| name | compliance-frameworks |
| description | SOC 2 compliance requirements, ISO 27001 standards, PCI DSS requirements, HIPAA security rules, GDPR data protection, NIST Cybersecurity Framework, and industry-specific compliance requirements |
Compliance Frameworks
SOC 2 Compliance
SOC 2 Overview
SOC 2 (System and Organization Controls 2) is a compliance framework for service organizations that store customer data in the cloud.
SOC 2 Trust Services Criteria
- Security: Protection against unauthorized access
- Availability: System is available for operation and use
- Processing Integrity: System processing is complete, valid, accurate, timely, and authorized
- Confidentiality: Information is disclosed only to authorized parties
- Privacy: Personal information is collected, used, retained, disclosed, and disposed of properly
SOC 2 Common Criteria (CC)
- CC1.1: The entity demonstrates commitment to integrity and ethical values
- CC2.1: The entity assigns and documents authority and responsibility
- CC3.1: The entity identifies objectives with sufficient clarity
- CC4.1: The entity assesses risks and identifies responses
- CC5.1: The entity selects, develops, and performs ongoing monitoring activities
- CC6.1: The entity selects, develops, and performs corrective actions
- CC7.1: The entity obtains, assesses, and communicates relevant information
- CC8.1: The entity selects, develops, and performs ongoing monitoring activities
SOC 2 Implementation
- Policies and Procedures: Develop comprehensive security policies and procedures
- Access Controls: Implement strong access controls
- Change Management: Implement formal change management processes
- Incident Response: Develop and test incident response procedures
- Vendor Management: Implement vendor risk management processes
- Monitoring and Logging: Implement comprehensive monitoring and logging
- Data Classification: Classify data based on sensitivity
- Encryption: Encrypt data at rest and in transit
ISO 27001
ISO 27001 Overview
ISO 27001 is an international standard for information security management systems (ISMS).
ISO 27001 Annex A Controls
- A.5 Organizational Security Policies: Information security policies
- A.6 Organization of Information Security: Roles and responsibilities
- A.7 Human Resource Security: Employee security
- A.8 Asset Management: Asset inventory and classification
- A.9 Access Control: Access control policy and procedures
- A.10 Cryptography: Cryptographic controls
- A.11 Physical and Environmental Security: Physical security
- A.12 Operations Security: Operational procedures and responsibilities
- A.13 Communications Security: Network security management
- A.14 System Acquisition, Development, and Maintenance: Security in development
- A.15 Supplier Relationships: Supplier security
- A.16 Information Security Incident Management: Incident management
- A.17 Information Security Aspects of Business Continuity: Business continuity
- A.18 Compliance: Compliance with legal and regulatory requirements
ISO 27001 Implementation
- Management Commitment: Obtain management commitment and support
- Scope Definition: Define the scope of the ISMS
- Risk Assessment: Conduct a comprehensive risk assessment
- Statement of Applicability: Create a Statement of Applicability (SoA)
- Risk Treatment Plan: Develop a risk treatment plan
- Policies and Procedures: Develop policies and procedures
- Implementation: Implement controls and processes
- Internal Audit: Conduct internal audits
- Management Review: Conduct management reviews
- Certification Audit: Undergo certification audit
PCI DSS
PCI DSS Overview
PCI DSS (Payment Card Industry Data Security Standard) is a set of security standards for organizations that handle credit card information.
PCI DSS Requirements
- Install and maintain a firewall configuration: Protect cardholder data
- Do not use vendor-supplied defaults: Change default passwords and security parameters
- Protect stored cardholder data: Encrypt cardholder data at rest
- Encrypt transmission of cardholder data: Use strong encryption in transit
- Use and regularly update anti-virus software: Protect against malware
- Develop and maintain secure systems: Develop secure applications and systems
- Restrict access to cardholder data: Implement access controls
- Identify and authenticate access: Assign unique IDs to each person
- Restrict physical access: Restrict physical access to cardholder data
- Track and monitor all access: Log and monitor all access to network resources
- Regularly test security systems: Test security systems and processes regularly
- Maintain an information security policy: Maintain a policy that addresses information security
PCI DSS Implementation
- Network Segmentation: Segment cardholder data environment
- Firewall Configuration: Configure firewalls to protect cardholder data
- Encryption: Encrypt cardholder data at rest and in transit
- Access Controls: Implement strong access controls
- Logging and Monitoring: Log and monitor all access to cardholder data
- Vulnerability Management: Regularly scan for vulnerabilities
- Secure Development: Follow secure development practices
- Physical Security: Implement physical security controls
- Security Awareness: Provide security awareness training
- Incident Response: Develop incident response procedures
HIPAA
HIPAA Overview
HIPAA (Health Insurance Portability and Accountability Act) includes the Security Rule and Privacy Rule for protecting health information.
HIPAA Security Rule
- Administrative Safeguards: Policies and procedures for security management
- Physical Safeguards: Physical measures to protect electronic health information
- Technical Safeguards: Technology and policies to protect electronic health information
HIPAA Administrative Safeguards
- Security Management Process: Conduct risk analysis and implement security measures
- Assigned Security Responsibility: Designate a security official
- Workforce Security: Implement workforce security policies and procedures
- Information Access Management: Implement policies for information access
- Security Awareness and Training: Provide security awareness training
- Security Incident Procedures: Develop incident response procedures
- Contingency Plan: Develop a contingency plan
- Evaluation: Perform periodic evaluations of security measures
- Business Associate Contracts: Have business associate contracts in place
HIPAA Technical Safeguards
- Access Control: Implement unique user identification and access controls
- Audit Controls: Implement hardware, software, and procedural audit controls
- Integrity Controls: Ensure electronic protected health information is not improperly altered
- Transmission Security: Ensure transmission security
HIPAA Privacy Rule
- Permitted Uses and Disclosures: Define permitted uses and disclosures
- Minimum Necessary: Use and disclose only the minimum necessary information
- Notice of Privacy Practices: Provide notice of privacy practices
- Individual Rights: Provide individuals with rights to their health information
- Authorization: Obtain authorization for certain uses and disclosures
GDPR
GDPR Overview
GDPR (General Data Protection Regulation) is a European Union regulation for data protection and privacy.
GDPR Principles
- Lawfulness, Fairness, and Transparency: Process data lawfully, fairly, and transparently
- Purpose Limitation: Collect data for specified, explicit, and legitimate purposes
- Data Minimization: Collect only data that is adequate, relevant, and limited
- Accuracy: Ensure data is accurate and kept up to date
- Storage Limitation: Store data only as long as necessary
- Integrity and Confidentiality: Ensure data is processed securely
- Accountability: Be accountable for compliance
GDPR Rights
- Right to be Informed: Individuals have the right to be informed about data processing
- Right of Access: Individuals have the right to access their personal data
- Right to Rectification: Individuals have the right to have inaccurate data corrected
- Right to Erasure: Individuals have the right to have their data erased
- Right to Restrict Processing: Individuals have the right to restrict processing
- Right to Data Portability: Individuals have the right to data portability
- Right to Object: Individuals have the right to object to processing
- Rights in Relation to Automated Decision Making: Individuals have rights related to automated decision making
GDPR Implementation
- Data Mapping: Map all data processing activities
- Legal Basis: Identify legal basis for processing
- Privacy by Design: Implement privacy by design and by default
- Data Protection Impact Assessments: Conduct DPIAs for high-risk processing
- Data Subject Rights: Implement processes to handle data subject rights
- Data Breach Notification: Implement data breach notification procedures
- Data Protection Officer: Appoint a DPO if required
- Records of Processing: Maintain records of processing activities
- International Data Transfers: Implement appropriate safeguards for international data transfers
NIST Cybersecurity Framework
NIST CSF Overview
The NIST Cybersecurity Framework (CSF) provides a policy framework of computer security guidance for private sector organizations.
NIST CSF Functions
- Identify: Develop an understanding of the business context and resources
- Protect: Develop and implement appropriate safeguards
- Detect: Develop and implement activities to identify cybersecurity events
- Respond: Develop and implement activities to take action regarding a detected cybersecurity incident
- Recover: Develop and implement activities to maintain plans for resilience and restoration
NIST CSF Categories
Identify (ID)
- ID.AM: Asset Management
- ID.BE: Business Environment
- ID.GV: Governance
- ID.RA: Risk Assessment
- ID.RM: Risk Management Strategy
- ID.SC: Supply Chain Risk Management
Protect (PR)
- PR.AC: Access Control
- PR.AT: Awareness and Training
- PR.DS: Data Security
- PR.IP: Information Protection Processes and Procedures
- PR.MA: Maintenance
- PR.PS: Protective Technology
Detect (DE)
- DE.AE: Anomalies and Events
- DE.CM: Security Continuous Monitoring
- DE.DP: Detection Processes
Respond (RS)
- RS.RP: Response Planning
- RS.CO: Communications
- RS.AN: Analysis
- RS.MI: Mitigation
- RS.IM: Improvements
Recover (RC)
- RC.RP: Recovery Planning
- RC.CO: Communications
- RC.IM: Improvements
Industry-Specific Compliance
Financial Services
- GLBA: Gramm-Leach-Bliley Act for financial institutions
- FFIEC: Federal Financial Institutions Examination Council guidelines
- SOX: Sarbanes-Oxley Act for financial reporting
- Basel III: International banking regulations
Healthcare
- HIPAA: Health Insurance Portability and Accountability Act
- HITECH: Health Information Technology for Economic and Clinical Health Act
- FDA Regulations: FDA regulations for medical devices
Government
- FISMA: Federal Information Security Management Act
- FedRAMP: Federal Risk and Authorization Management Program
- CMMC: Cybersecurity Maturity Model Certification
Education
- FERPA: Family Educational Rights and Privacy Act
- COPPA: Children's Online Privacy Protection Act
Telecommunications
- FCC Regulations: Federal Communications Commission regulations
- GDPR: General Data Protection Regulation (for EU operations)
Retail and E-commerce
- PCI DSS: Payment Card Industry Data Security Standard
- GDPR: General Data Protection Regulation (for EU customers)
- CCPA: California Consumer Privacy Act
Compliance Implementation
Compliance Management Process
- Gap Analysis: Identify gaps between current state and compliance requirements
- Remediation Planning: Develop remediation plans for identified gaps
- Implementation: Implement controls and processes
- Documentation: Document policies, procedures, and evidence
- Training: Provide training to employees
- Monitoring: Monitor compliance on an ongoing basis
- Audit: Conduct regular audits and assessments
- Continuous Improvement: Continuously improve compliance posture
Common Compliance Controls
- Access Controls: Implement strong access controls
- Encryption: Encrypt data at rest and in transit
- Logging and Monitoring: Implement comprehensive logging and monitoring
- Incident Response: Develop and test incident response procedures
- Risk Assessment: Conduct regular risk assessments
- Training: Provide security awareness training
- Vendor Management: Implement vendor risk management
- Change Management: Implement formal change management processes
- Business Continuity: Develop business continuity and disaster recovery plans
- Data Classification: Classify data based on sensitivity
