+Role-Based Physical Access
---+Dual Authorization for Physical Access
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Role-Based Physical Access
Description
Physical access control mechanisms exist to authorize physical access to facilities based on the position or role of the individual.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Key or badge issuance based on job role
∙ Server closet access limited to owner/IT contact
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Role-based badge access groups in door access system
∙ Documented access matrix by role
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Physical access control system with role-based access levels (e.g., Brivo, Verkada, Kisi)
∙ Access matrix reviewed with HR role changes
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise physical access control system with role-based zones (e.g., Lenel, Genetec, Honeywell)
∙ HR-driven role provisioning for physical access
∙ Periodic access recertification by area owner
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise PACS integrated with identity governance for role-based physical access
∙ Automated provisioning/deprovisioning from HR events
∙ Quarterly access recertification by facility zone
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.
▪ The Human Resources (HR) department maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls.
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 authorize physical access to facilities based on the position or role of the individual.
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.
1. Resumen
| Título |
Estándar |
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Dual Authorization for Physical Access
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Description
Mechanisms exist to enforce a "two-person rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe and high-security cage).
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Note: Typically not required at this size; two-person rule for safe/critical storage if applicable
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Two-person rule for server room or safe access where required
∙ Dual-key or dual-code lock
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Two-person rule enforced by access control system for high-security areas
∙ Dual-authentication door readers
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ PACS dual-authorization (two-badge) rule for data center and high-security rooms
∙ Alarm on single-person entry
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise PACS with enforced two-person rule and anti-passback
∙ Video verification of dual entry
∙ Audit reporting on two-person rule compliance
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.
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 enforce a "two-person rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe and high-security cage).
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
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.
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1.1 Referencias
1.2 Requisitos identificados
1.3 Regulaciones relacionadas
2. Requisitos identificados
Requisitos
| Fuente |
Requisito |
3. Regulaciones relacionadas
Regulaciones
| Fuente |
Regulación |
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EULAW
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Artículo 21 Control de acceso
Artículo 21
Dentro de su control de los derechos de gestión de accesos, las entidades financieras elaborarán, documentarán y aplicarán una política que incluya todos los aspectos siguientes:
a)
la asignación de derechos de acceso a los activos de TIC sobre la base de los principios de «necesidad de conocer», «necesidad de uso» y «mínimo privilegio», también para el acceso a distancia y de emergencia;
b)
la separación de funciones con el fin de impedir el acceso injustificado a datos esenciales o la asignación de combinaciones de derechos de acceso que puedan utilizarse para eludir los controles;
c)
una disposición sobre responsabilidad de los usuarios que limite en la medida de lo posible el uso de cuentas de usuario genéricas y compartidas y garantice que, en todo momento, los usuarios sean identificables cuando realicen acciones en los sistemas de TIC;
d)
una disposición sobre las restricciones de acceso a los activos de TIC que establezca controles y herramientas para impedir el acceso no autorizado;
e)
procedimientos de gestión de cuentas para la concesión, modificación o revocación de derechos de acceso en relación con las cuentas de usuario y las cuentas genéricas, incluidas las cuentas de administrador genéricas, que incluyan disposiciones sobre todos los aspectos siguientes:
i)
asignación de funciones y responsabilidades para la concesión, revisión y revocación de los derechos de acceso,
ii)
asignación de acceso privilegiado, de emergencia y de administrador sobre la base del principio de «necesidad de uso» o con carácter ad hoc para todos los sistemas de TIC,
iii)
retirada de los derechos de acceso sin demora indebida al término de la relación laboral o cuando el acceso ya no sea necesario,
iv)
actualización de los derechos de acceso cuando se requiera introducir cambios y al menos una vez al año para todos los sistemas de TIC que no sustenten funciones esenciales o importantes y al menos cada seis meses para los sistemas de TIC que sustenten funciones esenciales o importantes;
f)
métodos de autenticación, incluidos todos los aspectos siguientes:
i)
el uso de métodos de autenticación que sean acordes con la clasificación establecida de conformidad con el artículo 8, apartado 1, del Reglamento (UE) 2022/2554 y con el perfil de riesgo general de los activos de TIC, y que tengan en cuenta las prácticas punteras,
ii)
el uso de métodos de autenticación sólidos de conformidad con las prácticas y técnicas punteras para el acceso a distancia a la red de la entidad financiera, el acceso privilegiado y el acceso a los activos de TIC que sustenten funciones esenciales o importantes o a los activos de TIC que sean de acceso público;
g)
medidas de control del acceso físico que incluyan lo siguiente:
i)
la identificación y el registro de las personas físicas autorizadas a acceder a los locales, los centros de datos y las zonas sensibles designadas determinadas por la entidad financiera en los que se encuentren los activos de TIC y de información,
ii)
la concesión de derechos de acceso físico a los activos de TIC esenciales únicamente a las personas autorizadas, de conformidad con los principios de «necesidad de conocer» y «mínimo privilegio» y con carácter ad hoc,
iii)
el seguimiento del acceso físico a los locales, los centros de datos y las zonas sensibles designadas determinadas por la entidad financiera en los que se encuentren los activos de TIC, los activos de información o ambos,
iv)
la revisión de los derechos de acceso físico para garantizar la rápida revocación de los derechos que no sean necesarios.
A efectos de la letra e), inciso i), las entidades financieras establecerán el período de conservación teniendo en cuenta los objetivos empresariales y de seguridad de la información, los motivos por los que se consigna el hecho de que se trate en los registros y los resultados de la evaluación del riesgo relacionado con las TIC.
A efectos de la letra e), inciso ii), las entidades financieras utilizarán, en la medida de lo posible, cuentas específicas para la realización de tareas administrativas en los sistemas de TIC. Cuando sea factible y adecuado, las entidades financieras implementarán soluciones automatizadas para la gestión del acceso privilegiado.
A efectos de la letra g), inciso i), la identificación y el registro serán acordes con la importancia de los locales, los centros de datos y las zonas sensibles designadas y con el carácter esencial de las operaciones que se realicen en ellos o los sistemas de TIC que se encuentren en ellos.
A efectos de la letra g), inciso iii), el seguimiento será acorde con la clasificación establecida de conformidad con el artículo 8, apartado 1, del Reglamento (UE) 2022/2554 y con el carácter esencial de la zona a la que se acceda.
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Incidencias vinculadas
- 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.
Like it or not, cybersecurity is a protracted war on an asymmetric battlefield, where the threats are everywhere and as defenders we have to make the effort to work together to help improve cybersecurity and data privacy practices, since we all suffer when massive data breaches occur or when cyber attacks have physical impacts. Hackers share information on attack methods with other hackers, so why shouldn’t the good guys share information on how to best protect an organization? We decided to take action and make a difference, since we feel it is too important to wait for someone else to fix the problems that exist.
The SCF is made up of volunteers, mainly specialists within the cybersecurity profession, who focus on GRC and the cybersecurity side of data privacy. These are auditors, engineers, architects, incident responders, consultants and other specialists who live and breathe these topics on a daily basis. The end product is "expert-derived content" that makes up the SCF." https://securecontrolsframework.com/
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