Security Compliance & Governance

ISO 27001 Implementation

ISMS Development Process

Phase 1: Planning and Scoping

isms_scope:
  business_units:
    - IT Operations
    - Customer Support
    - Product Development
  
  assets_covered:
    - Customer data
    - Intellectual property
    - IT infrastructure
    - Business processes
  
  exclusions:
    - Physical facilities (outsourced)
    - HR operations (separate ISMS)
  
  risk_appetite:
    high_risk_threshold: 15
    medium_risk_threshold: 10
    acceptable_residual_risk: 5

Phase 2: Risk Assessment

• Asset Identification: Complete asset inventory and classification
• Threat Assessment: Threat landscape analysis and threat modeling
• Vulnerability Analysis: Technical and organizational vulnerability assessment
• Risk Calculation: Likelihood and impact assessment with risk scoring
• Risk Treatment: Risk acceptance, mitigation, transfer, or avoidance decisions

Phase 3: Control Implementation

• Annex A Controls: 93 security controls from ISO 27001:2022
• Control Objectives: Mapping controls to risk treatment decisions
• Implementation Plan: Phased control deployment with timelines
• Effectiveness Measurement: KPIs and metrics for control effectiveness

ISO 27001 Control Categories

Organizational Controls (37 controls)

• Information Security Policies: Policy framework and governance
• Information Security in Project Management: Security in SDLC
• Human Resource Security: Personnel security and awareness
• Supplier Relationships: Third-party risk management

People Controls (8 controls)

• Access Control Management: User access provisioning and review
• Privileged Access Rights: Administrative access controls
• Information Access Restriction: Need-to-know access principles
• Authentication Information: Password and credential management

Physical Controls (14 controls)

• Physical Security Perimeters: Facility access controls
• Physical and Environmental Protection: Infrastructure security
• Equipment Security: Asset protection and maintenance
• Secure Disposal: Secure destruction of information

Technological Controls (34 controls)

• Network Security Management: Network access controls
• Application Security: Secure development and testing
• System Security: Configuration and change management
• Cryptography: Encryption and key management

SOC 2 Compliance Framework

Trust Services Criteria

Security (Common Criteria)

• CC1.0: Control Environment

  • Integrity and ethical values
  • Board oversight and governance
  • Management structure and authority
  • Competence and development
  • Accountability and enforcement

• CC2.0: Communication and Information

  • Internal communication of objectives
  • External communication requirements
  • Quality of information for decision-making

• CC3.0: Risk Assessment

  • Risk identification and analysis
  • Risk tolerance and response
  • Fraud risk assessment
  • Change impact assessment

• CC4.0: Monitoring Activities

  • Control monitoring and evaluation
  • Internal audit function
  • Management review and remediation

• CC5.0: Control Activities

  • Control design and implementation
  • Technology general controls
  • Logical and physical access controls

Additional Criteria

Availability

• A1.0: System availability performance
• A2.0: System capacity planning
• A3.0: System monitoring and alerting

Processing Integrity

• PI1.0: Data processing accuracy
• PI2.0: Data processing completeness
• PI3.0: Data processing validity

Confidentiality

• C1.0: Data classification and labeling
• C2.0: Access restriction and authorization
• C3.0: Data encryption and protection

Privacy

• P1.0: Notice and communication of privacy practices
• P2.0: Choice and consent mechanisms
• P3.0: Collection limitation and data minimization
• P4.0: Use, retention, and disposal practices

GDPR Compliance Implementation

Data Protection Principles

Article 5 - Principles of Processing

# Example: Data processing audit framework
class GDPRComplianceChecker:
    def __init__(self):
        self.principles = {
            'lawfulness': self.check_lawful_basis,
            'purpose_limitation': self.check_purpose_limitation,
            'data_minimization': self.check_data_minimization,
            'accuracy': self.check_data_accuracy,
            'storage_limitation': self.check_retention_periods,
            'integrity_confidentiality': self.check_security_measures,
            'accountability': self.check_documentation
        }
    
    def check_lawful_basis(self, processing_activity):
        valid_bases = ['consent', 'contract', 'legal_obligation', 
                      'vital_interests', 'public_task', 'legitimate_interests']
        return processing_activity.legal_basis in valid_bases
    
    def check_purpose_limitation(self, processing_activity):
        return (processing_activity.current_purpose in 
               processing_activity.original_purposes)
    
    def audit_processing_activity(self, activity):
        results = {}
        for principle, checker in self.principles.items():
            results[principle] = checker(activity)
        return results

Data Subject Rights Implementation

Right of Access (Article 15)

• Subject Access Request Portal: Automated request handling
• Identity Verification: Secure identity confirmation process
• Data Compilation: Automated personal data collection
• Response Timeline: 30-day response requirement management

Right to Rectification (Article 16)

• Data Correction Workflows: Automated correction processes
• Third-Party Notification: Downstream correction propagation
• Verification Procedures: Data accuracy validation

Right to Erasure (Article 17)

• Deletion Workflows: Secure data deletion processes
• Retention Policy Enforcement: Automated retention management
• Third-Party Erasure: Data processor deletion coordination
• Technical Deletion: Secure overwriting and destruction

Privacy by Design Implementation

• Data Protection Impact Assessments: Systematic privacy risk assessment
• Privacy-Enhancing Technologies: Technical privacy protection measures
• Default Privacy Settings: Privacy-friendly default configurations
• Embedded Privacy: Privacy considerations in system design

Industry-Specific Compliance

HIPAA (Healthcare)

Administrative Safeguards

• Security Officer: Designated security responsibility
• Workforce Training: Security awareness and training programs
• Information Access Management: Role-based access controls
• Incident Response: Security incident procedures

Physical Safeguards

• Facility Access Controls: Physical access restrictions
• Workstation Use: Workstation security controls
• Device and Media Controls: Portable device management

Technical Safeguards

• Access Control: Unique user identification and authentication
• Audit Controls: Comprehensive audit logging and monitoring
• Integrity: Electronic PHI integrity protection
• Person or Entity Authentication: Strong authentication mechanisms
• Transmission Security: Encrypted data transmission

PCI DSS (Payment Cards)

Build and Maintain Secure Networks

• Requirement 1: Install and maintain firewall configuration
• Requirement 2: Do not use vendor-supplied defaults

Protect Cardholder Data

• Requirement 3: Protect stored cardholder data
• Requirement 4: Encrypt transmission across open networks

Maintain Vulnerability Management

• Requirement 5: Protect against malware
• Requirement 6: Develop secure systems and applications

Implement Strong Access Controls

• Requirement 7: Restrict access by business need-to-know
• Requirement 8: Identify and authenticate system access
• Requirement 9: Restrict physical access to cardholder data

Monitor and Test Networks

• Requirement 10: Track and monitor network access
• Requirement 11: Regularly test security systems

Maintain Information Security Policy

• Requirement 12: Maintain information security policy

Continuous Compliance Monitoring

Automated Compliance Checking

• Policy Compliance: Automated policy violation detection
• Control Testing: Continuous control effectiveness testing
• Evidence Collection: Automated audit evidence gathering
• Reporting Dashboards: Real-time compliance status reporting

Compliance Management Platform

• Risk Assessment: Continuous risk monitoring and assessment
• Control Mapping: Framework control relationship mapping
• Gap Analysis: Compliance gap identification and tracking
• Remediation Tracking: Action plan management and monitoring