+Role-Based Physical Access
---+Dual Authorization for Physical Access
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Role-Based Physical Access
Description
Physical access control mechanisms exist to authorize physical access to facilities based on the position or role of the individual.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Key or badge issuance based on job role
∙ Server closet access limited to owner/IT contact
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Role-based badge access groups in door access system
∙ Documented access matrix by role
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Physical access control system with role-based access levels (e.g., Brivo, Verkada, Kisi)
∙ Access matrix reviewed with HR role changes
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise physical access control system with role-based zones (e.g., Lenel, Genetec, Honeywell)
∙ HR-driven role provisioning for physical access
∙ Periodic access recertification by area owner
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise PACS integrated with identity governance for role-based physical access
∙ Automated provisioning/deprovisioning from HR events
∙ Quarterly access recertification by facility zone
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Physical & Environmental Security (PES) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PES domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PES domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PES domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Physical security / facilities management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Physical security / facilities management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Physical security controls and technologies primarily focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
▪ The Human Resources (HR) department maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls.
Level 3 Well Defined
Physical & Environmental Security (PES) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PES domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PES domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational physical security capability exists to authorize physical access to facilities based on the position or role of the individual.
Level 4 Quantitatively Controlled
Physical & Environmental Security (PES) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Physical & Environmental Security (PES) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
1. Prezentare generală
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Standard |
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Dual Authorization for Physical Access
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Description
Mechanisms exist to enforce a "two-person rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe and high-security cage).
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Note: Typically not required at this size; two-person rule for safe/critical storage if applicable
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Two-person rule for server room or safe access where required
∙ Dual-key or dual-code lock
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Two-person rule enforced by access control system for high-security areas
∙ Dual-authentication door readers
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ PACS dual-authorization (two-badge) rule for data center and high-security rooms
∙ Alarm on single-person entry
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise PACS with enforced two-person rule and anti-passback
∙ Video verification of dual entry
∙ Audit reporting on two-person rule compliance
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Physical & Environmental Security (PES) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PES domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PES domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PES domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Physical security / facilities management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Physical security / facilities management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Physical security controls and technologies primarily focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
Level 3 Well Defined
Physical & Environmental Security (PES) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PES domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with PES domain capabilities are well-documented and kept current by process owners.
▪ A facilities management team, or similar function, is appropriately staffed and supported to implement and maintain NET domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of physical and environmental security operations (e.g., facility management solution, visitor log management automation and proximity badge access).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PES domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to enforce a "two-person rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe and high-security cage).
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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1.1 Referințe
1.2 Cerințe identificate
1.3 Reglementări asociate
2. Cerințe identificate
3. Reglementări asociate
Reglementări
| Sursă |
Reglementare |
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EULAW
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Articolul 21 Controlul accesului
Articolul 21
Ca parte a controlului pe care îl exercită asupra drepturilor de gestionare a accesului, entitățile financiare elaborează, documentează și pun în aplicare o politică ce conține toate elementele următoare:
(a)
atribuirea drepturilor de acces la activele TIC pe baza principiului necesității de a cunoaște, al necesității de a utiliza și al celor mai mici privilegii, inclusiv pentru accesul la distanță și de urgență;
(b)
separarea sarcinilor pentru a preveni accesul nejustificat la datele critice sau a preveni alocarea combinațiilor de drepturi de acces care ar putea fi utilizate pentru eludarea controalelor;
(c)
o dispoziție privind răspunderea utilizatorului, prin limitarea, în măsura posibilului, a utilizării conturilor de utilizator generice și partajate și prin asigurarea faptului că utilizatorii sunt identificabili pentru acțiunile pe care le efectuează în sistemele TIC în orice moment;
(d)
o dispoziție privind restricțiile de acces la activele TIC, care să stabilească controalele și instrumentele de prevenire a accesului neautorizat;
(e)
proceduri de gestionare a conturilor pentru acordarea, modificarea sau revocarea drepturilor de acces pentru conturile de utilizator și conturile generice, inclusiv pentru conturile de administrator generice, care conțin dispoziții privind toate elementele următoare:
(i)
atribuirea rolurilor și a responsabilităților pentru acordarea, revizuirea și revocarea drepturilor de acces;
(ii)
atribuirea accesului privilegiat, a accesului în situații de urgență și a accesului cu drepturi de administrator pe baza principiului necesității de a utiliza sau ad-hoc pentru toate sistemele TIC;
(iii)
retragerea drepturilor de acces fără întârzieri nejustificate la încetarea contractului de muncă sau atunci când accesul nu mai este necesar;
(iv)
actualizarea drepturilor de acces în cazul în care sunt necesare modificări și cel puțin o dată pe an pentru toate sistemele TIC, altele decât sistemele TIC care sprijină funcții critice sau importante și cel puțin o dată la 6 luni pentru sistemele TIC care sprijină funcții critice sau importante;
(f)
metode de autentificare care includ toate elementele următoare:
(i)
utilizarea unor metode de autentificare proporționale cu clasificarea stabilită în conformitate cu articolul 8 alineatul (1) din Regulamentul (UE) 2022/2554 și cu profilul general de risc al activelor TIC și luând în considerare cele mai avansate practici;
(ii)
utilizarea unor metode de autentificare puternice în conformitate cu cele mai avansate practici și tehnici pentru accesul de la distanță la rețeaua entității financiare, pentru accesul privilegiat și pentru accesul la active TIC care sprijină funcții critice sau importante sau la active TIC accesibile publicului;
(g)
măsuri de control al accesului fizic care includ:
(i)
identificarea și înregistrarea persoanelor fizice autorizate să aibă acces la sedii, centre de date și zone sensibile desemnate identificate de entitatea financiară în care sunt situate activele TIC și informaționale;
(ii)
acordarea drepturilor de acces fizic la activele TIC esențiale numai persoanelor autorizate, în conformitate cu principiul necesității de a cunoaște și al celor mai mici privilegii și ad-hoc;
(iii)
monitorizarea accesului fizic la sedii, centre de date și zone sensibile desemnate identificate de entitatea financiară în care sunt se află activele TIC și/sau informaționale;
(iv)
revizuirea drepturilor fizice de acces pentru a se asigura că se revocă prompt drepturile de acces inutile.
În sensul literei (e) punctul (i), entitățile financiare stabilesc perioada de păstrare, ținând seama de obiectivele în materie de securitate a activității și a informațiilor, de motivele înregistrării evenimentului în jurnal și de rezultatele evaluării riscurilor TIC.
În sensul literei (e) punctul (ii), entitățile financiare utilizează, în măsura posibilului, conturi specifice pentru îndeplinirea sarcinilor administrative legate de sistemele TIC. Atunci când este fezabil și adecvat, entitățile financiare implementează soluții automatizate pentru gestionarea accesului privilegiat.
În sensul literei (g) punctul (i), identificarea și jurnalizarea sunt proporționale cu importanța sediilor, a centrelor de date și a zonelor sensibile desemnate și cu caracterul critic al operațiunilor sau al sistemelor TIC situate în acestea.
În sensul literei (g) punctul (iii), monitorizarea este proporțională cu clasificarea stabilită în conformitate cu articolul 8 alineatul (1) din Regulamentul (UE) 2022/2554 și cu caracterul critic al zonei accesate.
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