+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. Forbhreathnú
| Teideal |
Caighdeán |
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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 Tagairtí
1.2 Ceanglais aitheanta
1.3 Rialacháin ghaolmhara
2. Ceanglais aitheanta
Ceanglais
| Foinse |
Ceanglas |
3. Rialacháin ghaolmhara
Rialacháin
| Foinse |
Rialáil |
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EULAW
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Airteagal 21 Rialú rochtana
Airteagal 21
Mar chuid dá rialú ar chearta bainistithe rochtana, déanfaidh eintitis airgeadais beartas a fhorbairt, a dhoiciméadú agus a chur chun feidhme ina mbeidh na nithe uile seo a leanas:
(a)
cearta rochtana ar shócmhainní TFC a shannadh bunaithe ar an bprionsabal ‘ar bhonn riachtanais eolais’, an prionsabal ‘ar bhonn riachtanais úsáide’ agus prionsabal an údaráis is lú, lena n-áirítear i gcás cianrochtana agus rochtain éigeandála;
(b)
dualgais a dheighilt sa chaoi go gcoiscfear rochtain neamhúdaraithe ar shonraí criticiúla nó leithdháileadh teaglamaí ceart rochtana a d’fhéadfaí a úsáid chun teacht timpeall ar rialuithe;
(c)
foráil maidir le cuntasacht úsáideora, trí úsáid cuntas cineálach agus comhroinnte a theorannú a mhéid is féidir agus trína áirithiú go mbíonn úsáideoirí in-sainaitheanta i gcónaí i leith na ngníomhaíochtaí a dhéantar sna córais TFC;
(d)
foráil maidir le srianta rochtana ar shócmhainní TFC lena leagtar amach rialuithe agus uirlisí chun rochtain neamhúdaraithe a chosc;
(e)
nósanna imeachta bainistíochta cuntais um chearta rochtana a dheonú, a athrú nó a chúlghairm do chuntais úsáideoirí agus cuntais chineálacha, lena n-áirítear forálacha maidir leis na nithe uile seo a leanas:
(i)
róil agus freagrachtaí a shannadh maidir le cearta rochtana a dheonú, a athbhreithniú agus a chúlghairm;
(ii)
rochtain phribhléidithe, éigeandála agus riarthóra a shannadh ar bhonn riachtanais úsáide nó ar bhonn ad hoc maidir leis na córais TFC uile;
(iii)
cearta rochtana a aistarraingt gan moill mhíchuí ar fhoirceannadh fostaíochta nó i gcás nach mbeidh gá leis an rochtain a thuilleadh;
(iv)
cearta rochtana a thabhairt cothrom le dáta i gcás ina mbeidh gá le hathruithe agus uair amháin sa bhliain ar a laghad maidir leis na córais TFC uile, seachas córais TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha agus gach 6 mhí ar a laghad i gcás córais TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha;
(f)
modhanna fíordheimhniúcháin, lena n-áirítear na nithe uile seo a leanas:
(i)
úsáid a bhaint as modhanna fíordheimhniúcháin atá i gcomhréir leis an aicmiú a bhunaítear i gcomhréir le hAirteagal 8(1) de Rialachán (AE) 2022/2554 agus le próifíl riosca fhoriomlán sócmhainní TFC agus breithniú á dhéanamh ar chleachtais atá chun tosaigh;
(ii)
úsáid a bhaint as modhanna fíordheimhniúcháin láidre i gcomhréir le cleachtais atá chun tosaigh agus teicnící maidir le cianrochtain ar ghréasán an eintitis airgeadais, rochtain phribhléidithe, rochtain ar shócmhainní TFC lena dtacaítear le feidhmeanna criticiúla nó tábhachtacha nó ar shócmhainní TFC atá inrochtana don phobal;
(g)
bearta maidir le rialuithe rochtana fisiciúla, lena n-áirítear:
(i)
sainaithint agus logáil ar dhaoine nádúrtha atá údaraithe chun rochtain a fháil ar áitreabh, lárionaid sonraí agus limistéir ainmnithe íogaire arna sainaithint ag an eintiteas airgeadais ina bhfuil sócmhainní TFC agus sócmhainní faisnéise lonnaithe;
(ii)
cearta rochtana fisiciúla ar shócmhainní TFC criticiúla a dheonú do dhaoine údaraithe amháin, i gcomhréir leis an bprionsabal ‘ar bhonn riachtanais eolais’ agus le prionsabal an údaráis is lú, agus ar bhonn ad hoc;
(iii)
faireachán ar rochtain fhisiciúil ar áitreabh, lárionaid sonraí agus limistéir ainmnithe íogaire arna sainaithint ag an eintiteas airgeadais ina bhfuil sócmhainní TFC nó sócmhainní faisnéise, nó an dá chineál, lonnaithe;
(iv)
athbhreithniú ar chearta rochtana fisiciúla chun a áirithiú go ndéanfar cearta rochtana neamhriachtanacha a chúlghairm go pras.
Chun críocha phointe (e)(i), bunóidh eintitis airgeadais an tréimhse choinneála, á gcur san áireamh na cuspóirí gnó agus slándála faisnéise, na cúiseanna le taifeadadh an teagmhais sna logaí agus torthaí an mheasúnaithe riosca TFC.
Chun críocha phointe (e)(ii), úsáidfidh eintitis airgeadais, i gcás inar féidir, cuntais thiomnaithe chun cúraimí riaracháin a dhéanamh ar chórais TFC. I gcás inarb indéanta agus iomchuí, cuirfidh eintitis airgeadais réitigh uathoibrithe in úsáid le haghaidh an bhainistithe rochtana pribhléidithe.
Chun críocha phointe (g)(i), beidh an tsainaithint agus an logáil i gcomhréir le tábhacht an áitribh, na lárionad sonraí agus na limistéar ainmnithe íogair agus le criticiúlacht na n-oibríochtaí nó na gcóras TFC atá lonnaithe iontu.
Chun críocha phointe (g)(iii), beidh an faireachán i gcomhréir leis an aicmiú a bhunaítear i gcomhréir le hAirteagal 8(1) de Rialachán (AE) 2022/2554 agus le criticiúlacht an limistéir ar a bhfaightear rochtain.
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