3.4.7 has a weight of -5 points

(Configuration Management Family) 7/9

Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services

Video:

Example of Sysytem Security Plan (SSP):

System Security Plan (SSP) – Control 3.4.7

Control Title: Restrict/Disable/Prevent the Use of Non-Essential Programs, Functions, and Protocols

Control Requirement: The organization must limit the access and execution of non-essential software and protocols to mitigate potential security risks.

Implementation Status: Implemented

Implementation Details:

  1. Firewall Restrictions:
    • Limited inbound access points via the corporate firewall, providing a strong front against cyber threats.
    • Configured to specifically limit the services, protocols, and functions accessible, serving as the primary defense layer against potential intrusions.
  2. Software Control & Execution Restrictions:
    • Non-critical software execution necessitates explicit role-based approval, ensuring a controlled environment.
    • Auto-execute features are disabled, reducing the risk of unintended software actions.
    • A combined approach of both program blacklisting and whitelisting guarantees that only essential software is operational.
    • Simultaneous execution of identical program instances is controlled, ensuring software processes don’t overrun system capacities.
  3. Protocol Restrictions:
    • Protocols, including but not limited to Bluetooth, FTP, and peer-to-peer networking, undergo rigorous scrutiny. Based on their security implications, they are either restricted, limited, or outright disabled.
  4. Group Policy Management:
    • Serving as the cornerstone of our security strategy, the group policy management solution dictates the permissible software landscape:
      • Dictates the allowed program executions.
      • Restricts the spontaneous installation of unapproved software.
      • When combined with the firewall, it provides a layered defense mechanism ensuring the sanctity of organizational endpoints.

Notes: The organization commits to a dynamic security strategy, continuously evaluating and configuring what protocols, ports, and functions are permissible. This proactive approach ensures that as the cyber threat landscape evolves, our defenses remain robust and adaptive.

Example of Plan of Action and Milestones ( POA & M):

Plan of Actions and Milestones (POA&M) – Control 3.4.7

Control Title: Restrict/Disable/Prevent the Use of Non-Essential Programs, Functions, and Protocols

Milestone 1: Review and Assessment of Current Firewall Restrictions

  • Task 1.1: Assess the current state of inbound access points through the corporate firewall.

    • Target Completion Date: [Date]
    • Responsible Party: Network Security Team

  • Task 1.2: Review and optimize the firewall configuration to ensure limited services, protocols, and functions are accessible.

    • Target Completion Date: [Date]
    • Responsible Party: Network Security Team

Milestone 2: Strengthen Software Control & Execution Restrictions

  • Task 2.1: Audit the approval process for non-critical software execution.

    • Target Completion Date: [Date]
    • Responsible Party: IT Compliance Team

  • Task 2.2: Ensure all auto-execute features across organizational systems are disabled.

    • Target Completion Date: [Date]
    • Responsible Party: Endpoint Security Team

  • Task 2.3: Review and update the list of blacklisted and whitelisted programs.

    • Target Completion Date: [Date]
    • Responsible Party: Application Security Team

Milestone 3: Refine Protocol Restrictions

  • Task 3.1: Evaluate the use and restriction levels of protocols such as Bluetooth, FTP, and peer-to-peer networking.

    • Target Completion Date: [Date]
    • Responsible Party: Network Security Team

  • Task 3.2: Implement or adjust necessary restrictions based on the evaluation results.

    • Target Completion Date: [Date]
    • Responsible Party: Network Security Team

Milestone 4: Enhance Group Policy Management

  • Task 4.1: Audit the current group policy configurations related to software installations and executions.

    • Target Completion Date: [Date]
    • Responsible Party: Endpoint Security Team

  • Task 4.2: Optimize the group policy rules in conjunction with firewall settings for an effective layered defense mechanism.

    • Target Completion Date: [Date]
    • Responsible Party: Network Security Team & Endpoint Security Team

Milestone 5: Continuous Monitoring and Improvement

  • Task 5.1: Monitor and assess the effectiveness of implemented security configurations on a regular basis.

    • Target Completion Date: Ongoing
    • Responsible Party: IT Compliance Team

  • Task 5.2: Based on monitoring results, adjust and enhance security configurations as needed.

    • Target Completion Date: Ongoing
    • Responsible Party: All relevant security teams

Review Date: [Quarterly/Bi-annually/Annually]

Reviewer: [Senior Security Officer/ CISO]

RELEVANT INFORMATION:

Restricting the use of nonessential software (programs) includes restricting the roles allowed to approve program execution; prohibiting auto-execute; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time. The organization makes a security-based determination which functions, ports, protocols, and/or services are restricted. Bluetooth, File Transfer Protocol (FTP), and peer-to-peer networking are examples of protocols organizations consider preventing the use of, restricting, or disabling.

Resources to consider:

Security Policy Document:

This comprehensive document outlines the organization’s security policies and procedures, including information system access controls and the specific measures implemented, such as password protection, multi-factor authentication, and device access controls. It should also cover consequences of unauthorized access and the importance of user training and awareness.

Asset Inventory and Access Control Sheet:

Create a spreadsheet that lists all information system resources in your organization, such as laptops, desktops, servers, network devices, printers, scanners, mobile devices, and paper documents. Alongside each resource, include information about authorized users, access rights, and any access restrictions.

User Account Management Log:

Maintain a log to track user account creation, modification, and removal. Include details like the date of account creation, purpose, and the individual responsible for approving the account.

Password and Multi-Factor Authentication Policy:

Combine the password policy and multi-factor authentication policy into a single document. Outline the organization’s password requirements, including complexity, length, expiration, and regular password change, as well as the implementation of multi-factor authentication for an extra layer of security.

Process and Script Accountability Log:

Maintain a log that associates automated scripts and processes with the specific authorized user who initiated them. This ensures accountability and prevents the use of generic accounts for critical processes.

Device Access Control and VPN Policy:

Merge the device access control and VPN configuration documents into a single policy. Detail the measures for controlling device access, authentication mechanisms, and VPN configuration, including which devices are allowed to connect and the authentication methods used.

Access Control Review and Monitoring Schedule:

Create a schedule for periodic reviews of access controls, including the process for adding, modifying, or revoking access rights based on personnel changes or business needs. Also, document the monitoring mechanisms implemented to track access to the information system, including logs and reports of access attempts and unusual activities.

User Training and Awareness Materials:

Prepare training materials and conduct regular sessions for authorized users. Document the topics covered, the date of the training, and the attendees.