Cyber Essentials:
Requirements for IT
infrastructure v3.1
April 2023
© Crown Copyright 2023
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Contents
What’s new in this version ...................................................................................................................... 3
A. Introducing the technical controls ...................................................................................................... 3
B. Definitions ........................................................................................................................................... 3
C. Scope ................................................................................................................................................... 4
Scope overview ................................................................................................................................... 4
Asset management and Cyber Essentials ........................................................................................... 4
(i) Bring your own device (BYOD) .................................................................................................... 5
(ii) Home working ............................................................................................................................ 5
(iii) Wireless devices ........................................................................................................................ 6
(iv) Cloud services ........................................................................................................................... 6
(v) Accounts used by third parties and managed infrastructure .................................................... 7
(vi) Devices used by third parties .................................................................................................... 7
(vii) Web applications ..................................................................................................................... 7
D. Requirements by technical control theme ......................................................................................... 8
1. Firewalls .......................................................................................................................................... 8
Aim .................................................................................................................................................. 8
Introduction .................................................................................................................................... 8
Requirements .................................................................................................................................. 8
2. Secure configuration ....................................................................................................................... 9
Aim .................................................................................................................................................. 9
Introduction .................................................................................................................................... 9
Requirements .................................................................................................................................. 9
3. Security update management ....................................................................................................... 10
Aim ................................................................................................................................................ 10
Introduction .................................................................................................................................. 10
Requirements ................................................................................................................................ 10
4. User access control ....................................................................................................................... 11
Aim ................................................................................................................................................ 11
Introduction .................................................................................................................................. 11
Requirements ................................................................................................................................ 12
Password-based authentication ................................................................................................... 12
Multi-factor authentication (MFA) ............................................................................................... 13
5. Malware protection ...................................................................................................................... 13
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Aim ................................................................................................................................................ 13
Introduction .................................................................................................................................. 13
Requirements ................................................................................................................................ 14
E. Further guidance ............................................................................................................................... 14
Backing up your data ........................................................................................................................ 14
Zero trust and Cyber Essentials ........................................................................................................ 14
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What’s new in this version
The definition of ‘software’ is updated to clarify where firmware is in scope
A statement on why asset management is important in Cyber Essentials
A link to the NCSC’s BYOD guidance is added for information
Clarification on including third party devices
The ‘Device unlocking’ section is updated to reflect that some configuration can’t be altered
because of vendor restrictions
The ‘Malware protection’ section is updated
New information about how using a zero trust architecture affects Cyber Essentials
A. Introducing the technical controls
We have organised the requirements under five technical controls:
1. Firewalls
2. Secure configuration
3. Security update management
4. User access control
5. Malware protection
As a Cyber Essentials scheme applicant organisation, it's your responsibility to make sure that your
organisation meets all the requirements. You might also be required to supply evidence before your
certification body can award certification at the level for which you’re applying.
What you should do first:
Establish the boundary of scope for your organisation, and then determine what is in scope
within this boundary.
Review each of the five technical control themes and the controls they embody as
requirements.
Take the necessary steps to ensure that your organisation meets every requirement it
needs for the scope you have determined.
B. Definitions
Software includes operating systems, commercial off-the-shelf applications, plugins,
interpreters, scripts, libraries, network software and firewall and router firmware.
Devices includes all types of hosts, networking equipment, servers, networks, and end user
devices such as desktop computers, laptop computers, thin clients, tablets and smartphones
whether physical or virtual.
Applicant refers to your organisation which is seeking certification, or sometimes the
individual who is acting as the main point of contact, depending on context.
A corporate VPN is a virtual private network that connects back to your office location, or to
a virtual or cloud firewall. You must administer the VPN so you can apply the firewall
controls.
Organisational data includes any electronic data belonging to your organisation, for
example, emails, documents, database data, financial data.
Organisational service includes any software applications, cloud applications, cloud services,
user interactive desktops and mobile device management (MDM) solutions that your
organisation owns or subscribes to. For example: web applications, Microsoft 365, Google
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Workspace, mobile device management containers, Citrix Desktop, Virtual Desktop solutions
or IP telephony.
A sub-set is part of the organisation whose network is segregated from the rest of the
organisation by a firewall or VLAN.
Servers are devices that provide organisational data or services to other devices as part of
your organisation’s business.
Licensed and supported software is software that you have a legal right to use and that a
vendor has committed to support by providing regular updates or patches. The vendor must
provide the future date when they will stop providing updates. (Note that the vendor
doesn’t need to have created the software originally, but they must be able to now modify
the original software to create updates).
C. Scope
Scope overview
Your assessment and certification should cover the whole of the IT infrastructure used to carry out
your organisation’s business, or if necessary, a well-defined and separately managed sub-set. Either
way, you must clearly define the scope boundary, namely: the business unit managing it, the
network boundary and physical location. You must agree the scope with the certification body
before assessment begins.
A sub-set can be used to define what is in scope or what is out of scope for your Cyber Essentials
certification.
Please note: Organisations that choose a scope which includes their whole IT infrastructure achieve
the best protection and maximise their customers' confidence.
The requirements apply to all devices and software in scope and which meet any of these
conditions:
can accept incoming network connections from untrusted internet-connected hosts
can establish user-initiated outbound connections to devices via the internet
control the flow of data between any of the above devices and the internet.
A scope that doesn’t include end-user devices isn’t acceptable.
Asset management and Cyber Essentials
Asset management isn’t a specific Cyber Essentials control, but effective asset management can help
meet all five controls, so it should be considered as a core security function.
Most business operations depend on some aspect of asset management, and cyber security
shouldn’t be considered in isolation, or as the primary consumer of asset information. These
functions include IT operations, financial accounting, managing software licences, procurement and
logistics. They may not all need the same information, but there will be overlaps and dependencies
between the respective requirements. Integrating and coordinating asset management across your
organisation will help reduce or manage any conflicts between these functions.
Effective asset management doesn’t mean making lists or databases that are never used. It means
creating, establishing and maintaining authoritative and accurate information about your assets that
enables both day-to-day operations and efficient decision making when you need it. In particular, it
will help you track and control devices as they're introduced into your business.
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The NCSC has comprehensive guidance for organisations on asset management.
Figure 1: Scope of the requirements for IT infrastructure
(i) Bring your own device (BYOD)
In addition to mobile or remote devices owned by the organisation, user-owned devices which
access organisational data or services (as defined above) are in scope. However, all mobile or
remote devices used only for the purpose of:
native voice applications
native text applications
multi-factor authentication (MFA) applications
are out of scope.
Traditionally, user devices were managed centrally, which ensured consistency across the
organisation. Certifying security controls in this way is more straightforward as there is a standard
build or reference.
BYOD complicates matters, as users are given more freedom to ‘customise’ their experience making
consistent implementation of the controls more challenging. Using the organisational data and
services definitions to enforce strong access policies should remove some of this ambiguity.
For further information and advice on the use of BYOD
please see the NCSC’s guidance.
(ii) Home working
Our default approach is that all corporate or BYOD home working devices used for your
organisation’s business are in scope for Cyber Essentials.
If your organisation gives the homeworker a router, that router is then also in scope.
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All other routers are out of scope which means you need to apply Cyber Essentials firewall controls
(such as a software firewall) on users' devices.
If the home worker is using a corporate VPN, their internet boundary is on the company firewall or
virtual/cloud firewall.
(iii) Wireless devices
Wireless devices (including wireless access points) are:
in scope if they can communicate with other devices via the internet
out of scope if it's not possible for an attacker to attack directly via the internet (the Cyber
Essentials scheme isn’t concerned with attacks that can only be launched within the signal
range of the wireless device)
out of scope if they are part of an ISP router at the home location
(iv) Cloud services
If your organisation’s data or services are hosted on cloud services, these services must be in scope.
For cloud services, the applicant organisation is always responsible for ensuring all controls are
implemented, but some of the controls can be implemented by the cloud service provider. Who
implements which control depends on the type of cloud service. We consider three different types
of cloud service:
Infrastructure as a Service (IaaS) the cloud provider delivers virtual servers and network
equipment that, much like physical equipment, your organisation configures and manages.
Examples of IaaS include Rackspace, Google Compute Engine, or Amazon EC2.
Platform as a Service (PaaS)the cloud provider delivers and manages the underlying
infrastructure, and your organisation provides and manages the applications. Examples of
PaaS include Azure Web Apps and Amazon Web Services Lambda.
Software as a Service (SaaS)the cloud provider delivers applications, and your
organisation then configures the services. You must still make sure that the service is
configured securely. Examples of SaaS include Microsoft 365, Dropbox and Gmail.
Who implements the controls will vary, depending how the cloud service is designed. The table
below explains who might typically be expected to implement each control:
Requirement
IaaS
PaaS
SaaS
Firewalls
Both your
organisation and the
cloud provider
The cloud provider
and sometimes also
your organisation
The cloud provider
Secure configuration
Both your
organisation and the
cloud provider
Both your
organisation and the
cloud provider
Both your
organisation and the
cloud provider
Security update
management
Both your
organisation and the
cloud provider
Both your
organisation and the
cloud provider
The cloud provider
User access control
Your organisation
Your organisation
Your organisation
Malware protection
Both your
organisation and the
cloud provider
The cloud provider
and sometimes also
your organisation
The cloud provider
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In cases where the cloud provider implements one of the controls on your behalf, you must make
sure that the cloud provider has committed to implementing this via contractual clauses or
documents referenced by contract, such as security statements or privacy statements. Cloud
providers will often explain how they implement security in documents published in their trust
centres, referencing a ‘shared responsibility model.’
(v) Accounts used by third parties and managed infrastructure
All accounts your organisation owns are in scope, even when those accounts are used by a third
party, such as a supplier, contractor or Managed Service Provider (MSP) to manage or support your
infrastructure.
If you’re using externally managed services (such as remote administration), you must be able to
confirm that the Cyber Essentials technical controls are being met, and be able to demonstrate this
in your assessment answers.
(vi) Devices used by third parties
All end user devices your organisation owns that are loaned to a third party must be included in the
assessment scope.
For devices not owned by your organisation, the table below explains what is in and out of scope:
Owned by your
organisation
Owned by a third
party
BYOD
Employee
N/A
Volunteer
N/A
Trustee
N/A
University research
assistant
N/A
Student
N/A
MSP administrator
Third party contractor
Customer
In scope Out of scope
For devices out of scope of the assessment, your organisation is still responsible for confirming that
the devices interacting with organisational services and data are configured correctly. It's up to you
how to achieve this, as it falls outside of the assessment scope.
(vii) Web applications
Publicly available commercial web applications (rather than apps developed in-house) are in scope
by default. Bespoke and custom components of web applications are out of scope. The best way to
mitigate vulnerabilities in applications is robust development and testing in line with commercial
best practice, such as the OWASP Application Security Verification Standard | OWASP Foundation
.
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D. Requirements by technical control theme
1. Firewalls
Applies to: boundary firewalls, desktop computers, laptops, routers, servers, IaaS, PaaS, SaaS
Aim
To make sure that only secure and necessary network services can be accessed from the internet.
Introduction
All devices run network services to allow them to communicate with other devices and services. By
restricting access to these services, you reduce your exposure to attacks. You can do this using
firewalls or network devices with firewall functionality. For cloud services, you can achieve this using
data flow policies.
A boundary firewall is a network device which can restrict the inbound and outbound network traffic
to services on its network of computers and mobile devices. It can help protect against cyber attacks
by implementing restrictions, known as ‘firewall rules,’ which can allow or block traffic depending on
its source, destination and type of communication protocol.
Alternatively, if your organisation doesn't control the network to which a device connects, you must
configure a software firewall on the device. This works in the same way as a boundary firewall but
only protects the single device on which it’s configured. This approach allows for more tailored rules
and means that the rules apply to the device wherever it's used. But you should note that this
creates a greater administrative overhead when managing firewall rules.
Requirements
You must protect every device in scope with a correctly configured firewall (or network device with
firewall functionality).
Information: Most desktop and laptop operating systems now come with a software firewall pre-
installed, we advise that these are turned on in preference to a third-party firewall application.
For all firewalls (or network devices with firewall functionality), your organisation must:
change default administrative passwords to a strong and unique password (see password-
based authentication) or disable remote administrative access entirely
prevent access to the administrative interface (used to manage firewall configuration) from
the internet, unless there is a clear and documented business need, and the interface is
protected by one of the following controls:
o multi-factor authentication (see MFA details below)
o an IP allow list that limits access to a small range of trusted addresses combined
with a properly managed password authentication approach
block unauthenticated inbound connections by default
ensure inbound firewall rules are approved and documented by an authorised person, and
include the business need in the documentation
remove or disable unnecessary firewall rules quickly, when they are no longer needed
Make sure you use a software firewall on devices which are used on untrusted networks, such as
public wifi hotspots.
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2. Secure configuration
Applies to: servers, desktop computers, laptops, tablets, mobile phones, thin clients, IaaS, PaaS,
SaaS
Aim
Ensure that computers and network devices are properly configured to:
reduce vulnerabilities
provide only the services required to fulfil their role
Introduction
The default configurations of computers and network devices aren’t always secure. Standard out-of-
the-box configurations often include one or more weak points such as:
an administrative account with a pre-set, publicly known default password or without multi-
factor authentication enabled
pre-enabled but unnecessary user accounts (sometimes with special access privileges)
pre-installed but unnecessary applications or services
These default installations can allow attackers to gain unauthorised access to your organisation’s
sensitive information.
But by applying some simple technical controls when installing computers and network devices, you
can minimise vulnerabilities and protect against common types of attack.
Requirements
Computers and network devices
Your organisation must proactively manage your computers and network devices. You must
regularly:
remove and disable unnecessary user accounts (such as guest accounts and administrative
accounts that won’t be used)
change any default or guessable account passwords (see password-based authentication)
remove or disable unnecessary software (including applications, system utilities and network
services)
disable any auto-run feature which allows file execution without user authorisation (such as
when they are downloaded)
ensure users are authenticated before allowing them access to organisational data or
services
ensure appropriate device locking controls (see ‘device unlocking’, below) for users that are
physically present
Device unlocking credentials
If a device requires a user’s physical presence to access a device’s services (such as logging on to a
laptop or unlocking a mobile phone), a credential such as a biometric, password or PIN must be in
place before a user can gain access to the services.
You must protect your chosen authentication method (which can be biometric authentication,
password or PIN) against brute-force attacks. When it's possible to configure, you should apply one
of the following:
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‘throttling' the rate of attempts, so that the number of times the user must wait between
attempts increases with each unsuccessful attempt you shouldn’t allow more than 10
guesses in 5 minutes
locking devices after more than 10 unsuccessful attempts.
When the vendor doesn't allow you to configure the above, use the vendor’s default setting.
Technical controls must be used to manage the quality of credentials. If credentials are just to unlock
a device, use a minimum password or PIN length of at least 6 characters. When the device unlocking
credentials are also used for authentication, you must apply the full password requirements to the
credentials described in ‘user access controls.’
3. Security update management
Applies to: servers, desktop computers, laptops, tablets, mobile phones, firewalls, routers, IaaS,
PaaS, SaaS
Aim
Ensure that devices and software are not vulnerable to known security issues for which fixes are
available.
Introduction
Any device that runs software can contain security flaws, known as vulnerabilities.
Vulnerabilities are regularly discovered in all sorts of software. Once discovered, malicious
individuals or groups move quickly to misuse (or ‘exploit’) vulnerabilities to attack computers and
networks.
Caution: Product vendors provide fixes for vulnerabilities identified in products that they still support,
in the form of software updates known as ‘patches’ or security updates. These may be made
available to customers immediately or on a regular release schedule (perhaps monthly).
Requirements
You must make sure that all software in scope is kept up to date. All software on in-scope devices
must:
be licensed and supported
removed from devices when it becomes unsupported or removed from scope by using a
defined subset that prevents all traffic to / from the internet
have automatic updates enabled where possible
be updated, including applying any manual configuration changes required to make the
update effective, within 14 days* of an update being released, where:
o the update fixes vulnerabilities described by the vendor as ‘critical’ or ‘high risk’
o the update addresses vulnerabilities with a CVSS v3 base score of 7 or above
o there are no details of the level of vulnerabilities the update fixes provided by the
vendor
Please note: For optimum security we strongly recommend (but it’s not mandatory) that all released
updates are applied within 14 days of release.
*It's important that updates are applied as soon as possible. 14 days is considered a reasonable
period to be able to implement this requirement. Any longer would constitute a serious security risk
while a shorter period may not be practical.
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Information: If the vendor uses different terms to describe the severity of vulnerabilities, see the
precise definition in the Common Vulnerability Scoring System (CVSS). For the purposes of the Cyber
Essentials scheme, ‘critical’ or ‘high risk’ vulnerabilities are those with a CVSS3 score of 7 or above or
are identified by the vendor as 'critical or high risk'.
Caution: Some vendors release security updates for multiple issues with differing severity levels as a
single update. If such an update covers any ‘critical’ or ‘high risk’ issues then it must be installed
within 14 days.
4. User access control
Applies to: servers, desktop computers, laptops, tablets, mobile phones, IaaS, PaaS, SaaS
Aim
Ensure that user accounts:
are assigned to authorised individuals only
provide access to only those applications, computers and networks the user needs to carry
out their role
Introduction
Every active user account in your organisation facilitates access to devices and applications, and to
sensitive business information. By making sure that only authorised individuals have user accounts,
and that they're only granted as much access as they need to carry out their role, you reduce the risk
of information being stolen or damaged.
Compared to normal user accounts, accounts with special access privileges have enhanced access to
devices, applications and information. If these accounts are compromised, an attacker could take
advantage of their greater accesses to corrupt information on a large scale, disrupt business
processes or gain unauthorised access to other devices in the organisation.
Administrative accounts are especially highly privileged, for example. These accounts typically allow
the user to:
execute software that can make significant and security-related changes to the operating
system
make changes to the operating system for some or all users
create new accounts and allocate privileges
All types of administrators will have this kind of account, including domain administrators and local
administrators.
This is important because if a user opens a malicious URL or email attachment, the malware would
typically be executed with the same privilege level of the user’s account. This is why it’s important to
take special care allocating and using privileged accounts.
Example: Jody is logged in with an administrative account. If Jody opens a malicious URL or email
attachment, any associated malware is likely to acquire administrative privileges. Unfortunately, this
is exactly what happens. Using Jody’s administrative privileges, a type of malware known as
ransomware encrypts all of the data on the network and then demands a ransom. The ransomware
was able to encrypt far more data than would have been possible with standard user privileges,
making the problem that much more serious.
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Requirements
Your organisation must be in control of your user accounts and the access privileges that allow
access to your organisational data and services. It’s important to note that this also includes third
party accounts for example accounts used by your support services. You also need to understand
how user accounts authenticate and manage the authentication accordingly.
This means your organisation must:
have in place a process to create and approve user accounts
authenticate users with unique credentials before granting access to applications or devices
(see password-based authentication)
remove or disable user accounts when they’re no longer required (for example, when a user
leaves the organisation or after a defined period of account inactivity)
implement MFA, where available authentication to cloud services must always use MFA
use separate accounts to perform administrative activities only (no emailing, web browsing
or other standard user activities that may expose administrative privileges to avoidable risks)
remove or disable special access privileges when no longer required (when a member of
staff changes role, for example)
Password-based authentication
All user accounts require the user to authenticate.
Where this is carried out using a password, you should put in place the following protective
measures:
Passwords are protected against brute-force password guessing by implementing at least
one of:
o multi-factor authentication (see below)
o ‘throttling' the rate of attempts, so that the number of times the user must wait
between attempts increases with each unsuccessful attempt you shouldn’t allow
more than 10 guesses in 5 minutes
o locking devices after no more than 10 unsuccessful attempts
Use technical controls to manage the quality of passwords. This will include one of the
following:
o Using multi-factor authentication (see below)
o A minimum password length of at least 12 characters, with no maximum length
restrictions
o A minimum password length of at least 8 characters, with no maximum length
restrictions and use automatic blocking of common passwords using a deny list.
Support users to choose unique passwords for their work accounts by:
o educating people about avoiding common passwords, such as a pet's name,
common keyboard patterns or passwords they have used elsewhere. This could
include teaching people to use the password generator feature built into some
password managers.
o encouraging people to choose longer passwords by promoting the use of multiple
words (a minimum of three) to create a password (such as the
NCSC’s guidance on
using three random words)
o providing usable secure storage for passwords (for example a password manager or
secure locked cabinet) with clear information about how and when it can be used.
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o not enforcing regular password expiry
o not enforcing password complexity requirements
You should also make sure there is an established process in place to change passwords promptly if
you know or suspect a password or account has been compromised.
Multi-factor authentication (MFA)
As well as providing an extra layer of security for passwords that aren’t protected by the other
technical controls, you should always use multi-factor authentication to give administrative accounts
extra security, and accounts that are accessible from the internet.
The password element of the multi-factor authentication approach must have a password length of
at least 8 characters, with no maximum length restrictions.
There are four types of additional factor to consider:
a managed/enterprise device
an app on a trusted device
a physically separate token
a known or trusted account
Additional factors should be chosen so that they are usable and accessible. You might need to carry
out user testing to decide what is best for your users. For more information see
NCSC’s guidance on
MFA.
Information: SMS is not the most secure type of MFA, but still offers a huge advantage over not
using any MFA at all. Any multi-factor authentication is better than not having it at all. However, if
there are alternatives available that will work for your situation, we recommend you use these
instead of SMS.
5. Malware protection
Applies to: Servers, desktop computers, laptops, tablets, mobile phones, IaaS, PaaS, SaaS
Aim
To restrict execution of known malware and untrusted software, from causing damage or accessing
data.
Introduction
Malware, such as computer viruses, worms and ransomware, is software that has been written and
distributed deliberately to perform malicious actions. Potential sources include: malicious email
attachments, downloads (including those from application stores), and direct installation of
unauthorised software.
If a system is infected, your organisation is likely to suffer from problems like malfunctioning
systems, data loss, or onward infection that goes unseen until it causes harm elsewhere.
You can largely avoid the potential for harm by:
preventing malware from being delivered to devices
preventing malware from running on devices
Example: Acme Corporation implements code signing alongside a rule that allows only vetted
applications from the device application store to execute on devices. Unsigned and unapproved
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applications will not run on devices. The fact that users can only install trusted (allow-listed)
applications leads to a reduced risk of malware infection.
Requirements
You must make sure that a malware protection mechanism is active on all devices in scope. For each
device, you must use at least one of the options listed below. In most modern products these
options are built in to the software supplied. Alternatively, you can purchase products from a third-
party provider. In all cases the software must be active, kept up to date in accordance with the
vendors instructions, and configured to work as detailed below:
Anti-malware software (option for in scope devices running Windows or MacOS including servers,
desktop computers, laptop computers)
If you use anti-malware software to protect your device it must be configured to:
be updated in line with vendor recommendations
prevent malware from running
prevent the execution of malicious code
prevent connections to malicious websites over the internet.
Application allow listing (option for all in scope devices)
Only approved applications, restricted by code signing, are allowed to execute on devices. You must:
actively approve such applications before deploying them to devices
maintain a current list of approved applications, users must not be able to install any
application that is unsigned or has an invalid signature.
E. Further guidance
Backing up your data
Backing up means creating a copy of your information and saving it to another device or to cloud
storage (online).
Backing up regularly means you will always have a recent version of your information saved. This will
help you recover quicker if your data is lost or stolen.
You can also turn on automatic backup. This will regularly save your information into cloud storage,
without you having to remember.
If you back up your information to a USB stick or an external hard drive, disconnect it from your
computer when a backup isn’t being done.
Backing up your data is not a technical requirement of Cyber Essentials; however we highly
recommend implementing an appropriate backup solution.
Zero trust and Cyber Essentials
Network architecture is changing. More services are moving to the cloud and use of Software as a
Service (SaaS) continues to grow.
At the same time, many organisations are embracing flexible working, which means lots of different
device types may connect to your systems from many locations. It's also increasingly common for
organisations to share data with their partners and guest users, which requires more granular access
control policies.
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Zero trust architecture is designed to cope with these changing conditions by enabling an improved
user experience for remote access and data sharing.
A zero trust architecture is an approach to system design where inherent trust in the network is
removed. Instead, the network is assumed hostile and each access request is verified, based on an
access policy. Confidence in a request is achieved by building context, which relies on strong
authentication, authorisation, device health, and value of the data being accessed.
As organisations move towards zero trust architecture models, we have considered it in this context,
and are confident that implementing the technical controls doesn't prevent you using a zero trust
architecture as defined by the NCSC guidance
.