+Physical Access Control
---+Physical Access Device Inventories
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Physical Access Control
Description
Physical access control mechanisms exist to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Physical security policy
∙ Door locks and key management
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Physical security policy
∙ Access log
∙ Visitor procedures
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Staffed lobby (receptionist)
∙ Physical security guards
∙ Verify individual access authorizations before granting access to the facility.
∙ Control entry to the facility containing the system using physical access devices and/or guards.
∙ Control access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk.
∙ Secure keys, combinations and other physical access devices.
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.
▪ Physical security controls and technologies ensure that only authorized personnel are allowed access to secure areas.
▪ A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.
▪ Physical security controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).
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 enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).
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
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
1. Overzicht
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Standaard |
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Physical Access Device Inventories
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Description
Mechanisms exist to maintain an accurate inventory of all physical access devices (e.g., RFID cards, access fobs and door keys).
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Key and badge log (spreadsheet) with holder name
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Key/badge inventory with issuance and return records
∙ Periodic reconciliation of issued devices
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Physical access control system badge inventory
∙ Key management log or key cabinet (e.g., KeyWatcher)
∙ Annual reconciliation
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ PACS credential inventory reconciled with HR roster
∙ Electronic key management system (e.g., Traka, KeyWatcher)
∙ Quarterly reconciliation
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise PACS credential lifecycle management
∙ Electronic key management with audit trail
∙ Automated reconciliation against identity system
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
Physical & Environmental Security (PES) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with PES domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Physical security-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs).
▪ IT and/or cybersecurity personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization's technology assets and data.
Level 2 Planned Tracked
SCR-CMM Level 2 criteria definitions are not available for this control:
▪ A reasonable person would conclude a well-defined and standardized process is required.
▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization.
▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts).
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 maintain an accurate inventory of all physical access devices (e.g., RFID cards, access fobs and door keys).
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.
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1.1 Referenties
1.2 Geïdentificeerde eisen
1.3 Gerelateerde regelingen
2. Geïdentificeerde eisen
3. Gerelateerde regelingen
Regelingen
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Regelgeving |
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EULAW
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Artikel 21 Toegangscontrole
Artikel 21
Als onderdeel van hun controle op het beheer van toegangsrechten ontwikkelen, documenteren en implementeren financiële entiteiten een beleid dat alle volgende elementen bevat:
a)
de toekenning van toegangsrechten tot ICT-assets op basis van need-to-know-, need-to-use- en least-privilege-principes, ook voor remote access en emergency access;
b)
de functiescheiding die is ingericht om ongerechtvaardigde toegang tot kritieke data te voorkomen of om de toewijzing te voorkomen van combinaties van toegangsrechten die kunnen worden gebruikt om controles te omzeilen;
c)
een bepaling betreffende de verantwoordingsplicht van gebruikers, door in de mate van het mogelijke het gebruik van generieke en gedeelde gebruikersaccounts te beperken en ervoor te zorgen dat gebruikers te allen tijde identificeerbaar zijn voor de acties die in de ICT-systemen worden uitgevoerd;
d)
een bepaling inzake beperkingen van toegang tot ICT-assets, met vermelding van beheersmaatregelen en tools die ongeautoriseerde toegang moeten voorkomen;
e)
procedures voor accountbeheer om toegangsrechten voor gebruikersaccounts en generieke accounts, daaronder begrepen generieke administrator accounts, toe te kennen, te wijzigen of in te trekken, met inbegrip van bepalingen over alle volgende elementen:
i)
toewijzing van rollen en verantwoordelijkheden voor het toekennen, herzien en intrekken van toegangsrechten;
ii)
toekenning van privileged, emergency- en administrator toegang op need-to-use- of op ad-hocbasis voor alle ICT-systemen;
iii)
onmiddellijke intrekking van toegangsrechten bij beëindiging van het dienstverband of wanneer toegang niet langer noodzakelijk is;
iv)
update van toegangsrechten wanneer wijzigingen noodzakelijk zijn en ten minste eenmaal per jaar voor alle ICT-systemen niet zijnde ICT-systemen die kritieke of belangrijke functies ondersteunen, en ten minste om de zes maanden voor ICT-systemen die kritieke of belangrijke functies ondersteunen;
f)
authenticatiemethoden, die alle volgende elementen bevatten:
i)
het gebruik van authenticatiemethoden die in verhouding staan tot de overeenkomstig artikel 8, lid 1, van Verordening (EU) 2022/2554 vastgestelde classificatie en het algemene risicoprofiel van de ICT-assets en rekening houdende met maatgevende praktijken;
ii)
het gebruik van sterke authenticatiemethoden in overeenstemming met maatgevende praktijken en technieken voor remote access tot het netwerk van de financiële entiteit, voor privileged access, voor toegang tot ICT-assets die kritieke of belangrijke functies ondersteunen of ICT-assets die publiek toegankelijk zijn;
g)
maatregelen voor fysieke toegangscontrole, met inbegrip van:
i)
de identificatie en logging van natuurlijke personen met geautoriseerde toegang tot bedrijfslocaties, datacentra en door de financiële entiteit afgebakende gevoelige zones waar ICT- en informatieassets zijn ondergebracht;
ii)
het toekennen van fysieke toegangsrechten tot kritieke ICT-assets aan uitsluitend geautoriseerde personen, in overeenstemming met de need-to-know- en least privilege-principes, en op ad-hocbasis;
iii)
de monitoring van fysieke toegang tot bedrijfslocaties, datacentra en door de financiële entiteit afgebakende gevoelige zones waar ICT-assets, informatieassets of beide soorten assets zijn ondergebracht;
iv)
de herziening van fysieke toegangsrechten om ervoor te zorgen dat niet-noodzakelijke toegangsrechten prompt worden ingetrokken.
Voor de toepassing van punt e), i), stellen financiële entiteiten de retentieperiode vast, rekening houdende met de doelstellingen inzake bedrijfs- en informatiebeveiliging, de redenen voor het vastleggen van het event in de logs, en de uitkomsten van de ICT-risicobeoordeling.
Voor de toepassing van punt e), ii), maken financiële entiteiten, voor zover mogelijk, gebruik van specifieke accounts voor het uitvoeren van administratieve taken op ICT-systemen. Waar doenbaar en passend rollen financiële entiteiten geautomatiseerde oplossingen uit voor hun Privileged Access Management (PAM).
Voor de toepassing van punt g), i), staan de identificatie en logging in verhouding tot het belang van de bedrijfslocaties, datacentra, afgebakende gevoelige zones en het kritieke karakter van de operaties of ICT-systemen die daarin zijn ondergebracht.
Voor de toepassing van punt g), iii), staat de monitoring in verhouding tot de overeenkomstig artikel 8, lid 1, van Verordening (EU) 2022/2554 vastgestelde classificatie en het kritieke karakter van de zone waartoe personen toegang hebben.
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EULAW
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Artikel 32 Fysieke beveiliging en milieubeveiliging
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EULAW
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Artikel 33 Toegangscontrole
Artikel 33
De in artikel 16, lid 1, van Verordening (EU) 2022/2554 bedoelde financiële entiteiten ontwikkelen, documenteren en implementeren procedures voor de controle op logische en fysieke toegang en handhaven en monitoren die procedures en evalueren deze periodiek. Die procedures bevatten de volgende elementen van controle op logische en fysieke toegang:
a)
toegangsrechten tot informatieassets, ICT-assets en de daardoor ondersteunde functies en tot kritieke operationele locaties van de financiële entiteit, worden beheerd op need-to-know-, need-to-use- en least-privilege-basis, ook voor remote access en emergency access;
b)
verantwoordingsplicht van gebruikers, waardoor gebruikers kunnen worden geïdentificeerd voor de in de ICT-systemen uitgevoerde acties;
c)
procedures voor accountbeheer om toegangsrechten voor gebruikers en generieke accounts, daaronder begrepen generieke administrator accounts, toe te kennen, te wijzigen of in te trekken;
d)
authenticatiemethoden die in verhouding staan tot de in artikel 30, lid 1, bedoelde classificatie en tot het algemene risicoprofiel van ICT-assets, en die op maatgevende praktijken zijn gebaseerd;
e)
toegangsrechten worden periodiek geëvalueerd en worden ingetrokken wanneer deze niet langer vereist zijn.
Voor de toepassing van punt c) kent de financiële entiteit voor alle ICT-assets privileged, emergency en administrator access toe op een need-to-use- of een ad-hocbasis, en deze toegang wordt overeenkomstig artikel 34, eerste alinea, punt f), gelogd.
Voor de toepassing van punt d) gebruiken financiële entiteiten sterke authenticatiemethoden die gebaseerd zijn op maatgevende praktijken voor remote access tot het netwerk van de financiële entiteiten, voor privileged access en voor toegang tot ICT-assets waarmee kritieke of belangrijke functies worden ondersteund die publiek beschikbaar zijn.
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Gekoppelde issues
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