| Control Domain |
Control |
Name |
MetadataId |
Category |
Title |
Owner |
Requirements |
Description |
Info |
Policy# |
| AU_ISM |
1386 |
AU_ISM_1386 |
AU ISM 1386 |
Guidelines for System Management - System administration |
Restriction of management traffic flows - 1386 |
|
n/a |
Management traffic is only allowed to originate from network zones that are used to administer systems and applications. |
link |
3 |
| AU_ISM |
1508 |
AU_ISM_1508 |
AU ISM 1508 |
Guidelines for Personnel Security - Access to systems and their resources |
Privileged access to systems - 1508 |
|
n/a |
Privileged access to systems, applications and data repositories is limited to that required for personnel to undertake their duties. |
link |
7 |
| Azure_Security_Benchmark_v1.0 |
1.1 |
Azure_Security_Benchmark_v1.0_1.1 |
Azure Security Benchmark 1.1 |
Network Security |
Protect resources using Network Security Groups or Azure Firewall on your Virtual Network |
Customer |
Ensure that all Virtual Network subnet deployments have a Network Security Group applied with network access controls specific to your application's trusted ports and sources. Use Azure Services with Private Link enabled, deploy the service inside your Vnet, or connect privately using Private Endpoints. For service specific requirements, please refer to the security recommendation for that specific service.
Alternatively, if you have a specific use case, requirements can be met by implementing Azure Firewall.
General Information on Private Link:
https://docs.microsoft.com/azure/private-link/private-link-overview
How to create a Virtual Network:
https://docs.microsoft.com/azure/virtual-network/quick-create-portal
How to create an NSG with a security configuration:
https://docs.microsoft.com/azure/virtual-network/tutorial-filter-network-traffic
How to deploy and configure Azure Firewall:
https://docs.microsoft.com/azure/firewall/tutorial-firewall-deploy-portal |
n/a |
link |
21 |
| Azure_Security_Benchmark_v1.0 |
1.4 |
Azure_Security_Benchmark_v1.0_1.4 |
Azure Security Benchmark 1.4 |
Network Security |
Deny communications with known malicious IP addresses |
Customer |
Enable DDoS Standard protection on your Azure Virtual Networks to guard against DDoS attacks. Use Azure Security Center Integrated Threat Intelligence to deny communications with known malicious IP addresses.
Deploy Azure Firewall at each of the organization's network boundaries with Threat Intelligence enabled and configured to "Alert and deny" for malicious network traffic.
Use Azure Security Center Just In Time Network access to configure NSGs to limit exposure of endpoints to approved IP addresses for a limited period.
Use Azure Security Center Adaptive Network Hardening to recommend NSG configurations that limit ports and source IPs based on actual traffic and threat intelligence.
How to configure DDoS protection:
https://docs.microsoft.com/azure/virtual-network/manage-ddos-protection
How to deploy Azure Firewall:
https://docs.microsoft.com/azure/firewall/tutorial-firewall-deploy-portal
Understand Azure Security Center Integrated Threat Intelligence:
https://docs.microsoft.com/azure/security-center/security-center-alerts-service-layer
Understand Azure Security Center Adaptive Network Hardening:
https://docs.microsoft.com/azure/security-center/security-center-adaptive-network-hardening
Understand Azure Security Center Just In Time Network Access Control:
https://docs.microsoft.com/azure/security-center/security-center-just-in-time |
n/a |
link |
4 |
| Azure_Security_Benchmark_v2.0 |
NS-1 |
Azure_Security_Benchmark_v2.0_NS-1 |
Azure Security Benchmark NS-1 |
Network Security |
Implement security for internal traffic |
Customer |
Ensure that all Azure virtual networks follow an enterprise segmentation principle that aligns to the business risks. Any system that could incur higher risk for the organization should be isolated within its own virtual network and sufficiently secured with either a network security group (NSG) and/or Azure Firewall.
Based on your applications and enterprise segmentation strategy, restrict or allow traffic between internal resources based on network security group rules. For specific well-defined applications (such as a 3-tier app), this can be a highly secure "deny by default, permit by exception" approach. This might not scale well if you have many applications and endpoints interacting with each other. You can also use Azure Firewall in circumstances where central management is required over a large number of enterprise segments or spokes (in a hub/spoke topology).
Use Azure Security Center Adaptive Network Hardening to recommend network security group configurations that limit ports and source IPs based with the reference to external network traffic rules.
Use Azure Sentinel to discover the use of legacy insecure protocols such as SSL/TLSv1, SMBv1, LM/NTLMv1, wDigest, Unsigned LDAP Binds, and weak ciphers in Kerberos.
How to create a network security group with security rules: https://docs.microsoft.com/azure/virtual-network/tutorial-filter-network-traffic
How to deploy and configure Azure Firewall: https://docs.microsoft.com/azure/firewall/tutorial-firewall-deploy-portal
Adaptive Network Hardening in Azure Security Center: https://docs.microsoft.com/azure/security-center/security-center-adaptive-network-hardening
Azure Sentinel insecure protocols workbook:https://docs.microsoft.com/azure/sentinel/quickstart-get-visibility#use-built-in-workbooks |
n/a |
link |
20 |
| Azure_Security_Benchmark_v2.0 |
NS-4 |
Azure_Security_Benchmark_v2.0_NS-4 |
Azure Security Benchmark NS-4 |
Network Security |
Protect applications and services from external network attacks |
Customer |
Protect Azure resources against attacks from external networks, including distributed denial of service (DDoS) Attacks, application specific attacks, and unsolicited and potentially malicious internet traffic. Azure includes native capabilities for this:
- Use Azure Firewall to protect applications and services against potentially malicious traffic from the internet and other external locations.
- Use Web Application Firewall (WAF) capabilities in Azure Application Gateway, Azure Front Door, and Azure Content Delivery Network (CDN) to protect your applications, services, and APIs against application layer attacks.
- Protect your assets against DDoS attacks by enabling DDoS standard protection on your Azure virtual networks.
- Use Azure Security Center to detect misconfiguration risks related to the above.
Azure Firewall Documentation: https://docs.microsoft.com/azure/firewall/
How to deploy Azure WAF: https://docs.microsoft.com/azure/web-application-firewall/overview
Manage Azure DDoS Protection Standard using the Azure portal: https://docs.microsoft.com/azure/virtual-network/manage-ddos-protection |
n/a |
link |
15 |
| Azure_Security_Benchmark_v3.0 |
NS-3 |
Azure_Security_Benchmark_v3.0_NS-3 |
Azure Security Benchmark NS-3 |
Network Security |
Deploy firewall at the edge of enterprise network |
Shared |
**Security Principle:**
Deploy a firewall to perform advanced filtering on network traffic to and from external networks. You can also use firewalls between internal segments to support a segmentation strategy. If required, use custom routes for your subnet to override the system route when you need to force the network traffic to go through a network appliance for security control purpose.
At a minimum, block known bad IP addresses and high-risk protocols, such as remote management (for example, RDP and SSH) and intranet protocols (for example, SMB and Kerberos).
**Azure Guidance:**
Use Azure Firewall to provide fully stateful application layer traffic restriction (such as URL filtering) and/or central management over a large number of enterprise segments or spokes (in a hub/spoke topology).
If you have a complex network topology, such as a hub/spoke setup, you may need to create user-defined routes (UDR) to ensure the traffic goes through the desired route. For example, you have option to use an UDR to redirect egress internet traffic through a specific Azure Firewall or a network virtual appliance.
**Implementation and additional context:**
How to deploy Azure Firewall:
https://docs.microsoft.com/azure/firewall/tutorial-firewall-deploy-portal
Virtual network traffic routing:
https://docs.microsoft.com/azure/virtual-network/virtual-networks-udr-overview |
n/a |
link |
4 |
| Azure_Security_Benchmark_v3.0 |
PA-2 |
Azure_Security_Benchmark_v3.0_PA-2 |
Azure Security Benchmark PA-2 |
Privileged Access |
Avoid standing access for accounts and permissions |
Shared |
**Security Principle:**
Instead of creating standing privileges, use just-in-time (JIT) mechanism to assign privileged access to the different resource tiers.
**Azure Guidance:**
Enable just-in-time (JIT) privileged access to Azure resources and Azure AD using Azure AD Privileged Identity Management (PIM). JIT is a model in which users receive temporary permissions to perform privileged tasks, which prevents malicious or unauthorized users from gaining access after the permissions have expired. Access is granted only when users need it. PIM can also generate security alerts when there is suspicious or unsafe activity in your Azure AD organization.
Restrict inbound traffic to your sensitive virtual machines (VM) management ports with Microsoft Defender for Cloud's just-in-time (JIT) for VM access feature. This ensures the privileged access to the VM are granted only when users need it.
**Implementation and additional context:**
Azure PIM just-in-time access deployment:
https://docs.microsoft.com/azure/active-directory/privileged-identity-management/pim-deployment-plan |
n/a |
link |
1 |
| CCCS |
SC-7(3) |
CCCS_SC-7(3) |
CCCS SC-7(3) |
System and Communications Protection |
Boundary Protection | Access Points |
|
n/a |
The organization limits the number of external network connections to the information system. |
link |
1 |
| CCCS |
SC-7(4) |
CCCS_SC-7(4) |
CCCS SC-7(4) |
System and Communications Protection |
Boundary Protection | External Telecommunications Services |
|
n/a |
(a) The organization implements a managed interface for each external telecommunication service;
(b) The organization establishes a traffic flow policy for each managed interface;
(c) The organization protects the confidentiality and integrity of the information being transmitted across each interface;
(d) The organization documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and
(e) The organization reviews exceptions to the traffic flow policy at least annually and removes exceptions that are no longer supported by an explicit mission/business need. |
link |
1 |
| CIS_Azure_1.1.0 |
2.12 |
CIS_Azure_1.1.0_2.12 |
CIS Microsoft Azure Foundations Benchmark recommendation 2.12 |
2 Security Center |
Ensure ASC Default policy setting "Monitor JIT Network Access" is not "Disabled" |
Shared |
The customer is responsible for implementing this recommendation. |
Enable JIT Network Access for virtual machines. |
link |
2 |
| CMMC_2.0_L2 |
AC.L2-3.1.3 |
CMMC_2.0_L2_AC.L2-3.1.3 |
404 not found |
|
|
|
n/a |
n/a |
|
54 |
| CMMC_2.0_L2 |
SC.L1-3.13.1 |
CMMC_2.0_L2_SC.L1-3.13.1 |
404 not found |
|
|
|
n/a |
n/a |
|
58 |
| CMMC_2.0_L2 |
SC.L1-3.13.5 |
CMMC_2.0_L2_SC.L1-3.13.5 |
404 not found |
|
|
|
n/a |
n/a |
|
53 |
| CMMC_2.0_L2 |
SC.L2-3.13.2 |
CMMC_2.0_L2_SC.L2-3.13.2 |
404 not found |
|
|
|
n/a |
n/a |
|
53 |
| CMMC_2.0_L2 |
SC.L2-3.13.6 |
CMMC_2.0_L2_SC.L2-3.13.6 |
404 not found |
|
|
|
n/a |
n/a |
|
28 |
| CMMC_L3 |
AC.1.001 |
CMMC_L3_AC.1.001 |
CMMC L3 AC.1.001 |
Access Control |
Limit information system access to authorized users, processes acting on behalf of authorized users, and devices (including other information systems). |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Access control policies (e.g., identity- or role-based policies, control matrices, and cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, and domains) in systems. Access enforcement mechanisms can be employed at the application and service level to provide increased information security. Other systems include systems internal and external to the organization. This requirement focuses on account management for systems and applications. The definition of and enforcement of access authorizations, other than those determined by account type (e.g., privileged verses non-privileged) are addressed in requirement AC.1.002. |
link |
32 |
| CMMC_L3 |
AC.1.002 |
CMMC_L3_AC.1.002 |
CMMC L3 AC.1.002 |
Access Control |
Limit information system access to the types of transactions and functions that authorized users are permitted to execute. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. System account types include individual, shared, group, system, anonymous, guest, emergency, developer, manufacturer, vendor, and temporary. Other attributes required for authorizing access include restrictions on time-of-day, day-of-week, and point-oforigin. In defining other account attributes, organizations consider system-related requirements (e.g., system upgrades scheduled maintenance,) and mission or business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). |
link |
28 |
| CMMC_L3 |
AC.2.007 |
CMMC_L3_AC.2.007 |
CMMC L3 AC.2.007 |
Access Control |
Employ the principle of least privilege, including for specific security functions and privileged accounts. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Organizations employ the principle of least privilege for specific duties and authorized accesses for users and processes. The principle of least privilege is applied with the goal of authorized privileges no higher than necessary to accomplish required organizational missions or business functions. Organizations consider the creation of additional processes, roles, and system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational systems. Security functions include establishing system accounts, setting events to be logged, setting intrusion detection parameters, and configuring access authorizations (i.e., permissions, privileges).
Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information or functions. Organizations may differentiate in the application of this requirement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk. |
link |
4 |
| CMMC_L3 |
AC.2.013 |
CMMC_L3_AC.2.013 |
CMMC L3 AC.2.013 |
Access Control |
Monitor and control remote access sessions. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Remote access is access to organizational systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate control (e.g., employing encryption techniques for confidentiality protection), may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. VPNs with encrypted tunnels can affect the capability to adequately monitor network communications traffic for malicious code.
Automated monitoring and control of remote access sessions allows organizations to detect cyberattacks and help to ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of system components (e.g., servers, workstations, notebook computers, smart phones, and tablets). |
link |
10 |
| CMMC_L3 |
CM.3.068 |
CMMC_L3_CM.3.068 |
CMMC L3 CM.3.068 |
Configuration Management |
Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Restricting the use of nonessential software (programs) includes restricting the roles allowed to approve program execution; prohibiting auto-execute; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time. The organization makes a security-based determination which functions, ports, protocols, and/or services are restricted. Bluetooth, File Transfer Protocol (FTP), and peer-to-peer networking are examples of protocols organizations consider preventing the use of, restricting, or disabling. |
link |
25 |
| CMMC_L3 |
SC.1.175 |
CMMC_L3_SC.1.175 |
CMMC L3 SC.1.175 |
System and Communications Protection |
Monitor, control, and protect communications (i.e., information transmitted or received by organizational systems) at the external boundaries and key internal boundaries of organizational systems. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Communications can be monitored, controlled, and protected at boundary components and by restricting or prohibiting interfaces in organizational systems. Boundary components include gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a system security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Restricting or prohibiting interfaces in organizational systems includes restricting external web communications traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses.
Organizations consider the shared nature of commercial telecommunications services in the implementation of security requirements associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions. |
link |
32 |
| CMMC_L3 |
SC.2.179 |
CMMC_L3_SC.2.179 |
CMMC L3 SC.2.179 |
System and Communications Protection |
Use encrypted sessions for the management of network devices. |
Customer |
The customer is responsible for implementing this requirement. |
Management of network devices is a security critical process and needs to have confidentiality protection and authentication to protect against adversaries trying to gain information or change the network infrastructure. Confidentiality protection prevents an adversary from sniffing passwords or configuration information. Authenticity protection includes, for example, protecting against man-in-the-middle attacks, session hijacking, and the insertion of false information into communications sessions. This requirement addresses communications protection at the session versus packet level (e.g., sessions in service-oriented architectures providing web-based services). |
link |
1 |
| CMMC_L3 |
SC.3.183 |
CMMC_L3_SC.3.183 |
CMMC L3 SC.3.183 |
System and Communications Protection |
Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception). |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
This requirement applies to inbound and outbound network communications traffic at the system boundary and at identified points within the system. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed. |
link |
32 |
| FedRAMP_High_R4 |
AC-2(12) |
FedRAMP_High_R4_AC-2(12) |
FedRAMP High AC-2 (12) |
Access Control |
Account Monitoring / Atypical Usage |
Shared |
n/a |
The organization:
(a) Monitors information system accounts for [Assignment: organization-defined atypical use]; and
(b) Reports atypical usage of information system accounts to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations. Related control: CA-7. |
link |
14 |
| FedRAMP_High_R4 |
AC-4 |
FedRAMP_High_R4_AC-4 |
FedRAMP High AC-4 |
Access Control |
Information Flow Enforcement |
Shared |
n/a |
The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].
Supplemental Guidance: Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web 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. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/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, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regarding mechanisms to reassign security attributes and security labels.
Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message- filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products. Related controls: AC-3, AC-17, AC-19, AC-21, CM-6, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.
References: None. |
link |
54 |
| FedRAMP_High_R4 |
SC-7 |
FedRAMP_High_R4_SC-7 |
FedRAMP High SC-7 |
System And Communications Protection |
Boundary Protection |
Shared |
n/a |
The information system:
a. Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;
b. Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and
c. Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
Supplemental Guidance: Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions. Related controls: AC-4, AC-17, CA-3, CM-7, CP-8, IR-4, RA-3, SC-5, SC-13.
References: FIPS Publication 199; NIST Special Publications 800-41, 800-77. |
link |
54 |
| FedRAMP_High_R4 |
SC-7(3) |
FedRAMP_High_R4_SC-7(3) |
FedRAMP High SC-7 (3) |
System And Communications Protection |
Access Points |
Shared |
n/a |
The organization limits the number of external network connections to the information system.
Supplemental Guidance: Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections. |
link |
53 |
| FedRAMP_Moderate_R4 |
AC-2(12) |
FedRAMP_Moderate_R4_AC-2(12) |
FedRAMP Moderate AC-2 (12) |
Access Control |
Account Monitoring / Atypical Usage |
Shared |
n/a |
The organization:
(a) Monitors information system accounts for [Assignment: organization-defined atypical use]; and
(b) Reports atypical usage of information system accounts to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations. Related control: CA-7. |
link |
14 |
| FedRAMP_Moderate_R4 |
AC-4 |
FedRAMP_Moderate_R4_AC-4 |
FedRAMP Moderate AC-4 |
Access Control |
Information Flow Enforcement |
Shared |
n/a |
The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].
Supplemental Guidance: Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web 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. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/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, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regarding mechanisms to reassign security attributes and security labels.
Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message- filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products. Related controls: AC-3, AC-17, AC-19, AC-21, CM-6, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.
References: None. |
link |
54 |
| FedRAMP_Moderate_R4 |
SC-7 |
FedRAMP_Moderate_R4_SC-7 |
FedRAMP Moderate SC-7 |
System And Communications Protection |
Boundary Protection |
Shared |
n/a |
The information system:
a. Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;
b. Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and
c. Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
Supplemental Guidance: Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions. Related controls: AC-4, AC-17, CA-3, CM-7, CP-8, IR-4, RA-3, SC-5, SC-13.
References: FIPS Publication 199; NIST Special Publications 800-41, 800-77. |
link |
54 |
| FedRAMP_Moderate_R4 |
SC-7(3) |
FedRAMP_Moderate_R4_SC-7(3) |
FedRAMP Moderate SC-7 (3) |
System And Communications Protection |
Access Points |
Shared |
n/a |
The organization limits the number of external network connections to the information system.
Supplemental Guidance: Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections. |
link |
53 |
| hipaa |
0858.09m1Organizational.4-09.m |
hipaa-0858.09m1Organizational.4-09.m |
0858.09m1Organizational.4-09.m |
08 Network Protection |
0858.09m1Organizational.4-09.m 09.06 Network Security Management |
Shared |
n/a |
The organization monitors for all authorized and unauthorized wireless access to the information system and prohibits installation of wireless access points (WAPs) unless explicitly authorized in writing by the CIO or his/her designated representative. |
|
7 |
| hipaa |
11180.01c3System.6-01.c |
hipaa-11180.01c3System.6-01.c |
11180.01c3System.6-01.c |
11 Access Control |
11180.01c3System.6-01.c 01.02 Authorized Access to Information Systems |
Shared |
n/a |
Access to management functions or administrative consoles for systems hosting virtualized systems are restricted to personnel based upon the principle of least privilege and supported through technical controls. |
|
7 |
| hipaa |
1119.01j2Organizational.3-01.j |
hipaa-1119.01j2Organizational.3-01.j |
1119.01j2Organizational.3-01.j |
11 Access Control |
1119.01j2Organizational.3-01.j 01.04 Network Access Control |
Shared |
n/a |
Network equipment is checked for unanticipated dial-up capabilities. |
|
5 |
| hipaa |
1175.01j1Organizational.8-01.j |
hipaa-1175.01j1Organizational.8-01.j |
1175.01j1Organizational.8-01.j |
11 Access Control |
1175.01j1Organizational.8-01.j 01.04 Network Access Control |
Shared |
n/a |
Remote access to business information across public networks only takes place after successful identification and authentication. |
|
5 |
| hipaa |
1179.01j3Organizational.1-01.j |
hipaa-1179.01j3Organizational.1-01.j |
1179.01j3Organizational.1-01.j |
11 Access Control |
1179.01j3Organizational.1-01.j 01.04 Network Access Control |
Shared |
n/a |
The information system monitors and controls remote access methods. |
|
7 |
| hipaa |
1192.01l1Organizational.1-01.l |
hipaa-1192.01l1Organizational.1-01.l |
1192.01l1Organizational.1-01.l |
11 Access Control |
1192.01l1Organizational.1-01.l 01.04 Network Access Control |
Shared |
n/a |
Access to network equipment is physically protected. |
|
5 |
| IRS_1075_9.3 |
.1.2 |
IRS_1075_9.3.1.2 |
IRS 1075 9.3.1.2 |
Access Control |
Account Management (AC-2) |
|
n/a |
The agency must:
a. Identify and select the accounts with access to FTI to support agency missions/business functions
b. Assign account managers for information system accounts;
c. Establish conditions for group and role membership
d. Specify 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. Require approval for requests to create information system accounts
f. Create, enable, modify, disable, and remove information system accounts in accordance with documented agency account management procedures
g. Monitor the use of information system accounts
h. Notify account managers when accounts are no longer required, when users are terminated or transferred, or when individual information system usage or need- to-know permission changes
i. Authorize access to information systems that receive, process, store, or transmit FTI based on a valid access authorization, need-to-know permission, and under the authority to re-disclosed FTI under the provisions of IRC 6103
j. Review accounts for compliance with account management requirements at a
k. minimum of annually for user accounts and semi-annually for privileged accounts
l. Establish a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
The information system must automatically disable inactive accounts after 120 days of inactivity. (CE3) |
link |
9 |
| NIST_SP_800-171_R2_3 |
.1.3 |
NIST_SP_800-171_R2_3.1.3 |
NIST SP 800-171 R2 3.1.3 |
Access Control |
Control the flow of CUI in accordance with approved authorizations. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Information flow control regulates where information can travel 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 the following: keeping export-controlled information 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 information 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., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or 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 representing different security domains with different security policies introduces 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 access only); employing hardware mechanisms to enforce one-way information flows; and implementing trustworthy regrading mechanisms to reassign security attributes and security labels. |
link |
58 |
| NIST_SP_800-171_R2_3 |
.13.1 |
NIST_SP_800-171_R2_3.13.1 |
NIST SP 800-171 R2 3.13.1 |
System and Communications Protection |
Monitor, control, and protect communications (i.e., information transmitted or received by organizational systems) at the external boundaries and key internal boundaries of organizational systems. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Communications can be monitored, controlled, and protected at boundary components and by restricting or prohibiting interfaces in organizational systems. Boundary components include gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a system security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Restricting or prohibiting interfaces in organizational systems includes restricting external web communications traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security requirements associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions. [SP 800-41] provides guidance on firewalls and firewall policy. [SP 800-125B] provides guidance on security for virtualization technologies.
[28] There is no prescribed format or specified level of detail for system security plans. However, organizations ensure that the required information in 3.12.4 is conveyed in those plans. |
link |
53 |
| NIST_SP_800-171_R2_3 |
.13.2 |
NIST_SP_800-171_R2_3.13.2 |
NIST SP 800-171 R2 3.13.2 |
System and Communications Protection |
Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Organizations apply systems security engineering principles to new development systems or systems undergoing major upgrades. For legacy systems, organizations apply systems security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security engineering concepts and principles helps to develop trustworthy, secure, and resilient systems and system components and reduce the susceptibility of organizations to disruptions, hazards, and threats. Examples of these concepts and principles include developing layered protections; establishing security policies, architecture, and controls as the foundation for design; incorporating security requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply security engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk-management decisions. [SP 800-160-1] provides guidance on systems security engineering. |
link |
53 |
| NIST_SP_800-171_R2_3 |
.13.5 |
NIST_SP_800-171_R2_3.13.5 |
NIST SP 800-171 R2 3.13.5 |
System and Communications Protection |
Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones (DMZs). DMZs are typically implemented with boundary control devices and techniques that include routers, gateways, firewalls, virtualization, or cloud-based technologies. [SP 800-41] provides guidance on firewalls and firewall policy. [SP 800-125B] provides guidance on security for virtualization technologies |
link |
53 |
| NIST_SP_800-171_R2_3 |
.13.6 |
NIST_SP_800-171_R2_3.13.6 |
NIST SP 800-171 R2 3.13.6 |
System and Communications Protection |
Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception). |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
This requirement applies to inbound and outbound network communications traffic at the system boundary and at identified points within the system. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed. |
link |
24 |
| NIST_SP_800-53_R4 |
AC-2(12) |
NIST_SP_800-53_R4_AC-2(12) |
NIST SP 800-53 Rev. 4 AC-2 (12) |
Access Control |
Account Monitoring / Atypical Usage |
Shared |
n/a |
The organization:
(a) Monitors information system accounts for [Assignment: organization-defined atypical use]; and
(b) Reports atypical usage of information system accounts to [Assignment: organization-defined personnel or roles].
Supplemental Guidance: Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations. Related control: CA-7. |
link |
14 |
| NIST_SP_800-53_R4 |
AC-4 |
NIST_SP_800-53_R4_AC-4 |
NIST SP 800-53 Rev. 4 AC-4 |
Access Control |
Information Flow Enforcement |
Shared |
n/a |
The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].
Supplemental Guidance: Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web 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. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/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, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regarding mechanisms to reassign security attributes and security labels.
Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message- filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products. Related controls: AC-3, AC-17, AC-19, AC-21, CM-6, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.
References: None. |
link |
54 |
| NIST_SP_800-53_R4 |
AC-4(3) |
NIST_SP_800-53_R4_AC-4(3) |
NIST SP 800-53 Rev. 4 AC-4 (3) |
Access Control |
Dynamic Information Flow Control |
Customer |
n/a |
The information system enforces dynamic information flow control based on [Assignment: organization-defined policies]. |
link |
2 |
| NIST_SP_800-53_R4 |
SC-7 |
NIST_SP_800-53_R4_SC-7 |
NIST SP 800-53 Rev. 4 SC-7 |
System And Communications Protection |
Boundary Protection |
Shared |
n/a |
The information system:
a. Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;
b. Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and
c. Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
Supplemental Guidance: Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions. Related controls: AC-4, AC-17, CA-3, CM-7, CP-8, IR-4, RA-3, SC-5, SC-13.
References: FIPS Publication 199; NIST Special Publications 800-41, 800-77. |
link |
54 |
| NIST_SP_800-53_R4 |
SC-7(3) |
NIST_SP_800-53_R4_SC-7(3) |
NIST SP 800-53 Rev. 4 SC-7 (3) |
System And Communications Protection |
Access Points |
Shared |
n/a |
The organization limits the number of external network connections to the information system.
Supplemental Guidance: Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections. |
link |
53 |
| NIST_SP_800-53_R5 |
AC-2(12) |
NIST_SP_800-53_R5_AC-2(12) |
NIST SP 800-53 Rev. 5 AC-2 (12) |
Access Control |
Account Monitoring for Atypical Usage |
Shared |
n/a |
(a) Monitor system accounts for [Assignment: organization-defined atypical usage]; and
(b) Report atypical usage of system accounts to [Assignment: organization-defined personnel or roles]. |
link |
14 |
| NIST_SP_800-53_R5 |
AC-4 |
NIST_SP_800-53_R5_AC-4 |
NIST SP 800-53 Rev. 5 AC-4 |
Access Control |
Information Flow Enforcement |
Shared |
n/a |
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]. |
link |
54 |
| NIST_SP_800-53_R5 |
AC-4(3) |
NIST_SP_800-53_R5_AC-4(3) |
NIST SP 800-53 Rev. 5 AC-4 (3) |
Access Control |
Dynamic Information Flow Control |
Customer |
n/a |
Enforce [Assignment: organization-defined information flow control policies]. |
link |
2 |
| NIST_SP_800-53_R5 |
SC-7 |
NIST_SP_800-53_R5_SC-7 |
NIST SP 800-53 Rev. 5 SC-7 |
System and Communications Protection |
Boundary Protection |
Shared |
n/a |
a. Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system;
b. Implement subnetworks for publicly accessible system components that are [Selection: physically;logically] separated from internal organizational networks; and
c. Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture. |
link |
54 |
| NIST_SP_800-53_R5 |
SC-7(3) |
NIST_SP_800-53_R5_SC-7(3) |
NIST SP 800-53 Rev. 5 SC-7 (3) |
System and Communications Protection |
Access Points |
Shared |
n/a |
Limit the number of external network connections to the system. |
link |
53 |
| NZ_ISM_v3.5 |
SS-3 |
NZ_ISM_v3.5_SS-3 |
NZISM Security Benchmark SS-3 |
Software security |
14.1.9 Maintaining hardened SOEs |
Customer |
n/a |
Whilst a SOE can be sufficiently hardened when it is deployed, its security will progressively degrade over time. Agencies can address the degradation of the security of a SOE by ensuring that patches are continually applied, system users are not able to disable or bypass security functionality and antivirus and other security software is appropriately maintained with the latest signatures and updates.
End Point Agents monitor traffic and apply security policies on applications, storage interfaces and data in real-time. Administrators actively block or monitor and log policy breaches. The End Point Agent can also create forensic monitoring to facilitate incident investigation.
End Point Agents can monitor user activity, such as the cut, copy, paste, print, print screen operations and copying data to external drives and other devices. The Agent can then apply policies to limit such activity. |
link |
17 |
| NZISM_Security_Benchmark_v1.1 |
SS-3 |
NZISM_Security_Benchmark_v1.1_SS-3 |
NZISM Security Benchmark SS-3 |
Software security |
14.1.9 Maintaining hardened SOEs |
Customer |
Agencies SHOULD ensure that for all servers and workstations:
malware detection heuristics are set to a high level;
malware pattern signatures are checked for updates on at least a daily basis;
malware pattern signatures are updated as soon as possible after vendors make them available;
all disks and systems are regularly scanned for malicious code; and
the use of End Point Agents is considered. |
Whilst a SOE can be sufficiently hardened when it is deployed, its security will progressively degrade over time. Agencies can address the degradation of the security of a SOE by ensuring that patches are continually applied, system users are not able to disable or bypass security functionality and antivirus and other security software is appropriately maintained with the latest signatures and updates.
End Point Agents monitor traffic and apply security policies on applications, storage interfaces and data in real-time. Administrators actively block or monitor and log policy breaches. The End Point Agent can also create forensic monitoring to facilitate incident investigation.
End Point Agents can monitor user activity, such as the cut, copy, paste, print, print screen operations and copying data to external drives and other devices. The Agent can then apply policies to limit such activity. |
link |
13 |
| RBI_CSF_Banks_v2016 |
13.3 |
RBI_CSF_Banks_v2016_13.3 |
|
Advanced Real-Timethreat Defenceand Management |
Advanced Real-Timethreat Defenceand Management-13.3 |
|
n/a |
Consider implementing whitelisting of internet websites/systems. |
|
15 |
| RBI_CSF_Banks_v2016 |
13.4 |
RBI_CSF_Banks_v2016_13.4 |
|
Advanced Real-Timethreat Defenceand Management |
Advanced Real-Timethreat Defenceand Management-13.4 |
|
n/a |
Consider implementingsecure web gateways with capability to deep scan network packets including secure (HTTPS, etc.) traffic passing through the web/internet gateway |
|
44 |
| RBI_CSF_Banks_v2016 |
4.10 |
RBI_CSF_Banks_v2016_4.10 |
|
Network Management And Security |
Perimeter Protection And Detection-4.10 |
|
n/a |
Boundary defences should be multi-layered with properly configured firewalls, proxies, DMZ perimeter networks, and network--???based IPS and IDS. Mechanism to filter both inbound and outbound traffic to be put in place. |
|
12 |
| RBI_CSF_Banks_v2016 |
4.3 |
RBI_CSF_Banks_v2016_4.3 |
|
Network Management And Security |
Network Device Configuration Management-4.3 |
|
n/a |
Ensure that all the network devices are configured appropriately and periodically assess whether the configurations are appropriate to the desired level of network security. |
|
17 |
| RBI_CSF_Banks_v2016 |
4.7 |
RBI_CSF_Banks_v2016_4.7 |
|
Network Management And Security |
Anomaly Detection-4.7 |
|
n/a |
Put in place mechanism to detect and remedy any unusual activities in systems, servers, network devices and endpoints. |
|
14 |
| RBI_CSF_Banks_v2016 |
8.3 |
RBI_CSF_Banks_v2016_8.3 |
|
User Access Control / Management |
User Access Control / Management-8.3 |
|
n/a |
Disallow administrative rights on end-user workstations/PCs/laptops and provide access rights on a need to know basis and for specific duration when it is required following an established process. |
|
5 |
| RBI_CSF_Banks_v2016 |
8.5 |
RBI_CSF_Banks_v2016_8.5 |
|
User Access Control / Management |
User Access Control / Management-8.5 |
|
n/a |
Implement appropriate (e.g. centralised) systems and controls to allow, manage, log and monitor privileged/superuser/administrative access to critical systems (Servers/OS/DB, applications, network devices etc.). |
|
12 |
| RBI_ITF_NBFC_v2017 |
1.1 |
RBI_ITF_NBFC_v2017_1.1 |
RBI IT Framework 1.1 |
IT Governance |
IT Governance-1.1 |
|
n/a |
NBFCs are required to form an IT Strategy Committee. The chairman of the committee shall be an independent director and CIO & CTO should be a part of the committee. The IT Strategy Committee should meet at an appropriate frequency but not more than six months should elapse between two meetings. The Committee shall work in partnership with other Board committees and Senior Management to provide input to them. It will also carry out review and amend the IT strategies in line with the corporate strategies, Board Policy reviews, cyber security arrangements and any other matter related to IT Governance. Its deliberations may be placed before the Board. |
link |
4 |
| RBI_ITF_NBFC_v2017 |
3.1.c |
RBI_ITF_NBFC_v2017_3.1.c |
RBI IT Framework 3.1.c |
Information and Cyber Security |
Role based Access Control-3.1 |
|
n/a |
The IS Policy must provide for a IS framework with the following basic tenets:
Role based Access Control ??? Access to information should be based on well-defined user roles (system administrator, user manager, application owner etc.), NBFCs shall avoid dependence on one or few persons for a particular job. There should be clear delegation of authority for right to upgrade/change user profiles and permissions and also key business parameters (eg. interest rates) which should be documented. |
link |
15 |
| RMiT_v1.0 |
10.54 |
RMiT_v1.0_10.54 |
RMiT 10.54 |
Access Control |
Access Control - 10.54 |
Shared |
n/a |
A financial institution must implement an appropriate access controls policy for the identification, authentication and authorisation of users (internal and external users such as third party service providers). This must address both logical and physical technology access controls which are commensurate with the level of risk of unauthorised access to its technology systems. |
link |
17 |
| RMiT_v1.0 |
10.61 |
RMiT_v1.0_10.61 |
RMiT 10.61 |
Access Control |
Access Control - 10.61 |
Shared |
n/a |
A financial institution must ensure'
(a) access controls to enterprise-wide systems are effectively managed and monitored; and
(b) user activities in critical systems are logged for audit and investigations. Activity logs must be maintained for at least three years and regularly reviewed in a timely manner. |
link |
8 |
| SOC_2 |
CC6.1 |
SOC_2_CC6.1 |
SOC 2 Type 2 CC6.1 |
Logical and Physical Access Controls |
Logical access security software, infrastructure, and architectures |
Shared |
The customer is responsible for implementing this recommendation. |
The following points of focus, specifically related to all engagements using the trust services criteria, highlight important characteristics relating to this criterion:
• Identifies and Manages the Inventory of Information Assets — The entity identifies,
Page 29
TSP
Ref. #
TRUST SERVICES CRITERIA AND POINTS OF FOCUS
inventories, classifies, and manages information assets.
• Restricts Logical Access — Logical access to information assets, including hardware, data (at-rest, during processing, or in transmission), software, administrative
authorities, mobile devices, output, and offline system components is restricted
through the use of access control software and rule sets.
• Identifies and Authenticates Users — Persons, infrastructure, and software are
identified and authenticated prior to accessing information assets, whether locally
or remotely.
• Considers Network Segmentation — Network segmentation permits unrelated portions of the entity's information system to be isolated from each other.
• Manages Points of Access — Points of access by outside entities and the types of
data that flow through the points of access are identified, inventoried, and managed. The types of individuals and systems using each point of access are identified,
documented, and managed.
• Restricts Access to Information Assets — Combinations of data classification, separate data structures, port restrictions, access protocol restrictions, user identification, and digital certificates are used to establish access-control rules for information assets.
• Manages Identification and Authentication — Identification and authentication requirements are established, documented, and managed for individuals and systems
accessing entity information, infrastructure, and software.
• Manages Credentials for Infrastructure and Software — New internal and external
infrastructure and software are registered, authorized, and documented prior to being granted access credentials and implemented on the network or access point.
Credentials are removed and access is disabled when access is no longer required
or the infrastructure and software are no longer in use.
• Uses Encryption to Protect Data — The entity uses encryption to supplement other
measures used to protect data at rest, when such protections are deemed appropriate based on assessed risk.
• Protects Encryption Keys — Processes are in place to protect encryption keys during generation, storage, use, and destruction |
|
80 |
| SOC_2 |
CC6.6 |
SOC_2_CC6.6 |
SOC 2 Type 2 CC6.6 |
Logical and Physical Access Controls |
Security measures against threats outside system boundaries |
Shared |
The customer is responsible for implementing this recommendation. |
• Restricts Access — The types of activities that can occur through a communication
channel (for example, FTP site, router port) are restricted.
• Protects Identification and Authentication Credentials — Identification and authentication credentials are protected during transmission outside its system boundaries.
• Requires Additional Authentication or Credentials — Additional authentication information or credentials are required when accessing the system from outside its
boundaries.
• Implements Boundary Protection Systems — Boundary protection systems (for example, firewalls, demilitarized zones, and intrusion detection systems) are implemented to protect external access points from attempts and unauthorized access and
are monitored to detect such attempts |
|
41 |
| SOC_2 |
CC6.7 |
SOC_2_CC6.7 |
SOC 2 Type 2 CC6.7 |
Logical and Physical Access Controls |
Restrict the movement of information to authorized users |
Shared |
The customer is responsible for implementing this recommendation. |
• Restricts the Ability to Perform Transmission — Data loss prevention processes and
technologies are used to restrict ability to authorize and execute transmission,
movement, and removal of information.
• Uses Encryption Technologies or Secure Communication Channels to Protect Data
— Encryption technologies or secured communication channels are used to protect
transmission of data and other communications beyond connectivity access points.
• Protects Removal Media — Encryption technologies and physical asset protections
are used for removable media (such as USB drives and backup tapes), as appropriate.
• Protects Mobile Devices — Processes are in place to protect mobile devices (such
as laptops, smart phones, and tablets) that serve as information assets |
|
30 |
| SWIFT_CSCF_v2021 |
1.2 |
SWIFT_CSCF_v2021_1.2 |
SWIFT CSCF v2021 1.2 |
SWIFT Environment Protection |
Operating System Privileged Account Control |
|
n/a |
Restrict and control the allocation and usage of administrator-level operating system accounts. |
link |
12 |
| SWIFT_CSCF_v2021 |
2.3 |
SWIFT_CSCF_v2021_2.3 |
SWIFT CSCF v2021 2.3 |
Reduce Attack Surface and Vulnerabilities |
System Hardening |
|
n/a |
Reduce the cyber attack surface of SWIFT-related components by performing system hardening. |
link |
5 |
| SWIFT_CSCF_v2021 |
5.2 |
SWIFT_CSCF_v2021_5.2 |
SWIFT CSCF v2021 5.2 |
Manage Identities and Segregate Privileges |
Token Management |
|
n/a |
Ensure the proper management, tracking, and use of connected hardware authentication or personal tokens (if tokens are used). |
link |
3 |
| SWIFT_CSCF_v2022 |
1.2 |
SWIFT_CSCF_v2022_1.2 |
SWIFT CSCF v2022 1.2 |
1. Restrict Internet Access & Protect Critical Systems from General IT Environment |
Restrict and control the allocation and usage of administrator-level operating system accounts. |
Shared |
n/a |
Access to administrator-level operating system accounts is restricted to the maximum extent possible. Usage is controlled, monitored, and only permitted for relevant activities such as software installation and configuration, maintenance, and emergency activities. At all other times, an account with the least privilege access is used. |
link |
22 |
| SWIFT_CSCF_v2022 |
2.3 |
SWIFT_CSCF_v2022_2.3 |
SWIFT CSCF v2022 2.3 |
2. Reduce Attack Surface and Vulnerabilities |
Reduce the cyber-attack surface of SWIFT-related components by performing system hardening. |
Shared |
n/a |
Security hardening is conducted and maintained on all in-scope components. |
link |
25 |
| SWIFT_CSCF_v2022 |
5.2 |
SWIFT_CSCF_v2022_5.2 |
SWIFT CSCF v2022 5.2 |
5. Manage Identities and Segregate Privileges |
Ensure the proper management, tracking, and use of connected and disconnected hardware authentication or personal tokens (when tokens are used). |
Shared |
n/a |
Connected and disconnected hardware authentication or personal tokens are managed appropriately during their assignment, distribution, revocation, use, and storage. |
link |
5 |
| UK_NCSC_CSP |
11 |
UK_NCSC_CSP_11 |
UK NCSC CSP 11 |
External interface protection |
External interface protection |
Shared |
n/a |
All external or less trusted interfaces of the service should be identified and appropriately defended. |
link |
8 |