+Separation of Duties (SoD)

Separation of Duties (SoD)

Description

Mechanisms exist to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Documented / assigned Separation of Duties (SoD)

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Documented / assigned Separation of Duties (SoD)

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Documented / assigned Separation of Duties (SoD)

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Documented / assigned Separation of Duties (SoD)

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Documented / assigned Separation of Duties (SoD)

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

Human Resources Security (HRS) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with HRS domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Personnel management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ The Human Resources (HR) department provides guidance on secure HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization.

Level 2 Planned Tracked

Human Resources Security (HRS) 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 HRS domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with HRS 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 HRS domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Personnel management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Personnel management is decentralized at a localized/regionalized function, where there are non-standardized methods to govern personnel matters across the organization.
▪ Localized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization.
▪ The HR department, in conjunction with IT and/or cybersecurity personnel, implements and maintains Separation of Duties (SoD) to prevent potential malevolent activity without collusion.

Level 3 Well Defined

Human Resources Security (HRS) 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 HRS 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 HRS domain capabilities are well-documented and kept current by process owners.
▪ A Human Resources (HR) team, or similar function, is appropriately staffed and supported to implement and maintain HRS domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of human resources security operations (e.g., personnel management software 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 HRS 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 implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.

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.

1. Visão geral

1.1 Referências

1.2 Requisitos identificados

1.3 Regulamentos relacionados

2. Requisitos identificados

Requisitos

3. Regulamentos relacionados

Regulamentos
EULAW Artigo 2.o Elementos gerais das políticas, procedimentos, protocolos e ferramentas de segurança no domínio das TIC
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EULAW Artigo 17.o Gestão das alterações das TIC
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EULAW Artigo 21.o Controlo do acesso

Artigo 21.o

Controlo do acesso

No âmbito do seu controlo da gestão dos direitos de acesso, as entidades financeiras devem desenvolver, documentar e aplicar uma política que contenha todos os elementos seguintes:

a) 

A atribuição de direitos de acesso a ativos de TIC com base nos princípios da necessidade de tomar conhecimento, da necessidade de utilizar e do menor privilégio, nomeadamente para o acesso à distância e de emergência;

b) 

A segregação de funções destinada a impedir o acesso injustificado a dados críticos ou impedir a atribuição de combinações de direitos de acesso que possam ser utilizadas para contornar os controlos;

c) 

Uma disposição sobre a responsabilização dos utilizadores, limitando, na medida do possível, a utilização de contas de utilizador genéricas e partilhadas e assegurando que os utilizadores sejam sempre identificáveis nas ações realizadas nos sistemas de TIC;

d) 

Uma disposição em matéria de restrições de acesso a ativos de TIC, estabelecendo controlos e ferramentas para impedir o acesso não autorizado;

e) 

Procedimentos de gestão das contas para conceder, alterar ou revogar direitos de acesso a contas de utilizador e a contas genéricas, nomeadamente contas de administrador genéricas, incluindo disposições relativas a todos os aspetos seguintes:

i) 

atribuição de funções e responsabilidades para a concessão, revisão e revogação de direitos de acesso,

ii) 

atribuição de acesso privilegiado, de emergência e de administrador com base na necessidade de utilização ou numa base ad hoc para todos os sistemas de TIC,

iii) 

retirada dos direitos de acesso sem demora injustificada após a cessação do contrato de trabalho ou quando o acesso deixar de ser necessário,

iv) 

atualização dos direitos de acesso sempre que sejam necessárias alterações e, pelo menos, uma vez por ano para todos os sistemas de TIC que não sejam sistemas de TIC que apoiem funções críticas ou importantes, e pelo menos a cada seis meses para os sistemas de TIC que apoiem funções críticas ou importantes;

f) 

Métodos de autenticação, incluindo todos os elementos seguintes:

i) 

a utilização de métodos de autenticação proporcionados à classificação estabelecida em conformidade com o artigo 8.o, n.o 1, do Regulamento (UE) 2022/2554 e ao perfil de risco global dos ativos de TIC e tendo em conta as melhores práticas,

ii) 

a utilização de métodos de autenticação forte em conformidade com as melhores práticas e técnicas para o acesso remoto à rede da entidade financeira, para o acesso privilegiado e ainda para o acesso a ativos de TIC que apoiem funções críticas ou importantes ou ativos de TIC acessíveis ao público;

g) 

Medidas de controlo do acesso físico, nomeadamente:

i) 

a identificação e o registo de pessoas singulares autorizadas a aceder a instalações, centros de dados e áreas consideradas sensíveis identificadas pela entidade financeira onde se encontrem os ativos de TIC e de informação,

ii) 

a concessão de direitos de acesso físico a ativos de TIC críticos apenas a pessoas autorizadas, de acordo com os princípios da necessidade de tomar conhecimento e do menor privilégio, e numa base ad hoc,

iii) 

a monitorização do acesso físico a instalações, centros de dados e áreas consideradas sensíveis identificadas pela entidade financeira onde se encontrem os ativos de TIC e de informação ou ambos,

iv) 

a revisão dos direitos de acesso físico, a fim de assegurar que os direitos de acesso desnecessários são imediatamente revogados.

Para efeitos da alínea e), subalínea i), as entidades financeiras devem estabelecer o período de conservação, tendo em conta os objetivos empresariais e de segurança da informação, o motivo para registar o evento nos registos e os resultados da avaliação do risco associado às TIC.

Para efeitos da alínea e), subalínea ii), as entidades financeiras devem utilizar, sempre que possível, contas específicas para a execução de tarefas administrativas relativas aos sistemas de TIC. Sempre que possível e adequado, as entidades financeiras devem utilizar soluções automatizadas para a gestão do acesso privilegiado.

Para efeitos da alínea g), subalínea i), a identificação e o registo devem ser proporcionados à importância das instalações, dos centros de dados e das áreas consideradas sensíveis e ao caráter crítico das operações ou dos sistemas de TIC aí localizados.

Para efeitos da alínea g), subalínea iii), a monitorização deve ser proporcionada à classificação estabelecida em conformidade com o artigo 8.o, n.o 1, do Regulamento (UE) 2022/2554 e ao caráter crítico da área acedida.
EULAW Artigo 28.o Governação e organização
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Pedidos ligados

Ligações
is related to Annual
is related to relative Control Weighting = 08
is related to Process
is related to Protect
is related to SCRM Focus Tier 1 STRATEGIC
is related to SCRM Focus Tier 2 OPERATIONAL
blocks Excessive or Unauthorized Privilege
blocks Unauthorized Access
blocks Loss, Theft or Damage of Assets
blocks Unauthorized Modification / Loss of System Integrity
blocks Unauthorized Retention / Inability to Dispose of Data
blocks Business / Service Interruption
blocks Data Loss / Integrity Compromise
blocks Reduced Operational Productivity
blocks System / Data Compromise (Technical Vector)
blocks System / Data Compromise (Non-Technical Vector)
blocks Revenue Loss
blocks Contractual Default / Termination
blocks Loss of Competitive Advantage
blocks Reputational Harm / Loss of Stakeholder Trust
blocks Regulatory / Legal / Contractual Financial Liability
blocks Exposure from Unaddressed Vulnerabilities
blocks System / Service Compromise
blocks Failure to Support Business / Mission Objectives
blocks Unaddressed Security / Compliance Exposure
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Internal Security / Privacy Exposure
blocks Uncontrolled Third-Party Security / Privacy Exposure
blocks Lack of oversight of internal controls
blocks Lack of oversight of third-party controls
blocks Harm from Illegal, Abusive or Unsafe Content / Conduct
blocks Loss of Investigative / Evidentiary Capability
blocks Delayed Containment / Increased Incident Impact
blocks Incident Persistence / Recurrence
blocks Incident Response / Recovery Cost
blocks Lack of a security-minded workforce
blocks Third-Party Cybersecurity Compromise / Exposure
blocks Third-Party Physical Security Disruption / Exposure
blocks Sub-Tier / Fourth-Party Supply Chain Exposure
blocks Third-Party Legal / Compliance Exposure
blocks Harm from Unauthorized / Unintended Product or Service Use
blocks Third-Party Dependency Failure
is related to relative Control Weighting = 07
is related to People
is related to SCRM Focus Tier 3 TACTICAL
blocks OS Credential Dumping
blocks LSASS Memory
blocks Security Account Manager
blocks NTDS
blocks LSA Secrets
blocks Cached Domain Credentials
blocks DCSync
blocks Proc Filesystem
blocks /etc/passwd and /etc/shadow
blocks Remote Services
blocks Remote Desktop Protocol
blocks SMB/Windows Admin Shares
blocks Distributed Component Object Model
blocks SSH
blocks Windows Remote Management
blocks Cloud Services
blocks Windows Management Instrumentation
blocks Scheduled Task/Job
blocks At
blocks Cron
blocks Scheduled Task
blocks Systemd Timers
blocks Container Orchestration Job
blocks Process Injection
blocks Ptrace System Calls
blocks Web Portal Capture
blocks Command and Scripting Interpreter
blocks PowerShell
blocks Network Device CLI
blocks Indicator Removal
blocks Clear Command History
blocks Clear Network Connection History and Configurations
blocks Clear Mailbox Data
blocks Clear Persistence
blocks Software Deployment Tools
blocks Valid Accounts
blocks Default Accounts
blocks Domain Accounts
blocks Local Accounts
blocks Cloud Accounts
blocks Cloud Account
blocks Account Manipulation
blocks Additional Cloud Credentials
blocks Additional Email Delegate Permissions
blocks Additional Cloud Roles
blocks SSH Authorized Keys
blocks Device Registration
blocks Additional Local or Domain Groups
blocks Brute Force
blocks Password Guessing
blocks Password Cracking
blocks Password Spraying
blocks Credential Stuffing
blocks Access Token Manipulation
blocks Token Impersonation/Theft
blocks Create Process with Token
blocks Make and Impersonate Token
blocks SID-History Injection
blocks Create Account
blocks Local Account
blocks Domain Account
blocks Cloud Account
blocks Browser Session Hijacking
blocks Exploit Public-Facing Application
blocks BITS Jobs
blocks Exploitation of Remote Services
blocks Data from Information Repositories
blocks Confluence
blocks Sharepoint
blocks Code Repositories
blocks Customer Relationship Management Software
blocks System Binary Proxy Execution
blocks Msiexec
blocks File and Directory Permissions Modification
blocks Windows Permissions
blocks Linux and Mac Permissions
blocks Domain or Tenant Policy Modification
blocks Service Stop
blocks Firmware Corruption
blocks Server Software Component
blocks Transport Agent
blocks Web Shell
blocks Terminal Services DLL
blocks Implant Internal Image
blocks Steal Application Access Token
blocks Data from Cloud Storage
blocks Transfer Data to Cloud Account
blocks Cloud Service Dashboard
blocks Pre-OS Boot
blocks System Firmware
blocks Bootkit
blocks TFTP Boot
blocks Create or Modify System Process
blocks Launch Agent
blocks Systemd Service
blocks Windows Service
blocks Launch Daemon
blocks Container Service
blocks Windows Management Instrumentation Event Subscription
blocks Winlogon Helper DLL
blocks Kernel Modules and Extensions
blocks Shortcut Modification
blocks Print Processors
blocks XDG Autostart Entries
blocks Abuse Elevation Control Mechanism
blocks Bypass User Account Control
blocks Sudo and Sudo Caching
blocks TCC Manipulation
blocks Use Alternate Authentication Material
blocks Pass the Hash
blocks Pass the Ticket
blocks Unsecured Credentials
blocks Credentials In Files
blocks Credentials in Registry
blocks Group Policy Preferences
blocks Container API
blocks Modify Authentication Process
blocks Domain Controller Authentication
blocks Pluggable Authentication Modules
blocks Network Device Authentication
blocks Reversible Encryption
blocks Conditional Access Policies
blocks Steal or Forge Kerberos Tickets
blocks Golden Ticket
blocks Silver Ticket
blocks Kerberoasting
blocks Inter-Process Communication
blocks Component Object Model
blocks Remote Service Session Hijacking
blocks SSH Hijacking
blocks RDP Hijacking
blocks System Services
blocks Launchctl
blocks Service Execution
blocks Hijack Execution Flow
blocks Dylib Hijacking
blocks Executable Installer File Permissions Weakness
blocks Path Interception by PATH Environment Variable
blocks Path Interception by Search Order Hijacking
blocks Path Interception by Unquoted Path
blocks Services File Permissions Weakness
blocks COR_PROFILER
blocks Modify Cloud Compute Infrastructure
blocks Create Snapshot
blocks Create Cloud Instance
blocks Delete Cloud Instance
blocks Cloud Infrastructure Discovery
blocks Network Boundary Bridging
blocks Network Address Translation Traversal
blocks Modify System Image
blocks Patch System Image
blocks Downgrade System Image
blocks Forge Web Credentials
blocks Container Administration Command
blocks Escape to Host
blocks Cloud Storage Object Discovery
blocks Financial Theft
blocks Loss of Accountability / Attribution
blocks Unauthorized Privilege Elevation
blocks Fraud / Theft / Direct Financial Loss
blocks Loss of Data Integrity
blocks Drought & Water Shortage
blocks Earthquakes
blocks Fire & Wildfires
blocks Floods
blocks Hurricanes & Tropical Storms
blocks Landslides & Debris Flow
blocks Pandemic (Disease) Outbreaks
blocks Severe Weather
blocks Space Weather
blocks Thunderstorms & Lightning
blocks Tornadoes
blocks Tsunamis
blocks Volcanoes
blocks Winter Storms & Extreme Cold
blocks Malicious Cyber Activity
blocks Dysfunctional Management Practices
blocks Human Error
blocks Technical / Mechanical Failure
blocks Statutory / Regulatory / Contractual Change
blocks Fraud, Corruption and/or Intentional Criminal Conduct
blocks Conflict of Interest (COI) / Undue Influence / Insider Misconduct
blocks Economic Shock / Market Disruption
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks OIS-04.01B
blocks OIS-04.02B
blocks OIS-04.04B
blocks OIS-04.01AC
blocks IAM-01.02B
blocks DEV-03.01B
blocks PSS-08.02B
blocks Loss of Accountability / Attribution
blocks Unauthorized Privilege Elevation
blocks Fraud / Theft / Direct Financial Loss
blocks Loss of Data Integrity
blocks Drought & Water Shortage
blocks Earthquakes
blocks Fire & Wildfires
blocks Floods
blocks Hurricanes & Tropical Storms
blocks Landslides & Debris Flow
blocks Pandemic (Disease) Outbreaks
blocks Severe Weather
blocks Space Weather
blocks Thunderstorms & Lightning
blocks Tornadoes
blocks Tsunamis
blocks Volcanoes
blocks Winter Storms & Extreme Cold
blocks Malicious Cyber Activity
blocks Dysfunctional Management Practices
blocks Human Error
blocks Technical / Mechanical Failure
blocks Statutory / Regulatory / Contractual Change
blocks Fraud, Corruption and/or Intentional Criminal Conduct
blocks Conflict of Interest (COI) / Undue Influence / Insider Misconduct
blocks Economic Shock / Market Disruption
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks OIS-04.01B
blocks OIS-04.02B
blocks OIS-04.04B
blocks OIS-04.01AC
blocks IAM-01.02B
blocks DEV-03.01B
blocks PSS-08.02B
is blocked by HRS-14 Separation of Duties (SoD) – Assessment Procedure
blocks AC-05 Separation of Duties
blocks AC-05 [M] Separation of Duties
blocks AC-05 [H] Separation of Duties
blocks 03.01.04 Separation of Duties
blocks PR.AA-05 Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of …
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