+Least Privilege
---+Prohibit Non-Privileged Users from Executing Privileged Functions
---+Authorize Access to Security Functions
---+Non-Privileged Access for Non-Security Functions
---+Auditing Use of Privileged Functions
---+Network Access to Privileged Commands
---+Privilege Levels for Code Execution
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Least Privilege
Description
Mechanisms exist to utilize the concept of least privilege, allowing only authorized access to processes necessary to accomplish assigned tasks in accordance with organizational business functions.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Role Based Access Control (RBAC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Role Based Access Control (RBAC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Role Based Access Control (RBAC)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Role Based Access Control (RBAC)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Role Based Access Control (RBAC)
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
Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.
Level 3 Well Defined
Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) solution).
▪ 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 IAC 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 utilize the concept of least privilege, allowing only authorized access to processes necessary to accomplish assigned tasks in accordance with organizational business functions.
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.
1. Vue d’ensemble
| Intitulé |
Norme |
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Prohibit Non-Privileged Users from Executing Privileged Functions
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Description
Mechanisms exist to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
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
Identification & Authentication (IAC) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IAC domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Identity & Access Management (IAM)-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.
▪ IT and/or cybersecurity personnel identify and implement IAM cybersecurity and data protection controls that are appropriate to address applicable statutory, regulatory and contractual requirements.
Level 2 Planned Tracked
Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.
Level 3 Well Defined
Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) solution).
▪ 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 IAC 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 prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures.
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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Authorize Access to Security Functions
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Description
Mechanisms exist to limit access to security functions to explicitly-authorized privileged users.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
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
Identification & Authentication (IAC) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IAC domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Identity & Access Management (IAM)-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.
▪ IT and/or cybersecurity personnel identify and implement IAM cybersecurity and data protection controls that are appropriate to address applicable statutory, regulatory and contractual requirements.
Level 2 Planned Tracked
Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.
Level 3 Well Defined
Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) solution).
▪ 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 IAC 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 limit access to security functions to explicitly-authorized privileged users.
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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Non-Privileged Access for Non-Security Functions
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Description
Mechanisms exist to prohibit privileged users from using privileged accounts, while performing non-security functions.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Use standard (non-admin) accounts for daily work
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Policy requiring non-privileged accounts for non-security functions
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal least-privilege access policy
∙ Standard accounts for daily activities
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise least-privilege enforcement
∙ Automated detection of privilege misuse
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise least-privilege access management
∙ UEBA for privilege misuse detection
∙ Just-in-time privilege elevation
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
Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.
Level 3 Well Defined
Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) solution).
▪ 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 IAC 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 prohibit privileged users from using privileged accounts, while performing non-security functions.
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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Auditing Use of Privileged Functions
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Description
Mechanisms exist to audit the execution of privileged functions.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Log and review privileged function usage periodically
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Audit logging of privileged function use
∙ Periodic review of privilege activity logs
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal privileged function audit logging policy
∙ Regular audit log review
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise SIEM with privileged activity monitoring
∙ Automated alerting for anomalous privileged use
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise SIEM/PAM with continuous privileged function auditing (e.g., CyberArk, Splunk)
∙ Automated anomaly detection
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
Identification & Authentication (IAC) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IAC domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Identity & Access Management (IAM)-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.
▪ IT and/or cybersecurity personnel identify and implement IAM cybersecurity and data protection controls that are appropriate to address applicable statutory, regulatory and contractual requirements.
Level 2 Planned Tracked
Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.
▪ IAM revokes user access rights following changes in personnel roles and duties, if no longer necessary or permitted.
Level 3 Well Defined
Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) solution).
▪ 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 IAC 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 audit the execution of privileged functions.
Level 4 Quantitatively Controlled
Identification & Authentication (IAC) 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.
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Network Access to Privileged Commands
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Description
Mechanisms exist to authorize remote access to perform privileged commands on critical Technology Assets, Applications and/or Services (TAAS) or where sensitive and/or regulated data is stored, transmitted and/or processed only for compelling operational needs.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Restrict network access for privileged commands to admin network
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Policy restricting privileged command execution over network to authorized paths
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal privileged network access policy
∙ Dedicated admin network or jump server
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise jump server/bastion host for privileged network access
∙ PAM integration
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise privileged remote access platform (e.g., BeyondTrust, CyberArk)
∙ Just-in-time privileged network access
∙ Session recording
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
Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.
Level 3 Well Defined
Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) solution).
▪ 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 IAC 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 authorize remote access to perform privileged commands on critical Technology Assets, Applications and/or Services (TAAS) or where sensitive/regulated data is stored, transmitted and/or processed only for compelling operational needs.
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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Privilege Levels for Code Execution
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Description
Automated mechanisms exist to prevent applications from executing at higher privilege levels than the user's privileges.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Role Based Access Control (RBAC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Role Based Access Control (RBAC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Role Based Access Control (RBAC)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Role Based Access Control (RBAC)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Role Based Access Control (RBAC)
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
Identification & Authentication (IAC) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IAC domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Identity & Access Management (IAM)-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.
▪ IT and/or cybersecurity personnel identify and implement IAM cybersecurity and data protection controls that are appropriate to address applicable statutory, regulatory and contractual requirements.
Level 2 Planned Tracked
Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.
Level 3 Well Defined
Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) solution).
▪ 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 IAC 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 automatically prevent applications from executing at higher privilege levels than the user's privileges.
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 Références
1.2 Exigences identifiées
1.3 Réglementations associées
2. Exigences identifiées
Exigences
| Source |
Exigence |
3. Réglementations associées
Réglementations
| Source |
Réglementation |
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EULAW
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Article 21 Contrôle d’accès
Article 21
Dans le cadre de leur contrôle des droits de gestion des accès, les entités financières élaborent, documentent et mettent en œuvre une politique qui comporte l’ensemble des éléments suivants:
a)
l’attribution de droits d’accès aux actifs de TIC selon les principes du besoin d’en connaître, du besoin d’en disposer et du moindre privilège, y compris pour l’accès à distance et l’accès d’urgence;
b)
une séparation des tâches visant à empêcher un accès injustifié à des données critiques ou à empêcher l’attribution de combinaisons de droits d’accès susceptibles d’être utilisées pour contourner les contrôles;
c)
des dispositions sur la responsabilité des utilisateurs, en limitant, dans la mesure du possible, l’utilisation de comptes utilisateurs génériques ou partagés et en veillant à ce que les utilisateurs soient à tout moment identifiables pour les actions effectuées dans les systèmes de TIC;
d)
des dispositions sur les restrictions d’accès aux actifs de TIC, prévoyant des contrôles et des outils pour empêcher tout accès non autorisé;
e)
des procédures de gestion de comptes permettant d’accorder, de modifier ou de révoquer des droits d’accès pour les comptes d’utilisateurs et les comptes génériques, y compris les comptes génériques d’administrateur, comportant des dispositions relatives à tous les éléments suivants:
i)
l’attribution des rôles et des responsabilités pour l’octroi, le réexamen et la révocation des droits d’accès;
ii)
l’attribution d’accès privilégiés, d’urgence et d’administrateur uniquement sur la base du besoin d’en disposer ou au cas par cas pour tous les systèmes de TIC;
iii)
le retrait des droits d’accès sans retard injustifié à la fin de l’emploi ou lorsque l’accès n’est plus nécessaire;
iv)
la mise à jour des droits d’accès lorsque des modifications sont nécessaires et au moins une fois par an pour tous les systèmes de TIC autres que les systèmes de TIC qui soutiennent des fonctions critiques ou importantes et au moins tous les six mois pour les systèmes de TIC qui soutiennent des fonctions critiques ou importantes;
f)
des méthodes d’authentification, comprenant l’ensemble des éléments suivants:
i)
l’utilisation de méthodes d’authentification proportionnées à la classification établie conformément à l’article 8, paragraphe 1, du règlement (UE) 2022/2554 et au profil de risque global des actifs de TIC et tenant compte des pratiques de pointe;
ii)
l’utilisation de méthodes d’authentification forte conformément aux pratiques et techniques de pointe pour l’accès à distance au réseau de l’entité financière, pour les accès privilégiés, pour l’accès aux actifs de TIC soutenant des fonctions critiques ou importantes ou aux actifs de TIC accessibles au public;
g)
des mesures de contrôle de l’accès physique comprenant:
i)
l’identification et la journalisation des personnes physiques autorisées à accéder aux locaux, aux centres de données et aux zones sensibles désignées par l’entité financière où sont situés les actifs de TIC et les actifs informationnels;
ii)
l’octroi de droits d’accès physique aux actifs de TIC critiques uniquement aux personnes autorisées, conformément aux principes du besoin d’en connaître et du moindre privilège, et au cas par cas;
iii)
le suivi de l’accès physique aux locaux, aux centres de données et aux zones sensibles désignées par l’entité financière où sont situés les actifs de TIC, les actifs informationnels ou les deux types d’actifs;
iv)
le réexamen des droits d’accès physique afin de veiller à ce que les droits d’accès inutiles soient rapidement révoqués.
Aux fins du point e) i), les entités financières définissent la durée de conservation en prenant en considération les objectifs en matière de sécurité des activités et de l’information, les raisons de l’enregistrement de l’événement dans les journaux et les résultats de l’évaluation du risque lié aux TIC.
Aux fins du point e) ii), les entités financières utilisent, dans la mesure du possible, des comptes spécifiques pour l’exécution de tâches administratives relatives aux systèmes de TIC. Lorsque cela est possible et approprié, les entités financières déploient des solutions automatisées pour la gestion des accès privilégiés.
Aux fins du point g) i), l’identification et la journalisation sont proportionnées à l’importance des locaux, des centres de données et des zones sensibles désignées et à la criticité des opérations ou des systèmes de TIC qui y sont situés.
Aux fins du point g) iii), le suivi est proportionné à la classification établie conformément à l’article 8, paragraphe 1, du règlement (UE) 2022/2554 et à la criticité de la zone accessible.
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EULAW
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Article 33 Contrôle d’accès
Article 33
Les entités financières visées à l’article 16, paragraphe 1, du règlement (UE) 2022/2554 élaborent, documentent et mettent en œuvre des procédures de contrôle des accès logiques et physiques, et appliquent, contrôlent et réexaminent périodiquement ces procédures. Ces procédures comportent les éléments suivants de contrôle des accès logiques et physiques:
a)
les droits d’accès aux actifs informationnels, aux actifs de TIC et aux fonctions que ces actifs soutiennent, ainsi qu’aux sites critiques d’exploitation de l’entité financière, sont gérés selon les principes du besoin d’en connaître, du besoin d’en disposer et du droit d’accès minimal, y compris pour l’accès à distance et l’accès d’urgence;
b)
la responsabilité des utilisateurs, qui garantit que les utilisateurs peuvent être identifiés pour les actions effectuées dans les systèmes de TIC;
c)
les procédures de gestion des comptes permettant d’accorder, de modifier ou de révoquer des droits d’accès pour les comptes d’utilisateurs et les comptes génériques, y compris les comptes génériques d’administrateur;
d)
des méthodes d’authentification proportionnées à la classification visée à l’article 30, paragraphe 1, et au profil de risque global des actifs de TIC, et reposant sur les pratiques de pointe;
e)
les droits d’accès sont réexaminés périodiquement et retirés lorsqu’ils ne sont plus nécessaires.
Aux fins du point c), l’entité financière attribue des accès privilégiés, d’urgence et d’administrateur uniquement sur la base du besoin d’en disposer ou au cas par cas pour tous les systèmes de TIC. Ces accès sont journalisés conformément à l’article 34, premier alinéa, point f).
Aux fins du point d), les entités financières utilisent des méthodes d’authentification forte reposant sur les pratiques de pointe pour l’accès à distance à leurs réseaux, pour tout accès privilégié et pour l’accès aux actifs de TIC soutenant des fonctions critiques ou importantes qui sont accessibles au public.
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EULAW
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Article 9 Protection et prévention
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EULAW
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Article 9 4
4. As part of the ICT risk management framework referred to in Article 6(1), financial entities shall:
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(a)
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develop and document an information security policy defining rules to protect the availability, authenticity, integrity and confidentiality of data, information assets and ICT assets, including those of their customers, where applicable;
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(b)
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following a risk-based approach, establish a sound network and infrastructure management structure using appropriate techniques, methods and protocols that may include implementing automated mechanisms to isolate affected information assets in the event of cyber-attacks;
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(c)
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implement policies that limit the physical or logical access to information assets and ICT assets to what is required for legitimate and approved functions and activities only, and establish to that end a set of policies, procedures and controls that address access rights and ensure a sound administration thereof;
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(d)
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implement policies and protocols for strong authentication mechanisms, based on relevant standards and dedicated control systems, and protection measures of cryptographic keys whereby data is encrypted based on results of approved data classification and ICT risk assessment processes;
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(e)
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implement documented policies, procedures and controls for ICT change management, including changes to software, hardware, firmware components, systems or security parameters, that are based on a risk assessment approach and are an integral part of the financial entity’s overall change management process, in order to ensure that all changes to ICT systems are recorded, tested, assessed, approved, implemented and verified in a controlled manner;
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(f)
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have appropriate and comprehensive documented policies for patches and updates.
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For the purposes of the first subparagraph, point (b), financial entities shall design the network connection infrastructure in a way that allows it to be instantaneously severed or segmented in order to minimise and prevent contagion, especially for interconnected financial processes.
For the purposes of the first subparagraph, point (e), the ICT change management process shall be approved by appropriate lines of management and shall have specific protocols in place.
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