+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. Áttekintés
| Megnevezés |
Szabvány |
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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 Hivatkozások
1.2 Azonosított követelmények
1.3 Kapcsolódó szabályozások
2. Azonosított követelmények
Követelmények
| Forrás |
Követelmény |
3. Kapcsolódó szabályozások
Szabályozások
| Forrás |
Szabályozás |
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EULAW
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21. cikk Hozzáférés-ellenőrzés
21. cikk
A hozzáférés-kezelési jogosultságok ellenőrzésének részeként a pénzügyi szervezetek a következők mindegyikét tartalmazó szabályzatot dolgoznak ki, dokumentálnak és hajtanak végre:
a)
az IKT-eszközökhöz való hozzáférési jogosultságok kiosztása a szükséges ismeret elve, a szükséges használat elve és a legkisebb jogosultság elve alapján, beleértve a távoli és vészhelyzeti hozzáférést is;
b)
a feladatok elkülönítése, amelynek célja a kritikus adatokhoz való indokolatlan hozzáférés megakadályozása és a hozzáférési jogosultságok olyan kombinációi kiosztásának megakadályozása, amelyek felhasználhatók az ellenőrzések megkerülésére;
c)
a felhasználói elszámoltathatóságról szóló rendelkezés, amely a lehető legnagyobb mértékben korlátozza az általános és közös felhasználói fiókok használatát, és biztosítja, hogy a felhasználók mindenkor azonosíthatók legyenek az IKT-rendszerekben végzett tevékenységek tekintetében;
d)
az IKT-eszközökhöz való hozzáférés korlátozására vonatkozó rendelkezés, amely meghatározza a jogosulatlan hozzáférés megakadályozását célzó ellenőrzéseket és eszközöket;
e)
a felhasználói és általános fiókokhoz, köztük az általános rendszergazdai fiókokhoz való hozzáférési jogosultságok megadására, módosítására vagy visszavonására vonatkozó fiókkezelési eljárások, beleértve a következők mindegyikére vonatkozó rendelkezést:
i.
a hozzáférési jogosultságok megadásával, felülvizsgálatával és visszavonásával kapcsolatos szerep- és felelősségi körök kijelölése
ii.
a kiemelt, vészhelyzeti és rendszergazdai hozzáférés kiosztása a szükséges használat elve alapján vagy eseti alapon minden IKT-rendszer esetében;
iii.
a hozzáférési jogosultságok indokolatlan késedelem nélküli visszavonása a munkaviszony megszűnésekor, vagy ha a hozzáférésre már nincs szükség;
iv.
a hozzáférési jogosultságok aktualizálása, amennyiben módosításra van szükség, illetve a kritikus vagy fontos funkciókat támogató IKT-rendszerektől eltérő valamennyi IKT-rendszer esetében legalább évente egyszer, a kritikus vagy fontos funkciókat támogató IKT-rendszerek esetében pedig legalább hathavonta.
f)
hitelesítési módszerek, beleértve a következők mindegyikét:
i.
az (EU) 2022/2554 rendelet 8. cikkének (1) bekezdésével összhangban megállapított osztályozással és az IKT-eszközök általános kockázati profiljával arányos hitelesítési módszerek alkalmazása, figyelembe véve a vezető gyakorlatokat;
ii.
a vezető gyakorlatokkal és technikákkal összhangban erős hitelesítési módszerek alkalmazása a pénzügyi szervezet hálózatához való távoli hozzáféréshez, a kiemelt hozzáféréshez, a kritikus vagy fontos funkciókat támogató IKT-eszközökhöz vagy a nyilvánosan hozzáférhető IKT-eszközökhöz való hozzáféréshez;
g)
fizikai hozzáférés-ellenőrzési intézkedések, beleértve a következőket:
i.
azon természetes személyek azonosítása és naplózása, akik beléphetnek a pénzügyi szervezet IKT-eszközöknek és információs vagyonelemeknek helyet adó telephelyeire és adatközpontjaiba, valamint az IKT-eszközöknek és információs vagyonelemeknek helyet adó, a pénzügyi szervezet által kijelölt érzékeny területekre;
ii.
a kritikus IKT-eszközökhöz való fizikai hozzáférési jogosultságok biztosítása kizárólag az arra jogosult személyek számára, a szükséges ismeret és a legkisebb jogosultság elvével összhangban, és eseti alapon;
iii.
a pénzügyi szervezet IKT-eszközöknek és információs vagyonelemeknek helyet adó telephelyeihez és adatközpontjaihoz, valamint az IKT-eszközöknek és információs vagyonelemeknek helyet adó, a pénzügyi szervezet által kijelölt érzékeny területekhez való fizikai hozzáférés nyomon követése;
iv.
a fizikai hozzáférési jogosultságok felülvizsgálata a szükségtelen hozzáférési jogosultságok haladéktalan visszavonásának biztosítása érdekében.
Az e) pont i. alpontjának alkalmazásában a pénzügyi szervezetek a megőrzési idő meghatározásakor figyelembe veszik az üzleti és információbiztonsági célkitűzéseket, az esemény naplókban való rögzítésének okait és az IKT-kockázatértékelés eredményeit.
Az e) pont ii. alpontjának alkalmazásában a pénzügyi szervezetek lehetőség szerint külön fiókokat használnak az IKT-rendszerekkel kapcsolatos rendszergazdai feladatok ellátásához. Amennyiben megvalósítható és helyénvaló, a pénzügyi szervezetek automatizált megoldásokat alkalmaznak a kiemelt hozzáférések kezelésére.
A g) pont i. alpontjának alkalmazásában a személyazonosításnak és a naplózásnak arányban kell állnia a telephelyek, adatközpontok és kijelölt érzékeny területek fontosságával, valamint az ott végzett műveletek vagy ott található IKT-rendszerek kritikusságával.
A g) pont iii. alpontjának alkalmazásában a nyomon követésnek arányban kell állnia az (EU) 2022/2554 rendelet 8. cikkének (1) bekezdésével összhangban megállapított osztályozással és a hozzáféréssel érintett terület kritikusságával.
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