+Restrictions on Shared Groups / Accounts
---+Group Authentication
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Restrictions on Shared Groups / Accounts
Description
Mechanisms exist to authorize the use of shared/group accounts only under certain organization-defined conditions.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Avoid shared accounts; use individual accounts where possible
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Policy restricting shared account usage
∙ Individual accountability required
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Formal shared account policy
∙ Technical controls limiting shared account use
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ PAM for shared account management with individual accountability (e.g., CyberArk)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise PAM platform (e.g., CyberArk, BeyondTrust)
∙ Shared account vaulting with individual checkout
∙ Full session recording
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
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 authorize the use of shared/group accounts only under certain organization-defined conditions.
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. Pārskats
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Standarts |
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Group Authentication
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Description
Mechanisms exist to require individuals to be authenticated with an individual authenticator when a group authenticator is utilized.
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
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Identification & Authentication (IAC) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.
▪ IAM proactively governs account management of individual, group, system, application, guest and temporary accounts.
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 require individuals to be authenticated with an individual authenticator when a group authenticator is utilized.
Level 4 Quantitatively Controlled
Identification & Authentication (IAC) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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1.1 Atsauces
1.2 Identificētās prasības
1.3 Saistītie tiesību akti
2. Identificētās prasības
3. Saistītie tiesību akti
Tiesību akti
| Avots |
Regulējums |
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EULAW
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Article 9 4
4. As part of the ICT risk management framework referred to in Article 6(1), financial entities shall:
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(a)
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develop and document an information security policy defining rules to protect the availability, authenticity, integrity and confidentiality of data, information assets and ICT assets, including those of their customers, where applicable;
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(b)
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following a risk-based approach, establish a sound network and infrastructure management structure using appropriate techniques, methods and protocols that may include implementing automated mechanisms to isolate affected information assets in the event of cyber-attacks;
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(c)
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implement policies that limit the physical or logical access to information assets and ICT assets to what is required for legitimate and approved functions and activities only, and establish to that end a set of policies, procedures and controls that address access rights and ensure a sound administration thereof;
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(d)
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implement policies and protocols for strong authentication mechanisms, based on relevant standards and dedicated control systems, and protection measures of cryptographic keys whereby data is encrypted based on results of approved data classification and ICT risk assessment processes;
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(e)
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implement documented policies, procedures and controls for ICT change management, including changes to software, hardware, firmware components, systems or security parameters, that are based on a risk assessment approach and are an integral part of the financial entity’s overall change management process, in order to ensure that all changes to ICT systems are recorded, tested, assessed, approved, implemented and verified in a controlled manner;
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(f)
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have appropriate and comprehensive documented policies for patches and updates.
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For the purposes of the first subparagraph, point (b), financial entities shall design the network connection infrastructure in a way that allows it to be instantaneously severed or segmented in order to minimise and prevent contagion, especially for interconnected financial processes.
For the purposes of the first subparagraph, point (e), the ICT change management process shall be approved by appropriate lines of management and shall have specific protocols in place.
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EULAW
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21. pants Piekļuves kontrole
21. pants
Kā daļu no savas piekļuves pārvaldības tiesību kontroles finanšu vienības izstrādā, dokumentē un īsteno politiku, kas ietver visus no šiem elementiem:
a)
IKT piekļuves tiesību piešķiršana, pamatojoties uz principiem “vajadzība zināt”, “vajadzība izmantot” un mazāko tiesību principu, arī attiecībā uz attālu piekļuvi un piekļuvi ārkārtas gadījumā;
b)
uzdevumu nošķiršana, lai novērstu nepamatotu piekļuvi kritiski svarīgiem datiem vai novērstu tādu piekļuves tiesību kombināciju piešķiršanu, ko var izmantot kontroļu apiešanai;
c)
noteikums par lietotāja pārskatatbildību, ciktāl iespējams, ierobežojot vispārējo un dalīto lietotāja kontu izmantošanu un nodrošinot, ka lietotāji vienmēr ir identificējami attiecībā uz darbībām, kas veiktas IKT sistēmās;
d)
noteikums par ierobežojumiem piekļuvei IKT aktīviem, izklāstot kontroles un rīkus neatļautas piekļuves novēršanai;
e)
kontu pārvaldības procedūras, lai piešķirtu, mainītu vai atsauktu piekļuves tiesības lietotāju un vispārējiem kontiem, tajā skaitā vispārējiem administratoru kontiem, ietverot noteikumu par visu turpmāk minēto:
i)
uzdevumu un atbildības piešķiršana par piekļuves tiesību piešķiršanu, pārskatīšanu un atsaukšanu;
ii)
privileģētas, ārkārtas un administratora piekļuves piešķiršana, pamatojoties uz vajadzību zināt vai uz ad hoc pamata, attiecībā uz visām IKT sistēmām;
iii)
piekļuves tiesību tūlītēja atsaukšana darba attiecību izbeigšanas gadījumā vai ja piekļuve vairs nav nepieciešama;
iv)
piekļuves tiesību atjaunināšana, kad ir nepieciešamas izmaiņas un vismaz gadā attiecībā uz visām IKT sistēmām, izņemot IKT sistēmas, kas atbalsta kritiskas vai svarīgas funkcijas, un vismaz reizi sešos mēnešos attiecībā uz IKT sistēmām, kas atbalsta kritiskas vai svarīgas funkcijas;
f)
autentifikācijas metodes, ietverot visus šos elementus:
i)
autentifikācijas metožu izmantošana, kas ir samērīga ar klasifikāciju, kura noteikta saskaņā ar Regulas (ES) 2022/2554 8. panta 1. punktu, un ar IKT aktīvu vispārējo riska profilu, arī ņemot vērā paraugpraksi;
ii)
spēcīgu autentifikācijas metožu izmantošana saskaņā ar paraugpraksi un metodēm attiecībā uz attālu piekļuvi finanšu vienības tīklam, privileģētu piekļuvi, piekļuvi IKT aktīviem, kas atbalsta kritiskas vai svarīgas funkcijas, vai IKT aktīviem, kas ir publiski pieejami;
g)
fiziskās piekļuves kontroles pasākumi, tajā skaitā:
i)
to fizisko personu identifikācija un reģistrēšana žurnālā, kurām ir atļauts piekļūt telpām, datu centriem un finanšu vienības par sensitīvām noteiktām vietām, kur atrodas IKT un informācijas aktīvi;
ii)
fiziskās piekļuves kritiskiem IKT aktīviem piešķiršana tikai pilnvarotām personām saskaņā ar principu “vajadzība zināt” un mazāko tiesību principu un uz ad hoc pamata;
iii)
uzraudzība attiecībā uz fizisko piekļuvi telpām, datu centriem un finanšu vienības par sensitīvām noteiktām vietām, kur atrodas IKT un informācijas aktīvi, vai abi;
iv)
fiziskās piekļuves tiesību pārskatīšana, lai nodrošinātu, ka nevajadzīgas piekļuves tiesības tiek steidzīgi atsauktas.
Šā punkta e) apakšpunkta i) punkta nolūkos finanšu vienības nosaka glabāšanas periodu, ņemot vērā darbības un informācijas drošības mērķus, iemeslus, kādēļ notikums tiek reģistrēts žurnālos, un IKT riska novērtējuma rezultātus.
Šā punkta e) apakšpunkta ii) punkta nolūkos finanšu vienības, ja iespējams, izmanto speciālus kontus administratīvu uzdevumu veikšanai IKT sistēmās. Ja tas ir iespējams un atbilstoši, finanšu vienības ievieš automatizētus risinājumus privileģētas piekļuves pārvaldībai.
Šā punkta g) apakšpunkta i) punkta nolūkos identifikācija un reģistrēšana žurnālos ir samērīga ar telpu, datu centru, par sensitīvām noteikto vietu svarīgumu un tajās notiekošo darbību vai esošo IKT sistēmu kritiskumu.
Šā punkta g) apakšpunkta iii) punkta nolūkos uzraudzība ir samērīga ar klasifikāciju, kas noteikta saskaņā ar Regulas (ES) 2022/2554 8. panta 1. punktu, un vietas, kurai piekļūst, kritiskumu.
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EULAW
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33. pants Piekļuves kontrole
33. pants
Regulas (ES) 2022/2554 16. panta 1. punktā minētās finanšu vienības izstrādā, dokumentē un īsteno procedūras loģiskās un fiziskās piekļuves kontrolei un īsteno, uzrauga un periodiski pārskata šīs procedūras. Minētās procedūras ietver šādus loģiskās un fiziskās piekļuves kontroles elementus:
a)
tiesības attiecībā uz piekļuvi informācijas aktīviem, IKT aktīviem un to atbalstītajām funkcijām, un finanšu vienības darbības kritiskajām vietām tiek pārvaldītas saskaņā ar principiem “vajadzība zināt”, “vajadzība izmantot” un mazāko tiesību principu, arī attiecībā uz attālu un ārkārtas piekļuvi;
b)
lietotāju pārskatatbildība, kas nodrošina, ka lietotājus var identificēt attiecībā uz IKT sistēmās veiktajām darbībām;
c)
kontu pārvaldības procedūras, lai piešķirtu, mainītu vai atsauktu piekļuves tiesības lietotāju un vispārējiem kontiem, tajā skaitā vispārējiem administratoru kontiem;
d)
autentifikācijas metodes, kas ir samērīgas ar 30. panta 1. punktā minēto klasifikāciju un IKT aktīvu vispārējo riska profilu un ir balstītas uz paraugpraksi;
e)
piekļuves tiesības tiek periodiski pārskatītas un atsauktas, kad tās vairs nav vajadzīgas.
Šā punkta c) apakšpunkta nolūkos finanšu vienība piešķir privileģētu, ārkārtas un administratora piekļuvi pēc principa “vajadzība izmantot” vai uz ad hoc pamata attiecībā uz visām IKT sistēmām, un to reģistrē žurnālā saskaņā ar 34. panta pirmās daļas f) punktu.
Šā punkta d) apakšpunkta nolūkos finanšu vienības izmanto stingras, uz paraugpraksi balstītas autentifikācijas metodes attiecībā uz attālu piekļuvi finanšu vienību tīklam, privileģētu piekļuvi un piekļuvi IKT aktīviem, kas atbalsta kritiski svarīgas vai svarīgas funkcijas, kuras ir publiski pieejamas.
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Saistītie uzdevumi
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"The SCF is the Common Controls Framework™ (CCF), the world's most comprehensive cybersecurity and data privacy metaframework - it is also free to use. The entire concept is building secure, compliant and resilient capabilities in the most efficient and cost-effective manner possible.
The SCF is more than just a unified control catalog, since its included content creates a playbook for Governance, Risk & Compliance (GRC) capabilities. Used globally by organizations of every size, the SCF is a robust and scalable solution for security, compliance and resilience controls. As a comprehensive security framework, the SCF maps 1,400+ controls across 200+ laws, regulations, and industry frameworks so you can implement once and comply everywhere.
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