+Physical Access Control
---+Physical Access Device Inventories
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Physical Access Control
Description
Physical access control mechanisms exist to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Physical security policy
∙ Door locks and key management
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Physical security policy
∙ Access log
∙ Visitor procedures
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Physical & Environmental Security (PES) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PES domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PES domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PES domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Physical security / facilities management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Physical security / facilities management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Physical security controls and technologies primarily focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ Physical security controls and technologies ensure that only authorized personnel are allowed access to secure areas.
▪ A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.
▪ Physical security controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).
Level 3 Well Defined
Physical & Environmental Security (PES) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PES domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PES domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational physical security capability exists to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).
Level 4 Quantitatively Controlled
Physical & Environmental Security (PES) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
1. Преглед
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Стандарт |
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Physical Access Device Inventories
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Description
Mechanisms exist to maintain an accurate inventory of all physical access devices (e.g., RFID cards, access fobs and door keys).
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Key and badge log (spreadsheet) with holder name
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Key/badge inventory with issuance and return records
∙ Periodic reconciliation of issued devices
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Physical access control system badge inventory
∙ Key management log or key cabinet (e.g., KeyWatcher)
∙ Annual reconciliation
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ PACS credential inventory reconciled with HR roster
∙ Electronic key management system (e.g., Traka, KeyWatcher)
∙ Quarterly reconciliation
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise PACS credential lifecycle management
∙ Electronic key management with audit trail
∙ Automated reconciliation against identity system
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Physical & Environmental Security (PES) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PES domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Physical security-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs).
▪ IT and/or cybersecurity personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization's technology assets and data.
Level 2 Planned Tracked
SCR-CMM Level 2 criteria definitions are not available for this control:
▪ A reasonable person would conclude a well-defined and standardized process is required.
▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization.
▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts).
Level 3 Well Defined
Physical & Environmental Security (PES) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PES domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PES domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to maintain an accurate inventory of all physical access devices (e.g., RFID cards, access fobs and door keys).
Level 4 Quantitatively Controlled
Physical & Environmental Security (PES) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Physical & Environmental Security (PES) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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1.1 Препратки
1.2 Идентифицирани изисквания
1.3 Свързани регулации
2. Идентифицирани изисквания
Изисквания
| Източник |
Изискване |
3. Свързани регулации
Регулации
| Източник |
Регулация |
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EULAW
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Член 21 Контрол на достъпа
Член 21
Като част от своите права за управление на контрола на достъпа финансовите субекти разработват, документират и прилагат политика, която съдържа всички изброени по-долу елементи:
а)
предоставянето на права на достъп до активи на ИКТ въз основа на принципите „необходимост да се знае“, „необходимост да се използва“ и „функциониране с най-малка привилегия“, включително при отдалечен достъп и достъп при извънредни ситуации;
б)
разделянето на функциите, което има за цел да се предотврати необоснован достъп до критични данни или да се предотврати разпределянето на комбинации от права за достъп, които може да бъдат използвани за заобикаляне на механизмите за контрол;
в)
разпоредба относно отчетността на ползвателите, като използването на общи и споделени потребителски профили се ограничава до възможната степен и се гарантира, че самоличността на ползвателите може да бъде установена по всяко време във връзка с извършвани в системите на ИКТ действия;
г)
разпоредба относно ограниченията на достъпа до активи на ИКТ, с която се определят механизми за контрол и инструменти за предотвратяване на непозволен достъп;
д)
процедури за управление на профили за предоставяне, промяна или отнемане на права на достъп за потребителски и общи профили, в това число общи профили на администратори, включително предоставяне на всички изброени по-долу елементи:
i)
разпределяне на роли и отговорности за предоставяне, преглед и отнемане на права на достъп;
ii)
предоставяне на привилегирован и администраторски достъп и достъп при извънредни ситуации въз основа на принципа „необходимост да се знае“ или на ad-hoc основа за всички системи на ИКТ;
iii)
отнемане на правата за достъп без неоправдано забавяне при прекратяване на трудовото правоотношение, или когато достъпът вече не е необходим;
iv)
актуализиране на правата за достъп, когато са необходими промени, и най-малко веднъж годишно за всички системи на ИКТ, различни от системи на ИКТ, поддържащи критични или важни функции, и поне на всеки 6 месеца за системи на ИКТ, поддържащи критични или важни функции;
е)
методи за удостоверяване на автентичността, включително всички изброени по-долу елементи:
i)
използването на методи за удостоверяване на автентичността, съизмерими с установената в съответствие с член 8, параграф 1 от Регламент (ЕС) 2022/2554 класификация и с цялостния рисков профил на активите на ИКТ, и като се вземат предвид водещите практики;
ii)
използването на сигурни методи за удостоверяване на автентичността в съответствие с водещите практики и техники за отдалечен достъп до мрежата на финансовия субект, за привилегирован достъп, за достъп до активи на ИКТ, поддържащи критични или важни функции или до публично достъпни активи на ИКТ;
ж)
мерки за контрол на физическия достъп, включително:
i)
идентифицирането и регистрирането на физически лица, които са упълномощени за достъп до помещения, центрове за данни и зони, определени от финансовия субект като чувствителни, където се намират активи на ИКТ и информационни активи;
ii)
предоставянето на права на физически достъп до активи на ИКТ само на упълномощени лица в съответствие с принципите „необходимост да се знае“ и функциониране с най-малка привилегия, както и на ad hoc основа;
iii)
наблюдението на физическия достъп до помещения, центрове за данни и зони, определени от финансовия субект като чувствителни, където се намират активи на ИКТ и информационни активи или и двете;
iv)
преглед на правата на физически достъп с цел да се гарантира незабавната отмяна на ненужните права за достъп.
За целите на буква д), точка i) финансовите субекти определят срока на съхранение, като вземат предвид целите за стопанска сигурност и сигурност на информацията, причините за записване на събитието в регистрационните файлове и резултатите от оценката на риска в областта на ИКТ.
За целите на буква д), точка ii) финансовите субекти използват, когато това е възможно, специални профили за изпълнение на административни задачи на системи на ИКТ. Когато е осъществимо и подходящо, финансовите субекти внедряват автоматизирани решения за управление на привилегирования достъп.
За целите на буква ж), точка i) идентифицирането и регистрирането са съизмерими със значението на помещенията, центровете за данни и зоните, определени като чувствителни, както и с критичната значимост на операциите или системите на ИКТ, разположени в тях.
За целите на буква ж), точка iii) наблюдението е съизмеримо с установената в съответствие с член 8, параграф 1 от Регламент (ЕС) 2022/2554 класификация и с критичната значимост на зоната, до която се осъществява достъп.
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EULAW
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Член 32 Физическа сигурност и сигурност на заобикалящата среда
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EULAW
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Член 33 Контрол на достъпа
Член 33
Финансовите субекти, посочени в член 16, параграф 1 от Регламент (ЕС) 2022/2554, разработват, документират и прилагат процедури за контрол на логическия и физическия достъп и налагат, наблюдават и периодично правят преглед на тези процедури. Тези процедури съдържат следните елементи за контрол на логическия и физическия достъп:
а)
правата на достъп до информационни активи, активи на ИКТ и на поддържаните от тях функции, както и до критични за дейността на финансовия субект места, се управляват въз основа на принципите „необходимост да се знае“, „необходимост да се използва“ и „функциониране с най-малка привилегия“, включително по отношение на отдалечен достъп и достъп при извънредни ситуации;
б)
отчетност на ползвателите, която гарантира, че самоличността на ползвателите може да бъде установена във връзка с извършваните в системите на ИКТ действия;
в)
процедури за управление на профили за предоставяне, промяна или отнемане на права на достъп за потребителски и общи профили, в това число общи профили на администратори;
г)
методи за удостоверяване на автентичността, които са съизмерими с посочената в член 30, параграф 1 класификация и с цялостния рисков профил на активите на ИКТ, и които се основават на водещите практики;
д)
правата на достъп се преразглеждат периодично и се отнемат, когато вече не са необходими.
За целите на буква в) финансовият субект предоставя привилегирован достъп, достъп при извънредни ситуации и администраторски достъп въз основа на принципа „необходимост да се знае“ или на ad-hoc основа за всички системи на ИКТ и той се регистрира в съответствие с член 34, първа алинея, буква е).
За целите на буква г) финансовите субекти използват сигурни методи за удостоверяване на автентичността, които се основават на водещи практики за отдалечен достъп до мрежата на финансовите субекти, за привилегирован достъп и за достъп до активи на ИКТ, поддържащи критични или важни функции, които са публично достъпни.
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Свързани задачи
- Secure Controls Framework -
"The SCF is the Common Controls Framework™ (CCF), the world's most comprehensive cybersecurity and data privacy metaframework - it is also free to use. The entire concept is building secure, compliant and resilient capabilities in the most efficient and cost-effective manner possible.
The SCF is more than just a unified control catalog, since its included content creates a playbook for Governance, Risk & Compliance (GRC) capabilities. Used globally by organizations of every size, the SCF is a robust and scalable solution for security, compliance and resilience controls. As a comprehensive security framework, the SCF maps 1,400+ controls across 200+ laws, regulations, and industry frameworks so you can implement once and comply everywhere.
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