+Authenticator Management
---+Events Requiring Authenticator Change
---+Protection of Authenticators
---+No Embedded Unencrypted Static Authenticators
---+Default Authenticators
---+Expiration of Cached Authenticators
|
Authenticator Management
Description
Mechanisms exist to:
(1) Securely manage authenticators for users and devices; and
(2) Ensure the strength of authentication is appropriate to the classification of the data being accessed.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)
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:
(1) Securely manage authenticators for users and devices; and
(2) Ensure the strength of authentication is appropriate to the classification of the data being accessed.
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
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.
▪ 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. Panoramica
| Titolo |
Standard |
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Events Requiring Authenticator Change
|
Description
Mechanisms exist to change authentication credentials:
(1) At predefined intervals; and/or
(2) Upon suspicion of credential compromise.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Change passwords when compromise is suspected
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Policy requiring authenticator change upon suspected compromise
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal authenticator replacement triggers and procedures
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise process for forced authenticator change on compromise indicators
∙ Automated triggering from SIEM
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise IAM with automated authenticator reset workflows triggered by security events
∙ SIEM/SOAR integration
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 change authentication credentials:
(1) At predefined intervals; and/or
(2) Upon suspicion of credential compromise.
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.
|
|
Protection of Authenticators
|
Description
Mechanisms exist to protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Store passwords in a password manager
∙ Never share passwords
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Password manager for credential storage
∙ Policy for authenticator protection
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal authenticator protection policy
∙ Password manager deployment
∙ Hardware token protection
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise password management (e.g., CyberArk, 1Password)
∙ Hardware token management
∙ PKI for certificate protection
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise credential management platform (e.g., CyberArk, Thales)
∙ HSM for cryptographic authenticator protection
∙ Hardware token lifecycle management
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.
▪ Password managers are not governed.
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 protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access.
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.
|
|
No Embedded Unencrypted Static Authenticators
|
Description
Mechanisms exist to ensure that unencrypted, static authenticators are not embedded in applications, scripts or stored on function keys.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program
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 ensure that unencrypted, static authenticators are not embedded in applications, scripts or stored on function keys.
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.
|
|
Default Authenticators
|
Description
Mechanisms exist to ensure default authenticators are changed as part of account creation or system installation.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program
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 ensure default authenticators are changed as part of account creation or system installation.
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.
|
|
Expiration of Cached Authenticators
|
Description
Automated mechanisms exist to prohibit the use of cached authenticators after an organization-defined time period.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Clear cached credentials on shared/public systems
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Policy requiring clearing of cached authenticators on shared systems
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal cached authenticator expiration policy
∙ Technical controls for cache expiry
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise endpoint policy for authenticator cache expiration (e.g., GPO)
∙ Automated enforcement
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise endpoint management with cached credential expiration policies (e.g., Microsoft Intune, JAMF)
∙ Automated enforcement
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 prohibit the use of cached authenticators after organization-defined time period.
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 Riferimenti
1.2 Requisiti identificati
1.3 Regolamentazioni correlate
2. Requisiti identificati
Requisiti
| Fonte |
Requisito |
3. Regolamentazioni correlate
Regolamentazioni
| Fonte |
Regolamentazione |
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EULAW
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Articolo 21 Controllo degli accessi
Articolo 21
Nell’ambito del controllo dei diritti di gestione degli accessi, le entità finanziarie elaborano, documentano e attuano una politica che contiene tutti gli elementi seguenti:
a)
l’assegnazione dei diritti di accesso alle risorse TIC in base ai principi della necessità di sapere, della necessità di usare e del privilegio minimo, anche per l’accesso remoto e di emergenza;
b)
una separazione dei compiti, concepita per impedire l’accesso ingiustificato ai dati critici o per impedire l’assegnazione di combinazioni di diritti di accesso che potrebbero essere utilizzati per eludere i controlli;
c)
una disposizione sulla responsabilità degli utenti, limitando per quanto possibile l’uso di account utente generici e condivisi e garantendo che gli utenti siano in ogni momento identificabili per le azioni eseguite nei sistemi di TIC;
d)
una disposizione sulle restrizioni di accesso alle risorse TIC, che definisca i controlli e gli strumenti per prevenire l’accesso non autorizzato;
e)
procedure di gestione degli account per concedere, modificare o revocare i diritti di accesso per gli account utente e generici, compresi gli account amministratore generici, che comprendano disposizioni relative a tutti gli aspetti seguenti:
i)
l’assegnazione di ruoli e responsabilità per la concessione, il riesame e la revoca dei diritti di accesso;
ii)
l’assegnazione di accessi privilegiati, di emergenza e di amministratore in base alla necessità di utilizzo o ad hoc per tutti i sistemi di TIC;
iii)
la revoca dei diritti di accesso senza indebito ritardo al termine del rapporto di lavoro o quando l’accesso non è più necessario;
iv)
l’aggiornamento dei diritti di accesso quando sono necessarie modifiche e almeno una volta all’anno per tutti i sistemi di TIC diversi da quelli che supportano funzioni essenziali o importanti e almeno ogni sei mesi per i sistemi di TIC che supportano funzioni essenziali o importanti;
f)
i metodi di autenticazione, che comprendano tutti gli aspetti seguenti:
i)
l’uso di metodi di autenticazione commisurati alla classificazione effettuata in conformità dell’articolo 8, paragrafo 1, del regolamento (UE) 2022/2554 e al profilo di rischio complessivo delle risorse TIC, tenendo conto delle pratiche più avanzate;
ii)
l’uso di metodi di autentificazione robusti, conformemente alle pratiche e alle tecniche più avanzate, per l’accesso remoto alla rete dell’entità finanziaria, per l’accesso privilegiato, per l’accesso alle risorse TIC che supportano funzioni essenziali o importanti o per le risorse TIC accessibili al pubblico;
g)
le misure di controllo degli accessi fisici, tra cui:
i)
l’identificazione e il logging delle persone fisiche autorizzate ad accedere ai locali, ai centri di elaborazione dati, alle aree designate come sensibili dall’entità finanziaria in cui risiedono le risorse TIC e i patrimoni informativi;
ii)
la concessione dei diritti di accesso fisico alle risorse TIC critiche solo alle persone autorizzate, secondo i principi della necessità di sapere e del privilegio minimo, e su base ad hoc;
iii)
il monitoraggio dell’accesso fisico ai locali, ai centri di elaborazione dati e alle aree designate come sensibili dall’entità finanziaria in cui risiedono le risorse TIC, i patrimoni informativi o entrambi;
iv)
il riesame dei diritti di accesso fisico per garantire la revoca tempestiva dei diritti di accesso non necessari.
Ai fini della lettera e), punto i), le entità finanziarie stabiliscono il periodo di conservazione, tenendo conto degli obiettivi aziendali e di sicurezza delle informazioni, dei motivi della registrazione dell’evento nei log e dei risultati della valutazione dei rischi informatici.
Ai fini della lettera e), punto ii), le entità finanziarie utilizzano, ove possibile, account dedicati per lo svolgimento di compiti amministrativi sui sistemi di TIC. Ove possibile e opportuno, le entità finanziarie adottano soluzioni automatizzate per la gestione degli accessi privilegiati.
Ai fini della lettera g), punto i), l’identificazione e il logging sono commisurati all’importanza dei locali, dei centri di elaborazione dati, delle aree designate come sensibili e alla criticità delle operazioni o dei sistemi di TIC ivi ubicati.
Ai fini della lettera g), punto iii), il monitoraggio è commisurato alla classificazione effettuata conformemente all’articolo 8, paragrafo 1, del regolamento (UE) 2022/2554 e alla criticità dell’area cui si accede.
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EULAW
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Articolo 21 Controllo degli accessi
Articolo 21
Nell’ambito del controllo dei diritti di gestione degli accessi, le entità finanziarie elaborano, documentano e attuano una politica che contiene tutti gli elementi seguenti:
a)
l’assegnazione dei diritti di accesso alle risorse TIC in base ai principi della necessità di sapere, della necessità di usare e del privilegio minimo, anche per l’accesso remoto e di emergenza;
b)
una separazione dei compiti, concepita per impedire l’accesso ingiustificato ai dati critici o per impedire l’assegnazione di combinazioni di diritti di accesso che potrebbero essere utilizzati per eludere i controlli;
c)
una disposizione sulla responsabilità degli utenti, limitando per quanto possibile l’uso di account utente generici e condivisi e garantendo che gli utenti siano in ogni momento identificabili per le azioni eseguite nei sistemi di TIC;
d)
una disposizione sulle restrizioni di accesso alle risorse TIC, che definisca i controlli e gli strumenti per prevenire l’accesso non autorizzato;
e)
procedure di gestione degli account per concedere, modificare o revocare i diritti di accesso per gli account utente e generici, compresi gli account amministratore generici, che comprendano disposizioni relative a tutti gli aspetti seguenti:
i)
l’assegnazione di ruoli e responsabilità per la concessione, il riesame e la revoca dei diritti di accesso;
ii)
l’assegnazione di accessi privilegiati, di emergenza e di amministratore in base alla necessità di utilizzo o ad hoc per tutti i sistemi di TIC;
iii)
la revoca dei diritti di accesso senza indebito ritardo al termine del rapporto di lavoro o quando l’accesso non è più necessario;
iv)
l’aggiornamento dei diritti di accesso quando sono necessarie modifiche e almeno una volta all’anno per tutti i sistemi di TIC diversi da quelli che supportano funzioni essenziali o importanti e almeno ogni sei mesi per i sistemi di TIC che supportano funzioni essenziali o importanti;
f)
i metodi di autenticazione, che comprendano tutti gli aspetti seguenti:
i)
l’uso di metodi di autenticazione commisurati alla classificazione effettuata in conformità dell’articolo 8, paragrafo 1, del regolamento (UE) 2022/2554 e al profilo di rischio complessivo delle risorse TIC, tenendo conto delle pratiche più avanzate;
ii)
l’uso di metodi di autentificazione robusti, conformemente alle pratiche e alle tecniche più avanzate, per l’accesso remoto alla rete dell’entità finanziaria, per l’accesso privilegiato, per l’accesso alle risorse TIC che supportano funzioni essenziali o importanti o per le risorse TIC accessibili al pubblico;
g)
le misure di controllo degli accessi fisici, tra cui:
i)
l’identificazione e il logging delle persone fisiche autorizzate ad accedere ai locali, ai centri di elaborazione dati, alle aree designate come sensibili dall’entità finanziaria in cui risiedono le risorse TIC e i patrimoni informativi;
ii)
la concessione dei diritti di accesso fisico alle risorse TIC critiche solo alle persone autorizzate, secondo i principi della necessità di sapere e del privilegio minimo, e su base ad hoc;
iii)
il monitoraggio dell’accesso fisico ai locali, ai centri di elaborazione dati e alle aree designate come sensibili dall’entità finanziaria in cui risiedono le risorse TIC, i patrimoni informativi o entrambi;
iv)
il riesame dei diritti di accesso fisico per garantire la revoca tempestiva dei diritti di accesso non necessari.
Ai fini della lettera e), punto i), le entità finanziarie stabiliscono il periodo di conservazione, tenendo conto degli obiettivi aziendali e di sicurezza delle informazioni, dei motivi della registrazione dell’evento nei log e dei risultati della valutazione dei rischi informatici.
Ai fini della lettera e), punto ii), le entità finanziarie utilizzano, ove possibile, account dedicati per lo svolgimento di compiti amministrativi sui sistemi di TIC. Ove possibile e opportuno, le entità finanziarie adottano soluzioni automatizzate per la gestione degli accessi privilegiati.
Ai fini della lettera g), punto i), l’identificazione e il logging sono commisurati all’importanza dei locali, dei centri di elaborazione dati, delle aree designate come sensibili e alla criticità delle operazioni o dei sistemi di TIC ivi ubicati.
Ai fini della lettera g), punto iii), il monitoraggio è commisurato alla classificazione effettuata conformemente all’articolo 8, paragrafo 1, del regolamento (UE) 2022/2554 e alla criticità dell’area cui si accede.
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EULAW
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Articolo 33 Controllo degli accessi
Articolo 33
Le entità finanziarie di cui all’articolo 16, paragrafo 1, del regolamento (UE) 2022/2554 elaborano, documentano e attuano procedure per il controllo degli accessi logici e fisici e applicano, monitorano e riesaminano periodicamente tali procedure. Le suddette procedure contengono gli elementi di controllo degli accessi logici e fisici seguenti:
a)
i diritti di accesso ai patrimoni informativi, alle risorse TIC e alle loro funzioni supportate, nonché alle sedi operative critiche dell’entità finanziaria sono gestiti in base ai principi della necessità di sapere, della necessità di usare e del privilegio minimo, anche per gli accessi remoti e di emergenza;
b)
la responsabilità degli utenti, che garantisce che gli utenti possano essere identificati per le azioni eseguite nei sistemi di TIC;
c)
le procedure di gestione degli account per concedere, modificare o revocare i diritti di accesso per gli account utente e generici, compresi gli account amministratore generici;
d)
i metodi di autenticazione, commisurati alla classificazione di cui all’articolo 30, paragrafo 1, e al profilo di rischio complessivo delle risorse TIC e basati sulle pratiche più avanzate;
e)
i diritti di accesso sono riesaminati periodicamente e revocati quando non sono più necessari.
Ai fini della lettera c), l’entità finanziaria assegna l’accesso privilegiato, di emergenza e di amministratore in base alla necessità di uso o ad hoc per tutti i sistemi di TIC, e lo registra nei log conformemente all’articolo 34, primo comma, lettera f).
Ai fini della lettera d), le entità finanziarie utilizzano metodi di autentificazione robusti basati sulle pratiche più avanzate per l’accesso remoto alla rete dell’entità finanziaria, per l’accesso privilegiato e per l’accesso alle risorse TIC a supporto di funzioni essenziali o importanti che sono disponibili al pubblico.
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