |
Audit logs are reviewed to identify anomalies or suspicious activity |
Shared |
n/a |
Automated mechanisms are used to perform audit log reviews. |
link |
11 |
| PCI_DSS_v4.0 |
10.4.2 |
PCI_DSS_v4.0_10.4.2 |
PCI DSS v4.0 10.4.2 |
Requirement 10: Log and Monitor All Access to System Components and Cardholder Data |
Audit logs are reviewed to identify anomalies or suspicious activity |
Shared |
n/a |
Logs of all other system components (those not specified in Requirement 10.4.1) are reviewed periodically. |
link |
11 |
| PCI_DSS_v4.0 |
10.4.2.1 |
PCI_DSS_v4.0_10.4.2.1 |
PCI DSS v4.0 10.4.2.1 |
Requirement 10: Log and Monitor All Access to System Components and Cardholder Data |
Audit logs are reviewed to identify anomalies or suspicious activity |
Shared |
n/a |
The frequency of periodic log reviews for all other system components (not defined in Requirement 10.4.1) is defined in the entity’s targeted risk analysis, which is performed according to all elements specified in Requirement12.3.1 |
link |
11 |
| PCI_DSS_v4.0 |
10.4.3 |
PCI_DSS_v4.0_10.4.3 |
PCI DSS v4.0 10.4.3 |
Requirement 10: Log and Monitor All Access to System Components and Cardholder Data |
Audit logs are reviewed to identify anomalies or suspicious activity |
Shared |
n/a |
Exceptions and anomalies identified during the review process are addressed. |
link |
11 |
| PCI_DSS_v4.0 |
7.2.4 |
PCI_DSS_v4.0_7.2.4 |
PCI DSS v4.0 7.2.4 |
Requirement 07: Restrict Access to System Components and Cardholder Data by Business Need to Know |
Access to system components and data is appropriately defined and assigned |
Shared |
n/a |
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. |
link |
4 |
| SOC_2 |
CC6.2 |
SOC_2_CC6.2 |
SOC 2 Type 2 CC6.2 |
Logical and Physical Access Controls |
Access provisioning and removal |
Shared |
The customer is responsible for implementing this recommendation. |
Controls Access Credentials to Protected Assets — Information asset access credentials are created based on an authorization from the system's asset owner or authorized custodian.
• Removes Access to Protected Assets When Appropriate — Processes are in place to
remove credential access when an individual no longer requires such access.
• Reviews Appropriateness of Access Credentials — The appropriateness of access
credentials is reviewed on a periodic basis for unnecessary and inappropriate indIviduals with credentials. |
|
11 |
| SOC_2 |
CC6.3 |
SOC_2_CC6.3 |
SOC 2 Type 2 CC6.3 |
Logical and Physical Access Controls |
Rol based access and least privilege |
Shared |
The customer is responsible for implementing this recommendation. |
• Creates or Modifies Access to Protected Information Assets — Processes are in
place to create or modify access to protected information assets based on authorization from the asset’s owner.
• Removes Access to Protected Information Assets — Processes are in place to remove access to protected information assets when an individual no longer requires
access.
• Uses Role-Based Access Controls — Role-based access control is utilized to support segregation of incompatible functions.
• Reviews Access Roles and Rules — The appropriateness of access roles and access
rules is reviewed on a periodic basis for unnecessary and inappropriate individuals
with access and access rules are modified as appropriate |
|
20 |
| SWIFT_CSCF_v2022 |
5.1 |
SWIFT_CSCF_v2022_5.1 |
SWIFT CSCF v2022 5.1 |
5. Manage Identities and Segregate Privileges |
Enforce the security principles of need-to-know access, least privilege, and separation of duties for operator accounts. |
Shared |
n/a |
Accounts are defined according to the security principles of need-to-know access, least privilege, and separation of duties. |
link |
35 |
| SWIFT_CSCF_v2022 |
6.1 |
SWIFT_CSCF_v2022_6.1 |
SWIFT CSCF v2022 6.1 |
6. Detect Anomalous Activity to Systems or Transaction Records |
Ensure that local SWIFT infrastructure is protected against malware and act upon results. |
Shared |
n/a |
Anti-malware software from a reputable vendor is installed, kept up-to-date on all systems, and results are considered for appropriate resolving actions. |
link |
31 |
| SWIFT_CSCF_v2022 |
6.4 |
SWIFT_CSCF_v2022_6.4 |
SWIFT CSCF v2022 6.4 |
6. Detect Anomalous Activity to Systems or Transaction Records |
Record security events and detect anomalous actions and operations within the local SWIFT environment. |
Shared |
n/a |
Capabilities to detect anomalous activity are implemented, and a process or tool is in place to keep and review logs. |
link |
52 |