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

compliance-frameworks