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austinsonger
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Thirdwatch

+ {"catalog":{"description":"<p>This catalog includes requirements for Title 1.81.5. California Consumer Privacy Act of 2018 [1798.100 - 1798.199.100]. The California Consumer Privacy Act of 2018 (CCPA) gives consumers more control over the personal information that businesses collect about them and the CCPA regulations provide guidance on how to implement the law. The current catalog includes amendments current through AB 947 AND AB 1194, which were effective January 1, 2024. Sections which describe requirements or notice of consumer rights are included as privacy controls. Those sections which describe functions of agencies or government officials, exemptions, definitions, or other contextual information are not included as controls. However, these may be referenced through the full text of the legislation at https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?division=3.&part=4.&lawCode=CIV&title=1.81.5. Certain requirements, such as those enumerated in subpart (c) of § 1798.148, will only apply to organizations taking part in specific activities.</p>","uuid":"d984bbb4-941a-4b69-b9df-b960693a5b5f","datePublished":"2018-02-14T11:00:00","regulationDateModified":"2024-01-01T20:00:00","url":"https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?division=3.&part=4.&lawCode=CIV&title=1.81.5","defaultName":"ccpa","title":"California Consumer Privacy Act (CCPA)","lastRevisionDate":"2024-06-23T20:00:00","regulationDatePublished":"2018-06-26T20:00:00","keywords":"California Consumer Privacy Act of 2018, SB-1121, CCPA","requireUniqueControlId":true,"securityControls":[{"practiceLevel":"","description":"<p>(a) A business that controls the collection of a consumer’s personal information shall, at or before the point of collection, inform consumers of the following: (1) The categories of personal information to be collected and the purposes for which the categories of personal information are collected or used and whether that information is sold or shared. A business shall not collect additional categories of personal information or use personal information collected for additional purposes that are incompatible with the disclosed purpose for which the personal information was collected without providing the consumer with notice consistent with this section. (2) If the business collects sensitive personal information, the categories of sensitive personal information to be collected and the purposes for which the categories of sensitive personal information are collected or used, and whether that information is sold or shared. A business shall not collect additional categories of sensitive personal information or use sensitive personal information collected for additional purposes that are incompatible with the disclosed purpose for which the sensitive personal information was collected without providing the consumer with notice consistent with this section. (3) The length of time the business intends to retain each category of personal information, including sensitive personal information, or if that is not possible, the criteria used to determine that period provided that a business shall not retain a consumer’s personal information or sensitive personal information for each disclosed purpose for which the personal information was collected for longer than is reasonably necessary for that disclosed purpose.</p><p><br>(b) A business that, acting as a third party, controls the collection of personal information about a consumer may satisfy its obligation under subdivision (a) by providing the required information prominently and conspicuously on the homepage of its internet website. In addition, if a business acting as a third party controls the collection of personal information about a consumer on its premises, including in a vehicle, then the business shall, at or before the point of collection, inform consumers as to the categories of personal information to be collected and the purposes for which the categories of personal information are used, and whether that personal information is sold, in a clear and conspicuous manner at the location.</p><p><br>(c) A business’ collection, use, retention, and sharing of a consumer’s personal information shall be reasonably necessary and proportionate to achieve the purposes for which the personal information was collected or processed, or for another disclosed purpose that is compatible with the context in which the personal information was collected, and not further processed in a manner that is incompatible with those purposes.</p><p style=\"margin-left: 30px;\">(d) A business that collects a consumer’s personal information and that sells that personal information to, or shares it with, a third party or that discloses it to a service provider or contractor for a business purpose shall enter into an agreement with the third party, service provider, or contractor, that:<br><br>(1) Specifies that the personal information is sold or disclosed by the business only for limited and specified purposes.<br><br>(2) Obligates the third party, service provider, or contractor to comply with applicable obligations under this title and obligate those persons to provide the same level of <br>privacy protection as is required by this title. <br><br>(3) Grants the business rights to take reasonable and appropriate steps to help ensure that the third party, service provider, or contractor uses the personal information transferred in a manner consistent with the business’ obligations under this title. <br><br>(4) Requires the third party, service provider, or contractor to notify the business if it makes a determination that it can no longer meet its obligations under this title. <br><br>(5) Grants the business the right, upon notice, including under paragraph (4), to take reasonable and appropriate steps to stop and remediate unauthorized use of personal information.</p><p>(e) A business that collects a consumer’s personal information shall implement reasonablesecurity procedures and practices appropriate to the nature of the personal informationto protect the personal information from unauthorized or illegal access, destruction, use,modification, or disclosure in accordance with Section 1798.81.5.</p><p>(f) Nothing in this section shall require a business to disclose trade secrets, as specified in regulations adopted pursuant to paragraph (3) of subdivision (a) of Section 1798.185.</p><p><em>(Amended November 3, 2020, by initiative Proposition 24, Sec. 4. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"b21d81c5-e785-4798-85ab-9753b8b0b873","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.100. General Duties of Businesses that Collect Personal Information","sortId":"1798.100","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.100"},{"practiceLevel":"","description":"<p>(a) A consumer shall have the right to request that a business delete any personal information about the consumer which the business has collected from the consumer.</p><p>(b) A business that collects personal information about consumers shall disclose, pursuant to Section 1798.130, the consumer’s rights to request the deletion of the consumer’s personal information.</p><p>(c) (1) A business that receives a verifiable consumer request from a consumer to delete the consumer’s personal information pursuant to subdivision (a) of this section shall delete the consumer’s personal information from its records, notify any service providers or contractors to delete the consumer’s personal information from their records, and notify all third parties to whom the business has sold or shared the personal information to delete the consumer’s personal information unless this proves impossible or involves disproportionate effort.</p><p style=\"margin-left: 30px;\">(2) The business may maintain a confidential record of deletion requests solely for the purpose of preventing the personal information of a consumer who has submitted a deletion request from being sold, for compliance with laws or for other purposes, solely to the extent permissible under this title.</p><p style=\"margin-left: 30px;\">(3) A service provider or contractor shall cooperate with the business in responding to a verifiable consumer request, and at the direction of the business, shall delete, or enable the business to delete and shall notify any of its own service providers or contractors to delete personal information about the consumer collected, used, processed, or retained by the service provider or the contractor. The service provider or contractor shall notify any service providers, contractors, or third parties who may have accessed personal information from or through the service provider or contractor, unless the information was accessed at the direction of the business, to delete the consumer’s personal information unless this proves impossible or involves disproportionate effort. A service provider or contractor shall not be required to comply with a deletion request submitted by the consumer directly to the service provider or contractor to the extent that the service provider or contractor has collected, used, processed, or retained the consumer’s personal information in its role as a service provider or contractor to the business.</p><p>(d) A business, or a service provider or contractor acting pursuant to its contract with the business, another service provider, or another contractor, shall not be required to comply with a consumer’s request to delete the consumer’s personal information if it is reasonably necessary for the business, service provider, or contractor to maintain the consumer’s personal information in order to:</p><p style=\"margin-left: 30px;\">(1) Complete the transaction for which the personal information was collected, fulfill the terms of a written warranty or product recall conducted in accordance with federal law, provide a good or service requested by the consumer, or reasonably anticipated by the consumer within the context of a business’ ongoing business relationship with the consumer, or otherwise perform a contract between the business and the consumer.</p><p style=\"margin-left: 30px;\">(2) Help to ensure security and integrity to the extent the use of the consumer’s personal information is reasonably necessary and proportionate for those purposes.</p><p style=\"margin-left: 30px;\">(3) Debug to identify and repair errors that impair existing intended functionality.</p><p style=\"margin-left: 30px;\">(4) Exercise free speech, ensure the right of another consumer to exercise that consumer’s right of free speech, or exercise another right provided for by law.</p><p style=\"margin-left: 30px;\">(5) Comply with the California Electronic Communications Privacy Act pursuant to Chapter 3.6 (commencing with Section 1546) of Title 12 of Part 2 of the Penal Code.</p><p style=\"margin-left: 30px;\">(6) Engage in public or peer-reviewed scientific, historical, or statistical research that conforms or adheres to all other applicable ethics and privacy laws, when the business’ deletion of the information is likely to render impossible or seriously impair the ability to complete such research, if the consumer has provided informed consent.</p><p style=\"margin-left: 30px;\">(7) To enable solely internal uses that are reasonably aligned with the expectations of the consumer based on the consumer’s relationship with the business and compatible with the context in which the consumer provided the information.</p><p style=\"margin-left: 30px;\">(8) Comply with a legal obligation.</p><p><em>(Amended November 3, 2020, by initiative Proposition 24, Sec. 5. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"3945fcb4-981f-49a1-83f1-e11936789ba7","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.105. Consumers’ Right to Delete Personal Information","sortId":"1798.105","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.105"},{"practiceLevel":"","description":"<p>(a) A consumer shall have the right to request that a business that collects personal information about the consumer disclose to the consumer the following:</p><p style=\"margin-left: 30px;\">(1) The categories of personal information it has collected about that consumer.</p><p style=\"margin-left: 30px;\">(2) The categories of sources from which the personal information is collected.</p><p style=\"margin-left: 30px;\">(3) The business or commercial purpose for collecting, selling, or sharing personal information.</p><p style=\"margin-left: 30px;\">(4) The categories of third parties to whom the business discloses personal information.</p><p style=\"margin-left: 30px;\">(5) The specific pieces of personal information it has collected about that consumer.</p><p>(b) A business that collects personal information about a consumer shall disclose to the consumer, pursuant to subparagraph (B) of paragraph (3) of subdivision (a) of Section 1798.130, the information specified in subdivision (a) upon receipt of a verifiable consumer request from the consumer, provided that a business shall be deemed to be in compliance with paragraphs (1) to (4), inclusive, of subdivision (a) to the extent that the categories of information and the business or commercial purpose for collecting, selling, or sharing personal information it would be required to disclose to the consumer pursuant to paragraphs (1) to (4), inclusive, of subdivision (a) is the same as the information it has disclosed pursuant to paragraphs (1) to (4), inclusive, of subdivision (c).</p><p>(c) A business that collects personal information about consumers shall disclose, pursuant to subparagraph (B) of paragraph (5) of subdivision (a) of Section 1798.130:</p><p style=\"margin-left: 30px;\">(1) The categories of personal information it has collected about consumers.</p><p style=\"margin-left: 30px;\">(2) The categories of sources from which the personal information is collected.</p><p style=\"margin-left: 30px;\">(3) The business or commercial purpose for collecting, selling, or sharing personal information.</p><p style=\"margin-left: 30px;\">(4) The categories of third parties to whom the business discloses personal information.</p><p style=\"margin-left: 30px;\">(5) That a consumer has the right to request the specific pieces of personal information the business has collected about that consumer.</p><p><em>(Amended November 3, 2020, by initiative Proposition 24, Sec. 7. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"22126f31-9147-4408-b4c7-1e708b2eb1bd","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.110. Consumers’ Right to Know What Personal Information is Being Collected. Right to Access Personal Information","sortId":"1798.110","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.110"},{"practiceLevel":"","description":"<p>(a) A consumer shall have the right to request that a business that sells or shares the consumer’s personal information, or that discloses it for a business purpose, disclose to that consumer:</p><p style=\"margin-left: 30px;\">(1) The categories of personal information that the business collected about the consumer.</p><p style=\"margin-left: 30px;\">(2) The categories of personal information that the business sold or shared about the consumer and the categories of third parties to whom the personal information was sold or shared, by category or categories of personal information for each category of third parties to whom the personal information was sold or shared.</p><p style=\"margin-left: 30px;\">(3) The categories of personal information that the business disclosed about the consumer for a business purpose and the categories of persons to whom it was disclosed for a business purpose.</p><p>(b) A business that sells or shares personal information about a consumer, or that discloses a consumer’s personal information for a business purpose, shall disclose, pursuant to paragraph (4) of subdivision (a) of Section 1798.130, the information specified in subdivision (a) to the consumer upon receipt of a verifiable consumer request from the consumer.</p><p>(c) A business that sells or shares consumers’ personal information, or that discloses consumers’ personal information for a business purpose, shall disclose, pursuant to subparagraph (C) of paragraph (5) of subdivision (a) of Section 1798.130:</p><p style=\"margin-left: 30px;\">(1) The category or categories of consumers’ personal information it has sold or shared, or if the business has not sold or shared consumers’ personal information, it shall disclose that fact.</p><p style=\"margin-left: 30px;\">(2) The category or categories of consumers’ personal information it has disclosed for a business purpose, or if the business has not disclosed consumers’ personal information for a business purpose, it shall disclose that fact.</p><p>(d) A third party shall not sell or share personal information about a consumer that has been sold to, or shared with, the third party by a business unless the consumer has received explicit notice and is provided an opportunity to exercise the right to opt-out pursuant to Section 1798.120.</p><p><em>(Amended November 3, 2020, by initiative Proposition 24, Sec. 8. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"538c23a3-ee7e-42ac-aacc-461f8e397e07","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.115. Consumers’ Right to Know What Personal Information is Sold or Shared and to Whom","enhancements":"","controlType":"Stand-Alone","sortId":"1798.115","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.115"},{"practiceLevel":"","description":"<p>(a) A consumer shall have the right, at any time, to direct a business that sells or shares personal information about the consumer to third parties not to sell or share the consumer’s personal information. This right may be referred to as the right to opt-out of sale or sharing.</p><p>(b) A business that sells consumers’ personal information to, or shares it with, third parties shall provide notice to consumers, pursuant to subdivision (a) of Section 1798.135, that this information may be sold or shared and that consumers have the “right to opt-out” of the sale or sharing of their personal information.</p><p>(c) Notwithstanding subdivision (a), a business shall not sell or share the personal information of consumers if the business has actual knowledge that the consumer is less than 16 years of age, unless the consumer, in the case of consumers at least 13 years of age and less than 16 years of age, or the consumer’s parent or guardian, in the case of consumers who are less than 13 years of age, has affirmatively authorized the sale or sharing of the consumer’s personal information. A business that willfully disregards the consumer’s age shall be deemed to have had actual knowledge of the consumer’s age.</p><p>(d) A business that has received direction from a consumer not to sell or share the consumer’s personal information or, in the case of a minor consumer’s personal information has not received consent to sell or share the minor consumer’s personal information, shall be prohibited, pursuant to paragraph (4) of subdivision (c) of Section 1798.135, from selling or sharing the consumer’s personal information after its receipt of the consumer’s direction, unless the consumer subsequently provides consent, for the sale or sharing of the consumer’s personal information.</p><p><em>(Amended November 3, 2020, by initiative Proposition 24, Sec. 9. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"c51550f9-71d2-42ad-b97c-a750d52ebba2","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.120. Consumers’ Right to Opt Out of Sale or Sharing of Personal Information","sortId":"1798.120","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.120"},{"practiceLevel":"","description":"<p>(a) (1) A business shall not discriminate against a consumer because the consumer exercised any of the consumer’s rights under this title, including, but not limited to, by: </p><blockquote style=\"margin: 0px 0px 0px 40px; border: none; padding: 0px;\"><div><p>(A) Denying goods or services to the consumer. </p></div><div><p>(B) Charging different prices or rates for goods or services, including through the use of discounts or other benefits or imposing penalties. </p></div><div><p>(C) Providing a different level or quality of goods or services to the consumer. </p></div><div><p>(D) Suggesting that the consumer will receive a different price or rate for goods or services or a different level or quality of goods or services. </p></div><div><p>(2) Nothing in this subdivision prohibits a business from charging a consumer a different price or rate, or from providing a different level or quality of goods or services to the consumer, if that difference is reasonably related to the value provided to the business by the consumer’s data. </p></div></blockquote><p><span style=\"background-color: transparent; font-family: "Open Sans", -apple-system, BlinkMacSystemFont, "Segoe UI", Roboto, "Helvetica Neue", Arial, sans-serif; font-size: 1rem;\">(b) (1) A business may offer financial incentives, including payments to consumers as compensation, for the collection of personal information, the sale or sharing of personal information, or the retention of personal information. A business may also offer a different price, rate, level, or quality of goods or services to the consumer if that price or difference is reasonably related to the value provided to the business by the consumer’s data.</span></p><p style=\"margin-left: 30px;\"><span style=\"background-color: transparent; font-family: "Open Sans", -apple-system, BlinkMacSystemFont, "Segoe UI", Roboto, "Helvetica Neue", Arial, sans-serif; font-size: 1rem;\">(2) A business that offers any financial incentives pursuant to this subdivision, shall notify consumers of the financial incentives pursuant to Section 1798.130.</span></p><p style=\"margin-left: 30px;\"><span style=\"background-color: transparent; font-family: "Open Sans", -apple-system, BlinkMacSystemFont, "Segoe UI", Roboto, "Helvetica Neue", Arial, sans-serif; font-size: 1rem;\">(3) A business may enter a consumer into a financial incentive program only if the consumer gives the business prior opt-in consent pursuant to Section 1798.130 that clearly describes the material terms of the financial incentive program, and which may be revoked by the consumer at any time. If a consumer refuses to provide opt-in consent, then the business shall wait for at least 12 months before next requesting that the consumer provide opt-in consent, or as prescribed by regulations adopted pursuant to Section 1798.185.</span></p><p style=\"margin-left: 30px;\"><span style=\"background-color: transparent; font-family: "Open Sans", -apple-system, BlinkMacSystemFont, "Segoe UI", Roboto, "Helvetica Neue", Arial, sans-serif; font-size: 1rem;\">(4) A business shall not use financial incentive practices that are unjust, unreasonable, coercive, or usurious in nature.</span></p><p><em><span style=\"background-color: transparent; font-family: "Open Sans", -apple-system, BlinkMacSystemFont, "Segoe UI", Roboto, "Helvetica Neue", Arial, sans-serif; font-size: 1rem;\">(Amended November 3, 2020, by initiative Proposition 24, Sec. 11. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</span></em></p>","uuid":"76435c89-7cbe-43ed-839e-7d93b56bdea6","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.125. Consumers’ Right of No Retaliation Following Opt Out or Exercise of Other Rights","sortId":"1798.125","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.125"},{"practiceLevel":"","description":"<p>(a) In order to comply with Sections 1798.100, 1798.105, 1798.106, 1798.110, 1798.115, and 1798.125, a business shall, in a form that is reasonably accessible to consumers:</p><p style=\"margin-left: 30px;\">(1) (A) Make available to consumers two or more designated methods for submitting requests for information required to be disclosed pursuant to Sections 1798.110 and 1798.115, or requests for deletion or correction pursuant to Sections 1798.105 and 1798.106, respectively, including, at a minimum, a toll-free telephone number. A business that operates exclusively online and has a direct relationship with a consumer from whom it collects personal information shall only be required to provide an email address for submitting requests for information required to be disclosed pursuant to Sections 1798.110 and 1798.115, or for requests for deletion or correction pursuant to Sections 1798.105 and 1798.106, respectively.</p><p style=\"margin-left: 60px;\">(B) If the business maintains an internet website, make the internet website available to consumers to submit requests for information required to be disclosed pursuant to Sections 1798.110 and 1798.115, or requests for deletion or correction pursuant to Sections 1798.105 and 1798.106, respectively.</p><p style=\"margin-left: 30px;\">(2) (A) Disclose and deliver the required information to a consumer free of charge, correct inaccurate personal information, or delete a consumer’s personal information, based on the consumer’s request, within 45 days of receiving a verifiable consumer request from the consumer. The business shall promptly take steps to determine whether the request is a verifiable consumer request, but this shall not extend the business’s duty to disclose and deliver the information, to correct inaccurate personal information, or to delete personal information within 45 days of receipt of the consumer’s request. The time period to provide the required information, to correct inaccurate personal information, or to delete personal information may be extended once by an additional 45 days when reasonably necessary, provided the consumer is provided notice of the extension within the first 45-day period. The disclosure of the required information shall be made in writing and delivered through the consumer’s account with the business, if the consumer maintains an account with the business, or by mail or electronically at the consumer’s option if the consumer does not maintain an account with the business, in a readily useable format that allows the consumer to transmit this information from one entity to another entity without hindrance. The business may require authentication of the consumer that is reasonable in light of the nature of the personal information requested, but shall not require the consumer to create an account with the business in order to make a verifiable consumer request provided that if the consumer, has an account with the business, the business may require the consumer to use that account to submit a verifiable consumer request.</p><p style=\"margin-left: 30px;\">(B) The disclosure of the required information shall cover the 12-month period preceding the business’ receipt of the verifiable consumer request provided that, upon the adoption of a regulation pursuant to paragraph (9) of subdivision (a) of Section 1798.185, a consumer may request that the business disclose the required information beyond the 12-month period, and the business shall be required to provide that information unless doing so proves impossible or would involve a disproportionate effort. A consumer’s right to request required information beyond the 12-month period, and a business’s obligation to provide that information, shall only apply to personal information collected on or after January 1, 2022. Nothing in this subparagraph shall require a business to keep personal information for any length of time.</p><p style=\"margin-left: 30px;\">(3) (A) A business that receives a verifiable consumer request pursuant to Section 1798.110 or 1798.115 shall disclose any personal information it has collected about a consumer, directly or indirectly, including through or by a service provider or contractor, to the consumer. A service provider or contractor shall not be required to comply with a verifiable consumer request received directly from a consumer or a consumer’s authorized agent, pursuant to Section 1798.110 or 1798.115, to the extent that the service provider or contractor has collected personal information about the consumer in its role as a service provider or contractor. A service provider or contractor shall provide assistance to a business with which it has a contractual relationship with respect to the business’ response to a verifiable consumer request, including, but not limited to, by providing to the business the consumer’s personal information in the service provider or contractor’s possession, which the service provider or contractor obtained as a result of providing services to the business, and by correcting inaccurate information or by enabling the business to do the same. A service provider or contractor that collects personal information pursuant to a written contract with a business shall be required to assist the business through appropriate technical and organizational measures in complying with the requirements of subdivisions (d) to (f), inclusive, of Section 1798.100, taking into account the nature of the processing.</p><p style=\"margin-left: 60px;\">(B) For purposes of subdivision (b) of Section 1798.110:</p><p style=\"margin-left: 90px;\">(i) To identify the consumer, associate the information provided by the consumer in the verifiable consumer request to any personal information previously collected by the business about the consumer.</p><p style=\"margin-left: 90px;\">(ii) Identify by category or categories the personal information collected about the consumer for the applicable period of time by reference to the enumerated category or categories in subdivision (c) that most closely describes the personal information collected; the categories of sources from which the consumer’s personal information was collected; the business or commercial purpose for collecting, selling, or sharing the consumer’s personal information; and the categories of third parties to whom the business discloses the consumer’s personal information.</p><p style=\"margin-left: 90px;\">(iii) Provide the specific pieces of personal information obtained from the consumer in a format that is easily understandable to the average consumer, and to the extent technically feasible, in a structured, commonly used, machine-readable format that may also be transmitted to another entity at the consumer’s request without hindrance. “Specific pieces of information” do not include data generated to help ensure security and integrity or as prescribed by regulation. Personal information is not considered to have been disclosed by a business when a consumer instructs a business to transfer the consumer’s personal information from one business to another in the context of switching services.</p><p style=\"margin-left: 30px;\">(4) For purposes of subdivision (b) of Section 1798.115:</p><p style=\"margin-left: 60px;\">(A) Identify the consumer and associate the information provided by the consumer in the verifiable consumer request to any personal information previously collected by the business about the consumer.</p><p style=\"margin-left: 60px;\">(B) Identify by category or categories the personal information of the consumer that the business sold or shared during the applicable period of time by reference to the enumerated category in subdivision (c) that most closely describes the personal information, and provide the categories of third parties to whom the consumer’s personal information was sold or shared during the applicable period of time by reference to the enumerated category or categories in subdivision (c) that most closely describes the personal information sold or shared. The business shall disclose the information in a list that is separate from a list generated for the purposes of subparagraph (C).</p><p style=\"margin-left: 60px;\">(C) Identify by category or categories the personal information of the consumer that the business disclosed for a business purpose during the applicable period of time by reference to the enumerated category or categories in subdivision (c) that most closely describes the personal information, and provide the categories of persons to whom the consumer’s personal information was disclosed for a business purpose during the applicable period of time by reference to the enumerated category or categories in subdivision (c) that most closely describes the personal information disclosed. The business shall disclose the information in a list that is separate from a list generated for the purposes of subparagraph (B).</p><p style=\"margin-left: 30px;\">(5) Disclose the following information in its online privacy policy or policies if the business has an online privacy policy or policies and in any California-specific description of consumers’ privacy rights, or if the business does not maintain those policies, on its internet website, and update that information at least once every 12 months:</p><p style=\"margin-left: 60px;\">(A) A description of a consumer’s rights pursuant to Sections 1798.100, 1798.105, 1798.106, 1798.110, 1798.115, and 1798.125 and two or more designated methods for submitting requests, except as provided in subparagraph (A) of paragraph (1) of subdivision (a).</p><p style=\"margin-left: 60px;\">(B) For purposes of subdivision (c) of Section 1798.110:</p><p style=\"margin-left: 90px;\">(i) A list of the categories of personal information it has collected about consumers in the preceding 12 months by reference to the enumerated category or categories in subdivision (c) that most closely describe the personal information collected.</p><p style=\"margin-left: 90px;\">(ii) The categories of sources from which consumers’ personal information is collected.</p><p style=\"margin-left: 90px;\">(iii) The business or commercial purpose for collecting, selling, or sharing consumers’ personal information.</p><p style=\"margin-left: 90px;\">(iv) The categories of third parties to whom the business discloses consumers’ personal information.</p><p style=\"margin-left: 60px;\">(C) For purposes of paragraphs (1) and (2) of subdivision (c) of Section 1798.115, two separate lists:</p><p style=\"margin-left: 90px;\">(i) A list of the categories of personal information it has sold or shared about consumers in the preceding 12 months by reference to the enumerated category or categories in subdivision (c) that most closely describe the personal information sold or shared, or if the business has not sold or shared consumers’ personal information in the preceding 12 months, the business shall prominently disclose that fact in its privacy policy.</p><p style=\"margin-left: 90px;\">(ii) A list of the categories of personal information it has disclosed about consumers for a business purpose in the preceding 12 months by reference to the enumerated category in subdivision (c) that most closely describes the personal information disclosed, or if the business has not disclosed consumers’ personal information for a business purpose in the preceding 12 months, the business shall disclose that fact.</p><p style=\"margin-left: 30px;\">(6) Ensure that all individuals responsible for handling consumer inquiries about the business’ privacy practices or the business’ compliance with this title are informed of all requirements in Sections 1798.100, 1798.105, 1798.106, 1798.110, 1798.115, 1798.125, and this section, and how to direct consumers to exercise their rights under those sections.</p><p style=\"margin-left: 30px;\">(7) Use any personal information collected from the consumer in connection with the business’ verification of the consumer’s request solely for the purposes of verification and shall not further disclose the personal information, retain it longer than necessary for purposes of verification, or use it for unrelated purposes.</p><p>(b) A business is not obligated to provide the information required by Sections 1798.110 and 1798.115 to the same consumer more than twice in a 12-month period.</p><p>(c) The categories of personal information required to be disclosed pursuant to Sections 1798.100, 1798.110, and 1798.115 shall follow the definitions of personal information and sensitive personal information in Section 1798.140 by describing the categories of personal information using the specific terms set forth in subparagraphs (A) to (K), inclusive, of paragraph (1) of subdivision (v) of Section 1798.140 and by describing the categories of sensitive personal information using the specific terms set forth in paragraphs (1) to (9), inclusive, of subdivision (ae) of Section 1798.140.</p><p><em>(Amended November 3, 2020, by initiative Proposition 24, Sec. 12. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"190cfc2b-e96e-42f3-ad48-b4d768279ac6","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.130. Notice, Disclosure, Correction, and Deletion Requirements","sortId":"1798.130","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.130"},{"practiceLevel":"","description":"<p>(a) A business that sells or shares consumers’ personal information or uses or discloses consumers’ sensitive personal information for purposes other than those authorized by subdivision (a) of Section 1798.121 shall, in a form that is reasonably accessible to consumers:</p><p style=\"margin-left: 30px;\">(1) Provide a clear and conspicuous link on the business’s internet homepages, titled “Do Not Sell or Share My Personal Information,” to an internet web page that enables a consumer, or a person authorized by the consumer, to opt-out of the sale or sharing of the consumer’s personal information.</p><p style=\"margin-left: 30px;\">(2) Provide a clear and conspicuous link on the business’ internet homepages, titled “Limit the Use of My Sensitive Personal Information,” that enables a consumer, or a person authorized by the consumer, to limit the use or disclosure of the consumer’s sensitive personal information to those uses authorized by subdivision (a) of Section 1798.121.</p><p style=\"margin-left: 30px;\">(3) At the business’ discretion, utilize a single, clearly labeled link on the business’ internet homepages, in lieu of complying with paragraphs (1) and (2), if that link easily allows a consumer to opt out of the sale or sharing of the consumer’s personal information and to limit the use or disclosure of the consumer’s sensitive personal information.</p><p style=\"margin-left: 30px;\">(4) In the event that a business responds to opt-out requests received pursuant to paragraph (1), (2), or (3) by informing the consumer of a charge for the use of any product or service, present the terms of any financial incentive offered pursuant to subdivision (b) of Section 1798.125 for the retention, use, sale, or sharing of the consumer’s personal information.</p><p>(b) (1) A business shall not be required to comply with subdivision (a) if the business allows consumers to opt out of the sale or sharing of their personal information and to limit the use of their sensitive personal information through an opt-out preference signal sent with the consumer’s consent by a platform, technology, or mechanism, based on technical specifications set forth in regulations adopted pursuant to paragraph (20) of subdivision (a) of Section 1798.185, to the business indicating the consumer’s intent to opt out of the business’ sale or sharing of the consumer’s personal information or to limit the use or disclosure of the consumer’s sensitive personal information, or both.</p><p style=\"margin-left: 30px;\">(2) A business that allows consumers to opt out of the sale or sharing of their personal information and to limit the use of their sensitive personal information pursuant to paragraph (1) may provide a link to a web page that enables the consumer to consent to the business ignoring the opt-out preference signal with respect to that business’ sale or sharing of the consumer’s personal information or the use of the consumer’s sensitive personal information for additional purposes provided that:</p><p style=\"margin-left: 60px;\">(A) The consent web page also allows the consumer or a person authorized by the consumer to revoke the consent as easily as it is affirmatively provided.</p><p style=\"margin-left: 60px;\">(B) The link to the web page does not degrade the consumer’s experience on the web page the consumer intends to visit and has a similar look, feel, and size relative to other links on the same web page.</p><p style=\"margin-left: 60px;\">(C) The consent web page complies with technical specifications set forth in regulations adopted pursuant to paragraph (20) of subdivision (a) of Section 1798.185.</p><p style=\"margin-left: 30px;\">(3) A business that complies with subdivision (a) is not required to comply with subdivision (b). For the purposes of clarity, a business may elect whether to comply with subdivision (a) or subdivision (b).</p><p>(c) A business that is subject to this section shall:</p><p style=\"margin-left: 30px;\">(1) Not require a consumer to create an account or provide additional information beyond what is necessary in order to direct the business not to sell or share the consumer’s personal information or to limit use or disclosure of the consumer’s sensitive personal information.</p><p style=\"margin-left: 30px;\">(2) Include a description of a consumer’s rights pursuant to Sections 1798.120 and 1798.121, along with a separate link to the “Do Not Sell or Share My Personal Information” internet web page and a separate link to the “Limit the Use of My Sensitive Personal Information” internet web page, if applicable, or a single link to both choices, or a statement that the business responds to and abides by opt-out preference signals sent by a platform, technology, or mechanism in accordance with subdivision (b), in:</p><p style=\"margin-left: 60px;\">(A) Its online privacy policy or policies if the business has an online privacy policy or policies.</p><p style=\"margin-left: 60px;\">(B) Any California-specific description of consumers’ privacy rights.</p><p style=\"margin-left: 30px;\">(3) Ensure that all individuals responsible for handling consumer inquiries about the business’s privacy practices or the business’s compliance with this title are informed of all requirements in Sections 1798.120, 1798.121, and this section and how to direct consumers to exercise their rights under those sections.</p><p style=\"margin-left: 30px;\">(4) For consumers who exercise their right to opt-out of the sale or sharing of their personal information or limit the use or disclosure of their sensitive personal information, refrain from selling or sharing the consumer’s personal information or using or disclosing the consumer’s sensitive personal information and wait for at least 12 months before requesting that the consumer authorize the sale or sharing of the consumer’s personal information or the use and disclosure of the consumer’s sensitive personal information for additional purposes, or as authorized by regulations.</p><p style=\"margin-left: 30px;\">(5) For consumers under 16 years of age who do not consent to the sale or sharing of their personal information, refrain from selling or sharing the personal information of the consumer under 16 years of age and wait for at least 12 months before requesting the consumer’s consent again, or as authorized by regulations or until the consumer attains 16 years of age.</p><p style=\"margin-left: 30px;\">(6) Use any personal information collected from the consumer in connection with the submission of the consumer’s opt-out request solely for the purposes of complying with the opt-out request.</p><p>(d) Nothing in this title shall be construed to require a business to comply with the title by including the required links and text on the homepage that the business makes available to the public generally, if the business maintains a separate and additional homepage that is dedicated to California consumers and that includes the required links and text, and the business takes reasonable steps to ensure that California consumers are directed to the homepage for California consumers and not the homepage made available to the public generally.</p><p>(e) A consumer may authorize another person to opt-out of the sale or sharing of the consumer’s personal information and to limit the use of the consumer’s sensitive personal information on the consumer’s behalf, including through an opt-out preference signal, as defined in paragraph (1) of subdivision (b), indicating the consumer’s intent to opt out, and a business shall comply with an opt-out request received from a person authorized by the consumer to act on the consumer’s behalf, pursuant to regulations adopted by the Attorney General regardless of whether the business has elected to comply with subdivision (a) or (b). For purposes of clarity, a business that elects to comply with subdivision (a) may respond to the consumer’s opt-out consistent with Section 1798.125.</p><p>(f) If a business communicates a consumer’s opt-out request to any person authorized by the business to collect personal information, the person shall thereafter only use that consumer’s personal information for a business purpose specified by the business, or as otherwise permitted by this title, and shall be prohibited from:</p><p style=\"margin-left: 30px;\">(1) Selling or sharing the personal information.</p><p style=\"margin-left: 30px;\">(2) Retaining, using, or disclosing that consumer’s personal information.</p><p style=\"margin-left: 60px;\">(A) For any purpose other than for the specific purpose of performing the services offered to the business.</p><p style=\"margin-left: 60px;\">(B) Outside of the direct business relationship between the person and the business.</p><p style=\"margin-left: 60px;\">(C) For a commercial purpose other than providing the services to the business.</p><p>(g) A business that communicates a consumer’s opt-out request to a person pursuant to subdivision (f) shall not be liable under this title if the person receiving the opt-out request violates the restrictions set forth in the title provided that, at the time of communicating the opt-out request, the business does not have actual knowledge, or reason to believe, that the person intends to commit such a violation. Any provision of a contract or agreement of any kind that purports to waive or limit in any way this subdivision shall be void and unenforceable.</p><p><em>(Amended November 3, 2020, by initiative Proposition 24, Sec. 13. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"d055c6bd-efb7-44c1-b249-e659e256b4e0","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.135. Methods of Limiting Sale, Sharing, and Use of Personal Information and Use of Sensitive Personal Information","sortId":null,"enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.135"},{"practiceLevel":"","description":"<p>(a) A consumer shall have the right to request a business that maintains inaccurate personal information about the consumer to correct that inaccurate personal information, taking into account the nature of the personal information and the purposes of the processing of the personal information.</p><p>(b) A business that collects personal information about consumers shall disclose, pursuant to Section 1798.130, the consumer’s right to request correction of inaccurate personal information.</p><p>(c) A business that receives a verifiable consumer request to correct inaccurate personal information shall use commercially reasonable efforts to correct the inaccurate personal information as directed by the consumer, pursuant to Section 1798.130 and regulations adopted pursuant to paragraph (8) of subdivision (a) of Section 1798.185.</p><p><em>(Added November 3, 2020, by initiative Proposition 24, Sec. 6. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"99f22fa5-12f3-47f1-9891-a6b98d75b056","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.106. Consumers’ Right to Correct Inaccurate Personal Information","sortId":"1798.106","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.106"},{"practiceLevel":"","description":"<p>(a) A consumer shall have the right, at any time, to direct a business that collects sensitive personal information about the consumer to limit its use of the consumer’s sensitive personal information to that use which is necessary to perform the services or provide the goods reasonably expected by an average consumer who requests those goods or services, to perform the services set forth in paragraphs (2), (4), (5), and (8) of subdivision (e) of Section 1798.140, and as authorized by regulations adopted pursuant to subparagraph (C) of paragraph (19) of subdivision (a) of Section 1798.185. A business that uses or discloses a consumer’s sensitive personal information for purposes other than those specified in this subdivision shall provide notice to consumers, pursuant to subdivision (a) of Section 1798.135, that this information may be used, or disclosed to a service provider or contractor, for additional, specified purposes and that consumers have the right to limit the use or disclosure of their sensitive personal information.</p><p>(b) A business that has received direction from a consumer not to use or disclose the consumer’s sensitive personal information, except as authorized by subdivision (a), shall be prohibited, pursuant to paragraph (4) of subdivision (c) of Section 1798.135, from using or disclosing the consumer’s sensitive personal information for any other purpose after its receipt of the consumer’s direction unless the consumer subsequently provides consent for the use or disclosure of the consumer’s sensitive personal information for additional purposes.</p><p>(c) A service provider or contractor that assists a business in performing the purposes authorized by subdivision (a) may not use the sensitive personal information after it has received instructions from the business and to the extent it has actual knowledge that the personal information is sensitive personal information for any other purpose. A service provider or contractor is only required to limit its use of sensitive personal information received pursuant to a written contract with the business in response to instructions from the business and only with respect to its relationship with that business.</p><p>(d) Sensitive personal information that is collected or processed without the purpose of inferring characteristics about a consumer is not subject to this section, as further defined in regulations adopted pursuant to subparagraph (C) of paragraph (19) of subdivision (a) of Section 1798.185, and shall be treated as personal information for purposes of all other sections of this act, including Section 1798.100.</p><p><em>(Added November 3, 2020, by initiative Proposition 24, Sec. 10. Effective December 16, 2020. Operative January 1, 2023, pursuant to Sec. 31 of Proposition 24.)</em></p>","uuid":"158863b1-0ed0-4203-ba30-3750f0cb42ea","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.121. Consumers’ Right to Limit Use and Disclosure of Sensitive Personal Information","sortId":"1798.121","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.121"},{"practiceLevel":"","description":"<p>(a) A business or other person shall not reidentify, or attempt to reidentify, information that has met the requirements of paragraph (4) of subdivision (a) of Section 1798.146, except for one or more of the following purposes:</p><p style=\"margin-left: 0.49in;\">(1) Treatment, payment, or health care operations conducted by a covered entity or business associate acting on behalf of, and at the written direction of, the covered entity. For purposes of this paragraph, “treatment,” “payment,” “health care operations,” “covered entity,” and “business associate” have the same meaning as defined in Section 164.501 of Title 45 of the Code of Federal Regulations.</p><p style=\"margin-left: 0.49in;\">(2) Public health activities or purposes as described in Section 164.512 of Title 45 of the Code of Federal Regulations.</p><p style=\"margin-left: 0.49in;\">(3) Research, as defined in Section 164.501 of Title 45 of the Code of Federal Regulations, that is conducted in accordance with Part 46 of Title 45 of the Code of Federal Regulations, the Federal Policy for the Protection of Human Subjects, also known as the Common Rule.</p><p style=\"margin-left: 0.49in;\">(4) Pursuant to a contract where the lawful holder of the deidentified information that met the requirements of paragraph (4) of subdivision (a) of Section 1798.146 expressly engages a person or entity to attempt to reidentify the deidentified information in order to conduct testing, analysis, or validation of deidentification, or related statistical techniques, if the contract bans any other use or disclosure of the reidentified information and requires the return or destruction of the information that was reidentified upon completion of the contract.</p><p style=\"margin-left: 0.49in;\">(5) If otherwise required by law.</p><p>(b) In accordance with paragraph (4) of subdivision (a) of Section 1798.146, information reidentified pursuant this section shall be subject to applicable federal and state data privacy and security laws including, but not limited to, the Health Insurance Portability and Accountability Act, the Confidentiality of Medical Information Act, and this title.</p><p>(c) Beginning January 1, 2021, any contract for the sale or license of deidentified information that has met the requirements of paragraph (4) of subdivision (a) of Section 1798.146, where one of the parties is a person residing or doing business in the state, shall include the following, or substantially similar, provisions:</p><p style=\"margin-left: 0.49in;\">(1) A statement that the deidentified information being sold or licensed includes deidentified patient information.</p><p style=\"margin-left: 0.49in;\">(2) A statement that reidentification, and attempted reidentification, of the deidentified information by the purchaser or licensee of the information is prohibited pursuant to this section.</p><p style=\"margin-left: 0.49in;\">(3) A requirement that, unless otherwise required by law, the purchaser or licensee of the deidentified information may not further disclose the deidentified information to any third party unless the third party is contractually bound by the same or stricter restrictions and conditions.</p><p>(d) For purposes of this section, “reidentify” means the process of reversal of deidentification techniques, including, but not limited to, the addition of specific pieces of information or data elements that can, individually or in combination, be used to uniquely identify an individual or usage of any statistical method, contrivance, computer software, or other means that have the effect of associating deidentified information with a specific identifiable individual.</p><p>(Added by Stats. 2020, Ch. 172, Sec. 3. (AB 713) Effective September 25, 2020.)</p><p><br><br></p>","uuid":"0ce1905d-e075-466d-a482-b5ade990c87d","family":"","parameters":[],"subControls":"","tests":[],"weight":0,"title":"§ 1798.148.","sortId":"1798.148","enhancements":"","ccis":[],"assessmentPlan":"","objectives":[],"references":"","mappings":"","controlId":"1798.148"}]}}

sec_attestation/cis-aws.json ADDED Viewed

	@@ -0,0 +1 @@

+ {"catalog":{"description":"AWS Enterprise Accelerator - Compliance: Quick Start Standardized Architecture for CIS Amazon Web Services Foundations BenchmarkSecurity Requirements Reference, v1.2.0, 05-23-2018 This document describes the CIS Amazon Web Services Foundations Security Requirements that are directly addressed by this AWS Quick Start package. Additional information about this benchmark can be found at https://benchmarks.cisecurity.org/en-us/?route=downloads.form.awsfoundations.110 It is important to note that the Description of AWS Implementation details and Additional Guidance in this document are not exhaustive, and must be reviewed, evaluated, assessed, and approved by the customer organization, and layered with other security features that address all of the in-scope systems and applications for a holistic solution to meet overall security requirements. The controls are a combination of AWS Config Rules (both AWS-managed and custom), Amazon CloudWatch rules, and Amazon CloudWatch alarms. Please note that these resources will incur costs in your account; please refer to the pricing model for each service. The following preconditions must be met before the stack can be launched. This Quickstart does provide customers with an option of configuring AWS CloudTrail and AWS Config. Customers can choose to do so or choose to configure these services themselves. Precondition 1: AWS Config must be turned on in the region where this template will be run. This is needed for Config Rules. Precondition 2: AWS CloudTrail must be turned on and must be delivering logs to CloudWatch Logs. This is needed for CloudWatch metrics and alarms. Precondition 3: AWS Lambda must be supported in the region where this template will be launched. See this page for AWS services region support: https://aws.amazon.com/about-aws/global-infrastructure/regional-product-services/","uuid":"59fdaecc-6a00-47a6-9af1-308467b7b08f","datePublished":"2018-05-23T04:00:00","version":"1.0.0","master":false,"url":"https://www.cisecurity.org/benchmark/amazon_web_services/","abstract":"Securing Amazon Web Services - an objective, consensus-driven security guideline for the AWS cloud providers.","defaultName":"cis-aws","title":"Standardized Architecture for CIS AWS Foundations Benchmark, Version 1.2","lastRevisionDate":"2024-01-26","regulationDatePublished":"2022-08-12","keywords":"CIS; AWS; Benchmarks; Security Controls;","securityControls":[{"id":25011,"description":"This control is implemented using the AWS CloudWatch Alarm and custom Log Metric Filter defined for control 3.3 which reports if the root account is being used. ","references":"Responsibility: Customer","tenantsId":1,"uuid":"cd2f64f6-fddf-4bea-b6d4-0a844a8c321a","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.1 Avoid the use of the \"root\" account (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that Root accounts should not be used and that the credentials not be shared with anyone else. As a best practice, customers should leverage IAM Groups, Roles and Users to grant access to specific AWS resources. Refer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html","practiceLevel":"","mappings":"","controlId":"1.1"},{"id":25012,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status of IAM users against this control. The Config rule DOES NOT enforce this control by enabling MFA for any of the IAM users.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"56acac65-32db-4d9f-823f-4b3fe933284c","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.2 Ensure multi-factor authentication (MFA) is enabled for all IAM users that have a password (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"For extra security, we recommend that customers enable multi-factor authentication (MFA) for IAM users based on the compliance reported by the config rule.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that IAM Users with a password have MFA enabled. For remediation, refer to control 1.2 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.2"},{"id":25013,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status of IAM users credentials against this control. The Config rule DOES NOT enforce this control by disabling credentials.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"4eb9cebd-f59f-4a11-bf92-a25d35d14b2d","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.3 Ensure credentials unused for 90 days or greater are disabled (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that unused credentials be disabled by customers based on the Compliance reported by the Config rule.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that credentials unused for 90 days or greater are disabled. For remediation, refer to control 1.3 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.3"},{"id":25014,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status of IAM users with active access keys against this control. The Config rule DOES NOT enforce this control by rotating the access keys.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"683a15ad-2279-4737-b1c0-c877a1f9330d","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.4 Ensure access keys are rotated every 90 days or less (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that access keys be rotated by customers based on the Compliance reported by the Config rule. Refer to IAM Best Practices at\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that Access keys are rotated every 90 days or less. For remediation, refer to control 1.4 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.4"},{"id":25015,"description":"The Quick Start creates an AWS Managed Config Rule to check the compliance status of the policy password against these specific CIS controls. The Config rule does not enforce any security controls.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"893764be-fd8b-4db2-b875-a9dc8217c769","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.5 Ensure IAM password policy requires at least one uppercase letter (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that a strong password policy be set for IAM users.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that the password policy meets the controls requirements. For remediation, refer to controls 1.5 through 1.11 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.5"},{"id":25016,"description":"The Quick Start creates an AWS Managed Config Rule to check the compliance status of the policy password against these specific CIS controls. The Config rule does not enforce any security controls.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"97571b84-744a-4431-9a2c-55c541be5fef","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.6 Ensure IAM password policy require at least one lowercase letter (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that a strong password policy be set for IAM users.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that the password policy meets the controls requirements. For remediation, refer to controls 1.5 through 1.11 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.6"},{"id":25017,"description":"The Quick Start creates an AWS Managed Config Rule to check the compliance status of the policy password against these specific CIS controls. The Config rule does not enforce any security controls.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"8f9a6675-ad24-4f50-9fe5-115a85aded72","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.7 Ensure IAM password policy require at least one symbol (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that a strong password policy be set for IAM users.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that the password policy meets the controls requirements. For remediation, refer to controls 1.5 through 1.11 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.7"},{"id":25018,"description":"The Quick Start creates an AWS Managed Config Rule to check the compliance status of the policy password against these specific CIS controls. The Config rule does not enforce any security controls.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"c997b934-05ea-4860-b0db-8e7dfafc9413","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.8 Ensure IAM password policy require at least one number (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that a strong password policy be set for IAM users.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that the password policy meets the controls requirements. For remediation, refer to controls 1.5 through 1.11 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.8"},{"id":25019,"description":"The Quick Start creates an AWS Managed Config Rule to check the compliance status of the policy password against these specific CIS controls. The Config rule does not enforce any security controls.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"bfcb15a0-7955-4552-b635-6d27f9e90ca6","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.9 Ensure IAM password policy requires minimum length of 14 or greater (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that a strong password policy be set for IAM users.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that the password policy meets the controls requirements. For remediation, refer to controls 1.5 through 1.11 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.9"},{"id":25020,"description":"The Quick Start creates an AWS Managed Config Rule to check the compliance status of the policy password against these specific CIS controls. The Config rule does not enforce any security controls.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"dcda07b7-bedd-4bc9-8b45-2647f7454d3a","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.10 Ensure IAM password policy prevents password reuse (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that a strong password policy be set for IAM users.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that the password policy meets the controls requirements. For remediation, refer to controls 1.5 through 1.11 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.10"},{"id":25021,"description":"The Quick Start creates an AWS Managed Config Rule to check the compliance status of the policy password against these specific CIS controls. The Config rule does not enforce any security controls.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"170336f8-d128-47dc-b12d-01e5def0c2fe","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.11 Ensure IAM password policy expires passwords within 90 days or less (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that a strong password policy be set for IAM users.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that the password policy meets the controls requirements. For remediation, refer to controls 1.5 through 1.11 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.11"},{"id":25022,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status of root account access keys and MFA settings for root account. The Config rule DOES NOT enforce this control by changing any root account information.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"e606fac4-b58b-4b09-ab37-111e17c6ee61","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.12 Ensure no root account access key exists (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend you that create an IAM user for yourself that has administrative privileges and avoid generating Access Keys for the root account.\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure that no root account access key exists. For remediation, refer to control 1.12 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.12"},{"id":25023,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status of root account access keys and MFA settings for root account. The Config rule DOES NOT enforce this control by changing any root account information.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"67f45a17-8c6d-47d3-af09-155af9714fa0","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.13 Ensure MFA is enabled for the \"root\" account (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that MFA be enabled for the root account\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure MFA is enabled for root account. For remediation, refer to control 1.13 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.13"},{"id":25024,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status of root account access keys and MFA settings for root account. The Config rule DOES NOT enforce this control by changing any root account information.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"8c1a55ca-e94e-4774-9124-036a5f1ccf16","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.14 Ensure hardware MFA is enabled for the \"root\" account (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that MFA be enabled for the root account\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure hardware MFA is enabled for root account. For remediation, refer to control 1.14 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.14"},{"id":25025,"description":"The Quick start does not provide any implementation for this control due to the lack of APIs to automate this.","references":"Responsibility: Customer","tenantsId":1,"uuid":"ec3fcff2-781e-4bfb-88fa-85ac48a8429e","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.15 Ensure security questions are registered in the AWS account (Not Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"Security Questions are highly recommended to be setup to help you recover root login access, if lost. For remediation, refer to control 1.15 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.15"},{"id":25026,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status of IAM policies attached only to IAM Groups or Roles. The Config rule DOES NOT enforce this control by attaching IAM policies to either IAM Groups or Roles","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"ff773de3-ec12-4d22-9529-1750d290c1f7","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.16 Ensure IAM policies are attached only to groups or roles (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that you assign IAM Policies to either IAM Groups or IAM Roles to reduce the complexity of access management as the number of users grow.\r\nIf the Config rule reports NonCompliance, ensure IAM policies are attached only to Groups or Roles. For remediation, refer to control 1.16 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.16"},{"id":25027,"description":"The Quick start does not provide any implementation for this control due to the lack of APIs to automate this.","references":"Responsibility: Customer","tenantsId":1,"uuid":"693d81d5-bd2b-45a4-b1c4-9a772be74a0b","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.17 Maintain Current contact details (Not Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that current contact details be maintained. AWS Uses this contact the account owner when prohibitive or suspicious activities are observed within an account.\r\nFor remediation, refer to control 1.17 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.17"},{"id":25028,"description":"The Quick start does not provide any implementation for this control due to the lack of APIs to automate this.","references":"Responsibility: Customer","tenantsId":1,"uuid":"d7628889-8ecb-46c3-a967-d611d20f875f","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.18 Ensure Security contact information is registered (Not Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that the Security contact information be kept current. Specifying security-specific contact information will help ensure that security advisories sent by AWS reach the team in your organization that is best equipped to respond to them.\r\n\r\nFor remediation, refer to control 1.18 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.18"},{"id":25029,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status of EC2 Instances which do not have an Instance Profile attached to them. The Config rule DOES NOT enforce this control by attaching Instance profiles to EC2 Instances.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"f333bebe-1669-4033-84e1-cf96278d058e","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.19 Ensure IAM instance roles are used for AWS resource access from instances (Not Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"We recommend that IAM Roles be attached to an EC2 Instance to provide temporary credentials for the applications running on the EC2 Instances\r\nRefer to IAM Best Practices at the following link:\r\nhttp://docs.aws.amazon.com/IAM/latest/UserGuide/best-practices.html\r\n\r\nIf the Config rule reports NonCompliance, ensure IAM Instance roles are used for EC2 Instances. For remediation, refer to control 1.19 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf\r\n\r\nNote: IAM Roles can be atached to running Instances. See this documentation \r\nhttps://aws.amazon.com/blogs/security/new-attach-an-aws-iam-role-to-an-existing-amazon-ec2-instance-by-using-the-aws-cli/?sc_channel=sm&sc_campaign=rolesforrunninginstances&sc_publisher=tw&sc_medium=social&sc_content=read-post&sc_country=global&sc_geo=global&sc_category=ec2&sc_outcome=launch\r\n","practiceLevel":"","mappings":"","controlId":"1.19"},{"id":25030,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether a Support role exists or not. The Config rule DOES NOT enforce this control by creating a Support role.When the \"AWSSupportAccess\" managed policy is not assigned to any IAM User, Role or Group the config rule will not list any resources.When the \"AWSSupportAccess\" managed policy is assigned to any IAM User, Role or Group the config rule will list the resources as being compliant.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"bd9db844-666b-47e7-9b83-589ac33af3bf","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.20 Ensure a support role has been created to manage incidents with AWS Support (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers create an IAM Role to allow authorized users to manage incidents with AWS Support.\r\n\r\nIf the Config rule reports NonCompliance, ensure that atleast 1 IAM Role,User,Group has the AWSSupportAccess policy assigned to it. For remediation, refer to control 1.20 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.20"},{"id":25031,"description":"The Quick start does not provide any implementation for this control.","references":"Responsibility: Customer","tenantsId":1,"uuid":"bb42224a-2b64-4a4b-8677-9d7718681145","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.21 Do not setup access keys during initial user setup for all IAM users that have a console password (Not Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that additional steps be taken by their user upon profile creation to understand the intent of usage and storage of keys.\r\n\r\nFor remediation, refer to control 1.21 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.21"},{"id":25032,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on IAM Policies allowing Admin privileges. The Config rule DOES NOT enforce this control by deleting such Policies.","references":"Responsibility: Shared (Config Rule and Customer)","tenantsId":1,"uuid":"7c40e824-e0ce-4c0d-9492-3f61f8360b83","family":"Identity and Access Management","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"1.22 Ensure IAM policies that allow full \"*:*\" administrative privileges are not created (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that IAM policies do not allow full administrative privileges and that the policies follow the principle of least previlige.\r\n\r\nIf the Config rule reports NonCompliance, ensure that IAM Policies provide least previlige access to AWS resources. For remediation, refer to control 1.22 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"1.22"},{"id":25033,"description":"This quickstart provides customers an option to automatically configure CloudTrail in the AWS region where this Quick Start is being run. Cloudtrail is not enabled in all regions. This is because CloudTrail Logs need to be delivered to CloudWatch Logs within each region.\r\n \r\nThis control is also implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether CloudTrail is enabled in all regions. The Config rule DOES NOT enforce this control by enabling CloudTrail in all regions.","references":"Responsibility: Shared (Cloudformation template, Config rule and Customer)","tenantsId":1,"uuid":"d6ab135b-cd50-4514-9e58-babb0f90938c","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.1 Ensure CloudTrail is enabled in all regions (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"This quickstart provides customers an option to automatically configure CloudTrail in the AWS region where this Quick Start is being run. AWS accounts which do not have Cloudtrail configured, should choose this option for the CIS Cloudformation template to execute successfully. \r\n\r\nIf the Config rule reports NonCompliance, customers can choose to enable Cloudtrail in all regions and configure CloudWatch log delivery. For remediation, refer to control 2.1 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf\r\n","practiceLevel":"","mappings":"","controlId":"2.1"},{"id":25034,"description":"This quickstart enables Cloudtrail log file validation when customers choose the to automatically configure CloudTrail via the template. \r\n\r\nThis control is also implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether CloudTrail log file validation is enabled. The Config rule DOES NOT enforce this control by enabling CloudTrail log file validation.","references":"Responsibility: Shared (Cloudformation template, Config rule and Customer)","tenantsId":1,"uuid":"ad74961a-8c3a-4a2d-9112-2cf80ed80d5c","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.2 Ensure CloudTrail log file validation is enabled (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"\r\nIf the Config rule reports NonCompliance, ensure Cloudtrail log file validation is enabled. For remediation, refer to control 2.2 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf\r\n","practiceLevel":"","mappings":"","controlId":"2.2"},{"id":25035,"description":"This quickstart ensures that S3 Bucket for Cloudtrail is not publicly accessible when customers choose to automatically configure Cloudtrail via the template.\r\n\r\nThis control is also implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether CloudTrail log file S3 Bucket is publicly accessible. The Config rule DOES NOT enforce this control by changing S3 Bucket ACLs.","references":"Responsibility: Shared (Cloudformation template, Config rule and Customer)","tenantsId":1,"uuid":"82d31107-4311-42e9-a158-da4e29b04232","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.3 Ensure the S3 bucket used to store CloudTrail logs is not publicly accessible (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"\r\n\r\nIf the Config rule reports NonCompliance, ensure S3 Bucket configured for Cloudtrail to log to is not publicly accessible . For remediation, refer to control 2.3 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf\r\n","practiceLevel":"","mappings":"","controlId":"2.3"},{"id":25036,"description":"This quickstart ensures that Cloudtrail trails are integrated with CloudWatch Logs when customers choose to automatically configure Cloudtrail via the template.\r\n\r\nThis control is also implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether CloudTrail logs are integrated with CloudWatch logs. The Config rule DOES NOT enforce this control by configuring CloudTrail to deliver logs to CloudWatch Logs.","references":"Responsibility: Shared (Cloudformation template, Config rule and Customer)","tenantsId":1,"uuid":"a9b057a1-abd4-4fc8-bbf1-b0b678f18bcc","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.4 Ensure CloudTrail trails are integrated with CloudWatch Logs (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"\r\nIf the Config rule reports NonCompliance, ensure that Cloudtrail trails are integrated with Cloudwatch logs. For remediation, refer to control 2.4 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf\r\n","practiceLevel":"","mappings":"","controlId":"2.4"},{"id":25037,"description":"This quickstart provides customers an option to automatically configure Config at a regional level via the template.","references":"Responsibility: Shared (Cloudformation Template and Customer)","tenantsId":1,"uuid":"5d4f2d38-7fb8-40a5-98b3-c4524de386e3","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.5 Ensure AWS Config is enabled in all regions (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"This quickstart provides customers an option to automatically configure AWS Config at a regional level. Customer AWS accounts which do not have Config configured, should choose this option for the CIS Cloudformation template to execute successfully. \r\n\r\nFor manual remediation, refer to control 2.5 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf\r\n","practiceLevel":"","mappings":"","controlId":"2.5"},{"id":25038,"description":"This quickstart ensures that S3 bucket access logging is enabled on the Cloudtrail S3 bucket when customers choose to automatically configure Cloudtrail via the template.\r\n\r\nThis control is also implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether all S3 Buckets have logging enabled. The Config rule DOES NOT enforce this control by configuring logging on any S3 bucket.","references":"Responsibility: Shared (Cloudformation template, Config rule and Customer)","tenantsId":1,"uuid":"140fe1a1-5b73-4a2b-9003-0d3f824d06ae","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.6 Ensure S3 bucket access logging is enabled on the CloudTrail S3 bucket (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that Logging be enabled for all S3 Buckets. Configuring logs to be placed in a separate bucket allows access to log information which can be useful in security and incident response workflows. \r\n\r\nIf the Config rule reports NonCompliance, enable Cloudtrail S3 bucket access logging. For remediation, refer to control 2.6 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"2.6"},{"id":25039,"description":"This quickstart ensures that Cloudtrail logs are encrypted at rest using KMS CMKs when customers choose to automatically configure Cloudtrail via the template.\r\n\r\nThis control is also implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether CloudTrail logs are encrypted . The Config rule DOES NOT enforce this control by enabling CloudTrail log file validation.","references":"Responsibility: Shared (Cloudformation template, Config rule and Customer)","tenantsId":1,"uuid":"220900af-28d4-4f87-8e05-2c63938ba5e5","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.7 Ensure CloudTrail logs are encrypted at rest using KMS CMKs (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"Configuring CloudTrail to use SSE-KMS provides additional confidentiality controls on log data as a given user must have S3 read permission on the corresponding log bucket and must be granted decrypt permission by the CMK policy.\r\n\r\nIf the Config rule reports NonCompliance, ensure Cloudtrail logs are encrypted at rest using KMS CMKs. For remediation, refer to control 2.7 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"2.7"},{"id":25040,"description":"This control is implemented as a Config Rule backed by a custom Lambda function. The Config Rule reports back the compliance status on whether the rotation for any CMKs is enabled. The Config rule DOES NOT enforce this control by enabling CMKs rotation.","references":"Responsibility: Shared (Config rule and Customer)","tenantsId":1,"uuid":"86ca381f-6088-4196-af84-42899428de71","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.8 Ensure rotation for customer created CMKs is enabled (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended to rotate encryption keys to reduce the potential impact of a compromised key as data encrypted with a new key cannot be accessed with a previous key that may have been exposed.\r\n\r\nIf the Config rule reports NonCompliance, ensure rotation of customer created CMKs are enabled. For remediation, refer to control 2.8 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"2.8"},{"id":25041,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether VPC Flow Logging is enabled. The Config rule DOES NOT enforce this control by enabling VPC Flow Logging.","references":"Responsibility: Shared (Config rule and Customer)","tenantsId":1,"uuid":"f9d7953b-3444-42c6-bec4-5c6c5aa1f5e9","family":"Logging","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"2.9 Ensure VPC flow logging is enabled in all VPCs (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended to have VPC Flow Logs enabled to provide visibility into network traffic that traverses the VPC and to detect anomalous traffic or insight during security workflows.\r\n\r\nIf the Config rule reports NonCompliance, ensure VPC Flow logging is enabled in all VPCs. For remediation, refer to control 2.9 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"2.9"},{"id":25042,"description":"The Quick Start creates an AWS CloudWatch Alarm and a custom Log Metric Filter to report on multiple unauthorized action or login attempts.","references":"Responsibility: Shared (CloudWatch Alarm and Customer)","tenantsId":1,"uuid":"72a3c9da-2c65-4c5e-bf00-277c6dfaf3af","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.1 Ensure a log metric filter and alarm exist for unauthorized API calls (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor unauthorized API calls which will help reveal application errors and may reduce time to detect malicious activity.","practiceLevel":"","mappings":"","controlId":"3.1"},{"id":25043,"description":"The Quick Start creates an AWS CloudWatch Alarm and a custom Log Metric Filter to report on Management Console logins without MFA. ","references":"Responsibility: Shared (CloudWatch Alarm and Customer)","tenantsId":1,"uuid":"fd12ac05-ab55-402d-950f-5c6f7aa31c22","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.2 Ensure a log metric filter and alarm exist for Management Console sign-in without MFA (Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor for single-factor console logins. This will increase visibility into accounts that are not protected by MFA.","practiceLevel":"","mappings":"","controlId":"3.2"},{"id":25044,"description":"The Quick Start creates an AWS CloudWatch Alarm and a custom Log Metric Filter to report if the root account is used. ","references":"Responsibility: Shared (CloudWatch Alarm and Customer)","tenantsId":1,"uuid":"dc7dfa60-0d9f-4060-87d4-f0330a76121f","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.3 Ensure a log metric filter and alarm exist for usage of \"root\" account (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor for root account logins which will provide visibility into the use of a fully privileged account and an opportunity to reduce the use of it.","practiceLevel":"","mappings":"","controlId":"3.3"},{"id":25045,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for IAM policy changes and publishes the changes to an SNS topic. ","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"e7dfc5fb-861f-40b5-8760-cee99490cfe7","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.4 Ensure a log metric filter and alarm exist for IAM policy changes (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to IAM policies which will help ensure authentication and authorization controls remain intact.","practiceLevel":"","mappings":"","controlId":"3.4"},{"id":25046,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for CloudTrail changes and publishes the changes to an SNS topic.","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"090251d9-10e7-4570-8e8b-13105fe9d5b0","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.5 Ensure a log metric filter and alarm exist for CloudTrail configuration changes (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to CloudTrail's configuration which will help ensure sustained visibility to activities performed in the AWS account.","practiceLevel":"","mappings":"","controlId":"3.5"},{"id":25047,"description":"The Quick Start creates an AWS CloudWatch Alarm and a custom Log Metric Filter to report if there are multiple management console logins failures. ","references":"Responsibility: Shared (CloudWatch Alarm and Customer)","tenantsId":1,"uuid":"cea9161d-1dbf-494d-8683-8dadc6289c82","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.6 Ensure a log metric filter and alarm exist for AWS Management Console authentication failures (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor failed console logins. This may decrease lead time to detect an attempt to brute force a credential, which may provide an indicator, such as source IP, that can be used in other event correlation.","practiceLevel":"","mappings":"","controlId":"3.6"},{"id":25048,"description":"The Quick Start creates an AWS CloudWatch Alarm and a custom Log Metric Filter to report if customer created CMKs get disabled or scheduled for deletion. ","references":"Responsibility: Shared (CloudWatch Alarm and Customer)","tenantsId":1,"uuid":"54feaeb9-342a-408a-bba2-bf92726a5a55","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.7 Ensure a log metric filter and alarm exist for disabling or scheduled deletion of customer created CMKs (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor deletion or disabling of CMKs. Data encrypted with disabled or deleted keys will no longer be accessible.","practiceLevel":"","mappings":"","controlId":"3.7"},{"id":25049,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for S3 bucket policy changes and publishes the changes to an SNS topic. ","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"f1080a90-24c6-4461-bf0a-5e8ad245d5af","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.8 Ensure a log metric filter and alarm exist for S3 bucket policy changes (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to S3 bucket policies to reduce time to detect and correct permissive policies on sensitive S3 buckets.","practiceLevel":"","mappings":"","controlId":"3.8"},{"id":25050,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for Config changes and publishes the changes to an SNS topic. ","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"839bbeb0-071c-418c-a56e-09428a125927","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.9 Ensure a log metric filter and alarm exist for AWS Config configuration changes (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to AWS Config configuration which will help ensure sustained visibility of configuration items within the AWS account.","practiceLevel":"","mappings":"","controlId":"3.9"},{"id":25051,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for security groups changes and publishes the changes to an SNS topic. ","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"dacbd0ac-5526-4405-a54a-831ca81e9f1b","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.10 Ensure a log metric filter and alarm exist for security group changes (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to security group which will help ensure that resources and services are not unintentionally exposed.","practiceLevel":"","mappings":"","controlId":"3.10"},{"id":25052,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for network access control lists changes and publishes the changes to an SNS topic.","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"5930afee-e603-4417-b662-c3b1341b25da","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.11 Ensure a log metric filter and alarm exist for changes to Network Access Control Lists (NACL) (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to NACLs to help ensure that AWS resources and services are not unintentionally exposed.","practiceLevel":"","mappings":"","controlId":"3.11"},{"id":25053,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for network gateways, route tables and VPC changes and publishes the changes to an SNS topic. ","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"ffc5ae60-3eb8-4963-a9d3-b98eb7aa103b","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.12 Ensure a log metric filter and alarm exist for changes to network gateways (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to network gateways which will help ensure that all ingress/egress traffic traverses the VPC border via a controlled path.\r\nMonitoring changes to route tables will help ensure that all VPC traffic flows through an expected path.Monitoring changes to VPC configuration will help ensure that all VPCs remain intact.","practiceLevel":"","mappings":"","controlId":"3.12"},{"id":25054,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for network gateways, route tables and VPC changes and publishes the changes to an SNS topic. ","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"d02b7acf-5f67-4c27-a2bc-b610e7d1e2cf","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.13 Ensure a log metric filter and alarm exist for route table changes (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to network gateways which will help ensure that all ingress/egress traffic traverses the VPC border via a controlled path. Monitoring changes to route tables will help ensure that all VPC traffic flows through an expected path.Monitoring changes to VPC configuration will help ensure that all VPCs remain intact.","practiceLevel":"","mappings":"","controlId":"3.13"},{"id":25055,"description":"The Quick Start creates an AWS CloudWatch Rule that matches incoming CloudWatch Events for network gateways, route tables and VPC changes and publishes the changes to an SNS topic. ","references":"Responsibility: Shared (CloudWatch Rule and Customer)","tenantsId":1,"uuid":"00cf7f04-6c77-4281-8950-697faa8bfcb0","family":"Monitoring","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"3.14 Ensure a log metric filter and alarm exist for VPC changes (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers monitor changes to network gateways which will help ensure that all ingress/egress traffic traverses the VPC border via a controlled path. Monitoring changes to route tables will help ensure that all VPC traffic flows through an expected path.Monitoring changes to VPC configuration will help ensure that all VPCs remain intact.","practiceLevel":"","mappings":"","controlId":"3.14"},{"id":25056,"description":"This control is implemented as an AWS Managed Config Rule to report back the compliance status on whether security groups allow ingress from 0.0.0.0/0 to port 22. The Config rule DOES NOT enforce this control by restricting security groups ingress traffic from 0.0.0.0/0 to port 22.","references":"Responsibility: Shared (Config rule and Customer)","tenantsId":1,"uuid":"5840eae8-850c-4506-b4ac-306c17e26785","family":"Networking","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"4.1 Ensure no security groups allow ingress from 0.0.0.0/0 to port 22 (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers remove unfettered connectivity to remote console services, such as SSH, reduces a server's exposure to risk.\r\n\r\nIf the Config rule reports NonCompliance, ensure no security groups allow Ingress from 0.0.0.0/0 to port 22. For remediation, refer to control 4.1 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"4.1"},{"id":25057,"description":"This control is implemented as an AWS Managed Config Rule to report back the compliance status on whether security groups allow ingress from 0.0.0.0/0 to port 3389. The Config rule DOES NOT enforce this control by restricting security groups ingress traffic from 0.0.0.0/0 to port 3389.","references":"Responsibility: Shared (Config rule and Customer)","tenantsId":1,"uuid":"43638344-597b-4d20-a48a-54818591543a","family":"Networking","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"4.2 Ensure no security groups allow ingress from 0.0.0.0/0 to port 3389 (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended that customers remove unfettered connectivity to remote console services, such as RDP, reduces a server's exposure to risk.\r\n\r\nIf the Config rule reports NonCompliance, ensure no security groups allow Ingress from 0.0.0.0/0 to port 3389. For remediation, refer to control 4.2 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"4.2"},{"id":25058,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether the default security groups restrict all traffic. The Config rule DOES NOT enforce this control by configuring the default security groups.","references":"Responsibility: Shared (Config rule and Customer)","tenantsId":1,"uuid":"7ec7607e-191d-48a5-97f7-8f5223ae3233","family":"Networking","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"4.3 Ensure the default security group of every VPC restricts all traffic (Scored) ","relatedControls":"","catalogueID":140,"assessmentPlan":"It is recommended to configure all VPC default security groups to restrict all traffic. This will encourage least privilege security group development and mindful placement of AWS resources into security groups which will in-turn reduce the exposure of those resources.\r\n\r\nIf the Config rule reports NonCompliance, ensure that the default security group of every VPC restricts all traffic. For remediation, refer to control 4.3 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"4.3"},{"id":25059,"description":"This control is implemented as a Config rule backed by a custom lambda function. The config rule reports back the compliance status on whether the VPC routing tables are configured with \"least access\". The Config rule DOES NOT enforce this control by configuring routing tables for VPC peering.","references":"Responsibility: Shared (Config rule and Customer)","tenantsId":1,"uuid":"4139b0a5-ee5a-4513-bf75-6821c27bb7bd","family":"Networking","subControls":"","weight":0,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"4.4 Ensure routing tables for VPC peering are \"least access\" (Not Scored)","relatedControls":"","catalogueID":140,"assessmentPlan":"Being highly selective in peering routing tables is a very effective way of minimizing the impact of breach as resources outside of these routes are inaccessible to the peered VPC.\r\n\r\nIf the Config rule reports NonCompliance, ensure that the routing tables for VPC peering are \"least access\". For remediation, refer to control 4.4 in the document https://d0.awsstatic.com/whitepapers/compliance/AWS_CIS_Foundations_Benchmark.pdf","practiceLevel":"","mappings":"","controlId":"4.4"}]}}

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+ {"catalog":{"description":"The Health Insurance Portability and Accountability Act (HIPAA) regulations are divided into several major standards or rules: Privacy Rule, Security Rule, Transactions and Code Sets (TCS) Rule, Unique Identifiers Rule, Breach Notification Rule, Omnibus Final Rule, and the HITECH Act.","uuid":"482aee93-74f8-49df-99a9-b23a175b60f2","datePublished":"1996-08-21T00:00:00","version":"1.0.0","master":false,"url":"https://www.hhs.gov/hipaa/for-professionals/security/guidance/cybersecurity/index.html","abstract":"To improve the efficiency and effectiveness of the health care system, the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Public Law 104-191, included Administrative Simplification provisions that required HHS to adopt national standards for electronic health care transactions and code sets, unique health identifiers, and security. At the same time, Congress recognized that advances in electronic technology could erode the privacy of health information. Consequently, Congress incorporated into HIPAA provisions that mandated the adoption of Federal privacy protections for individually identifiable health information.","defaultName":"hipaa","title":"HIPAA","lastRevisionDate":"2024-01-29","regulationDatePublished":"1996-08-21","keywords":"HIPAA, Healthcare, Cyber Security, Privacy, Physical Security, HITECH","securityControls":[{"dateLastUpdated":"2022-03-29T00:04:11.8968086","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Ensure Confidentiality, Integrity and Availability","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.306(a)","uuid":"5fd1c998-8fc6-4979-a223-6845bdecca8d","dateCreated":"2022-03-29T00:04:11.8967532","id":32716,"family":"GENERAL","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Ensure CIA and protect against threats <br/><br/><h5>Regulation</h5>(a) General requirements. Covered entities must do the following: \r\n(1) Ensure the confidentiality, integrity, and availability of all electronic protected health information the covered entity creates, receives, maintains, or transmits. \r\n(2) Protect against any reasonably anticipated threats or hazards to the security or integrity of such information. \r\n(3) Protect against any reasonably anticipated uses or disclosures of such information that are not permitted or required under subpart E of this part. \r\n(4) Ensure compliance with this subpart by its workforce. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:13.2287772","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Flexibility of Approach","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.306(b)","uuid":"5dabd9c5-4629-45a2-b3bd-0237d9cebc6d","dateCreated":"2022-03-29T00:04:13.2287189","id":32717,"family":"GENERAL","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Reasonably consider factors in security compliance <br/><br/><h5>Regulation</h5>(b) Flexibility of approach. \r\n(1) Covered entities may use any security measures that allow the covered entity to reasonably and appropriately implement the standards and implementation specifications as specified in this subpart. \r\n(2) In deciding which security measures to use, a covered entity must take into account the following factors: \r\n(i) The size, complexity, and capabilities of the covered entity. \r\n(ii) The covered entity's technical infrastructure, hardware, and software security capabilities. \r\n(iii) The costs of security measures. \r\n(iv) The probability and criticality of potential risks to electronic protected health information. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:13.9461036","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Standards","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.306(c)","uuid":"7a0c765b-1268-4f35-9665-b29971b3e220","dateCreated":"2022-03-29T00:04:13.9461023","id":32718,"family":"GENERAL","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>CEs must comply with standards <br/><br/><h5>Regulation</h5>(c) Standards. A covered entity must comply with the standards as provided in this section and in § 164.308, \r\n§ 164.310, § 164.312, § 164.314, and § 164.316 with respect to all electronic protected health information. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:14.2260879","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Implementation Specifications","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.306(d)","uuid":"a05e5049-4a1d-471a-9517-7c7d98113e4a","dateCreated":"2022-03-29T00:04:14.2260869","id":32719,"family":"GENERAL","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Required and Addressable Implementation Specification requirements <br/><br/><h5>Regulation</h5>(d) Implementation specifications. \r\nIn this subpart: \r\n(1) Implementation specifications are required or addressable. If an implementation specification is required, the word \"Required\" appears in parentheses after the title of the implementation specification. If an implementation specification is addressable, the word \"Addressable\" appears in parentheses after the title of the implementation specification. \r\n(2) When a standard adopted in § 164.308, § 164.310, § 164.312, § 164.314, or § 164.316 includes required implementation specifications, a covered entity must implement the implementation specifications. \r\n(3) When a standard adopted in § 164.308, § 164.310, \r\n§ 164.312, § 164.314, or § 164.316 includes addressable implementation specifications, a covered entity must-- \r\n(i) Assess whether each implementation specification is a reasonable and appropriate safeguard in its environment, when analyzed with reference to the likely contribution to protecting the entity's electronic protected health information; and \r\n(ii) As applicable to the entity-- \r\n(A) Implement the implementation specification if reasonable and appropriate; or \r\n(B) If implementing the implementation specification is not reasonable and appropriate-- \r\n(1) Document why it would not be reasonable and appropriate to implement the implementation specification; and \r\n(2) Implement an equivalent alternative measure if reasonable and appropriate. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:14.461832","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Maintenance","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.306(e)","uuid":"b6c9192d-b577-4074-aeb9-6c4d2a3f1083","dateCreated":"2022-03-29T00:04:14.4617789","id":32720,"family":"GENERAL","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Ongoing review and modification of security measures <br/><br/><h5>Regulation</h5>(e) Maintenance. Security measures implemented to comply with standards and implementation specifications adopted under § 164.105 and this subpart must be reviewed and modified as needed to continue provision of reasonable and appropriate protection of electronic protected health information as described at § 164.316. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:14.8919289","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Notification</li><li>Security Officer - Policy</li><li>IT Managers - Procedures</li><li>Network or System Administrator - Procedures</li><li>DB Administrator - Procedures</li><li>Help Desk or Tech Support - Procedures</li></ul>","enhancements":"","mappings":"","title":"Security Management Process","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(1)(i)","uuid":"70662b5d-25e4-4432-9a98-0e5836eb29ae","dateCreated":"2022-03-29T00:04:14.8919278","id":32721,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to manage security violations <br/><br/><h5>Regulation</h5>Implement policies and procedures to prevent, detect, contain and correct security violations <br/>"},{"dateLastUpdated":"2022-03-29T00:04:15.1557387","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Notification</li><li>Security Officer - Oversee</li><li>IT Managers - Assessment</li><li>Network or System Administrator - Assessment</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Risk Analysis","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(1)(ii)(A)","uuid":"b97e9bdd-e5cf-45ed-8fe1-cc0efeb5add8","dateCreated":"2022-03-29T00:04:15.1557378","id":32722,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Conduct vulnerability assessment <br/><br/><h5>Regulation</h5>Conduct an accurate and thorough assessment of the potential risks and vulnerabilities to the confidentiality, integrity, and availability of electronic protected health information held by the covered entity. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:15.3442331","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Notification</li><li>Security Officer - Policy</li><li>IT Managers - Procedures</li><li>Network or System Administrator - Measures</li><li>Facilities Managers - Measures</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Risk Management","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(1)(ii)(B)","uuid":"43d3d4a4-6bc9-4be3-bfb4-ed034123db2a","dateCreated":"2022-03-29T00:04:15.3442322","id":32723,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Implement security measures to reduce risk of security breaches <br/><br/><h5>Regulation</h5>Implement security measures sufficient to reduce risks and vulnerabilities to a reasonable and appropriate level to comply with Sec 164.206(a). <br/>"},{"dateLastUpdated":"2022-03-29T00:04:15.548415","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Records</li><li>Security Officer - Policy</li><li>IT Managers - Management</li><li>Human Resources - Records</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Sanction Policy","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(1)(ii)(C)","uuid":"24f1b9f8-29a3-4c84-b4a9-f187412d7aa4","dateCreated":"2022-03-29T00:04:15.5484116","id":32724,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Worker sanction for P&P violations <br/><br/><h5>Regulation</h5>Apply appropriate sanctions against workforce members who fail to comply with the security policies and procedures of the covered entity. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:15.9388982","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Event Rept.</li><li>IT Managers - Event Rept.</li><li>Network or System Administrator - Sys Auditing</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Information System Activity Review","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(1)(ii)(D)","uuid":"54c04c70-9df7-417d-92a9-f45c36336869","dateCreated":"2022-03-29T00:04:15.9388971","id":32725,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures to review system activity <br/><br/><h5>Regulation</h5>Implement procedures to regularly review records of information system activity, such as audit logs, access reports, and security incident tracking reports. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:16.2073609","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Authority</li></ul>","enhancements":"","mappings":"","title":"Assigned Security Responsibility","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(2)","uuid":"722bd5c3-c6ee-47fe-a387-e4856e1634ff","dateCreated":"2022-03-29T00:04:16.2073598","id":32726,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Identify security official responsible for P&P <br/><br/><h5>Regulation</h5>Identify the security official who is responsible for the development and implementation of the policies and procedures required by this subpart for the entity. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:16.396014","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Manage</li><li>Facilities Managers - Manage</li></ul>","enhancements":"","mappings":"","title":"Workforce Security","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(3)(i)","uuid":"655e58ec-e96e-4fa7-ad8d-e19b1a421051","dateCreated":"2022-03-29T00:04:16.396013","id":32727,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Implement P&P to ensure appropriate PHI access <br/><br/><h5>Regulation</h5>Implement policies and procedures to ensure that all members of its workforce have appropriate access to electronic protected health information, as provided under paragraph (a)(4) of this section, and to prevent those workforce members who do not have access under paragraph (a))(4) of this section from obtaining access to electronic protected health information. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:16.5738338","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Authorize</li><li>Network or System Administrator - Supervise</li><li>Facilities Managers - Supervise</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Authorization and/or Supervision","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(3)(ii)(A)","uuid":"ebfb427a-420d-4074-b4c3-9ac2fb88437c","dateCreated":"2022-03-29T00:04:16.5738328","id":32728,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Authorization/supervision for PHI access <br/><br/><h5>Regulation</h5>Implement procedures for authorization and/or supervision of workforce members who work with electronic protected health information or in locations where it might be accessed. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:16.9985164","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Clearance</li><li>Facilities Managers - Clearance</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Workforce Clearance Procedure","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(3)(ii)(B)","uuid":"8772e057-b8b9-4b57-96bb-a123c931e745","dateCreated":"2022-03-29T00:04:16.9985155","id":32729,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures to ensure appropriate PHI access <br/><br/><h5>Regulation</h5>Implement procedures to determine that the access of a workforce member to electronic protected health information is appropriate. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:17.279828","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Policy</li><li>IT Managers - Manage</li><li>Facilities Managers - Manage</li><li>Human Resources - Procedures</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Termination Procedures","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(3)(ii)(C)","uuid":"41e074ce-9113-40eb-8600-8afb99900115","dateCreated":"2022-03-29T00:04:17.2798267","id":32730,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures to terminate PHI access <br/><br/><h5>Regulation</h5>Implement procedures for termination access to electronic protected health information when the employment of a workforce member ends or as required by determination made as specified in paragraph (a)(3)(ii)(B) of this section. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:17.4830863","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Job Desp</li><li>Security Officer - Awareness</li><li>IT Managers - Awareness</li><li>Facilities Managers - Awareness</li><li>Human Resources - Awareness</li></ul>","enhancements":"","mappings":"","title":"Information Access Management","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(4)(i)","uuid":"302e3037-54c4-4d67-8f9b-b586c2f99c0d","dateCreated":"2022-03-29T00:04:17.483085","id":32731,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to authorize access to PHI <br/><br/><h5>Regulation</h5>Implement policies and procedures for authorizing access to electronic protected health information that are consistent with the applicable requirements of subpart E of this part. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:17.678152","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Isolation Health Clearinghouse Functions","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(4)(ii)(A)","uuid":"c3342875-35c7-46a7-8cae-474f153b360e","dateCreated":"2022-03-29T00:04:17.6781514","id":32732,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to separate PHI from other operations <br/><br/><h5>Regulation</h5>If a health care clearinghouse is part of a larger organization, the clearinghouse must implement polices and procedures that protect the electronic protected health information of the clearinghouse from unauthorized access by the larger organization. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:18.0651641","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Addressable","mappings":"","title":"Access Authorization","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(4)(ii)(B)","uuid":"7888dbe8-8440-4dcc-b47f-4321dbf03958","dateCreated":"2022-03-29T00:04:18.065163","id":32733,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to authorize access to PHI <br/><br/><h5>Regulation</h5>Implement policies and procedures for granting access to electronic protected health information, for example, through access to a workstation, transaction, program, process or other mechanism. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:18.335645","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>IT Managers - Change Form</li><li>Help Desk or Tech Support - Change Form</li><li>Facilities Managers - Change Form</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Access Establishment and Modification","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(4)(ii)(C)","uuid":"b293e82e-dbdf-4b39-b0ea-3bfac629a87b","dateCreated":"2022-03-29T00:04:18.3356439","id":32734,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to grant access to PHI <br/><br/><h5>Regulation</h5>Implement policies and procedures that, based upon the entity's access authorization policies, establish, document, review, and modify a user's right of access to a workstation, transaction, program, or process. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:18.5538862","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Security Awareness Training","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(5)(i)","uuid":"66a8810d-a984-4ebc-bab3-1ed4ece6765f","dateCreated":"2022-03-29T00:04:18.5538852","id":32735,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Training program for workers and managers <br/><br/><h5>Regulation</h5>Implement a security awareness and training program for all members of its workforce (including management). <br/>"},{"dateLastUpdated":"2022-03-29T00:04:19.0236913","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Security Reminders","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(5)(ii)(A)","uuid":"119e58f0-8524-43c4-a1d6-bb8da3907197","dateCreated":"2022-03-29T00:04:19.0236896","id":32736,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Distribute periodic security updates <br/><br/><h5>Regulation</h5>Periodic security updates. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:19.2203249","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Protection from Malicious Software","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(5)(ii)(B)","uuid":"045c8ca1-3c6c-4b5b-bd38-27308d9b8782","dateCreated":"2022-03-29T00:04:19.2203241","id":32737,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures to guard against malicious software <br/><br/><h5>Regulation</h5>Procedures for guarding against, detecting, and reporting malicious software. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:19.6973327","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Log-in Monitoring","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(5)(ii)(C)","uuid":"f76ee50c-f5b1-4be1-bbbe-918e77aaf547","dateCreated":"2022-03-29T00:04:19.697332","id":32738,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures and monitoring of log-in attempts <br/><br/><h5>Regulation</h5>Procedures for monitoring log-in attempts and reporting discrepancies. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:20.1563448","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Password Management","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(5)(ii)(D)","uuid":"2b2e9c33-d9ce-4b61-aadd-84f2c13cc665","dateCreated":"2022-03-29T00:04:20.1563437","id":32739,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures for password management <br/><br/><h5>Regulation</h5>Procedures for creating, changing, and safeguarding passwords. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:20.619754","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Security Incident Procedures","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(6)(i)","uuid":"4107c387-3aa8-4211-bf26-c6b2fc95cf36","dateCreated":"2022-03-29T00:04:20.6197532","id":32740,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to manage security incidents <br/><br/><h5>Regulation</h5>Implement policies and procedures to address security incidents. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:20.8182988","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Incident Rep.</li><li>IT Managers - Incident Rep.</li><li>Network or System Administrator - Monitor</li><li>Help Desk or Tech Support - Incident Rep.</li><li>Facilities Managers - Monitor</li><li>End Users with PHI Access - Incident Rep.</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Response and Reporting","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(6)(ii)","uuid":"9dbc60f5-a05c-4786-954d-f5c5a2804b31","dateCreated":"2022-03-29T00:04:20.8182978","id":32741,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Mitigate and document security incidents <br/><br/><h5>Regulation</h5>Identify and respond to suspected or known security incidents; mitigate, to the extent practicable, harmful effects of security incidents that are known to the covered entity; and document security incidents and their outcomes. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:21.2334749","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>IT Managers - BCP</li><li>Network or System Administrator - Recovery</li><li>DB Administrator - Recovery</li></ul>","enhancements":"","mappings":"","title":"Contingency Plan","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(7)(i)","uuid":"a6b1be5e-097c-4e86-a5b0-9ad49b07bdd4","dateCreated":"2022-03-29T00:04:21.2334742","id":32742,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Emergency response P&P <br/><br/><h5>Regulation</h5>Establish (and implement as needed) policies and procedures for responding to an emergency or other occurrence (for example, fire, vandalism, system failure, and natural disaster) that damages systems that contain electronic protected health information. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:21.6099216","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Planning</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Data Backup Plan","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(7)(ii)(A)","uuid":"25f54b75-4093-4b97-96e7-7cda17936f99","dateCreated":"2022-03-29T00:04:21.609921","id":32743,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Data backup planning & procedures <br/><br/><h5>Regulation</h5>Establish and implement procedures to create and maintain retrievable exact copies of electronic protected health information. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:21.7994662","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Planning</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Disaster Recovery Plan","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(7)(ii)(B)","uuid":"f233480b-e308-4821-89a4-f7c0edbaa30f","dateCreated":"2022-03-29T00:04:21.7994656","id":32744,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Data recovery planning & procedures <br/><br/><h5>Regulation</h5>Establish (and implement as needed) procedures to restore loss of data. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:22.1864842","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Plan</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Emergency Mode Operation Plan","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(7)(ii)(C)","uuid":"203ee67d-98c6-4744-b348-0bbbaa37fb84","dateCreated":"2022-03-29T00:04:22.1864833","id":32745,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Business continuity procedures <br/><br/><h5>Regulation</h5>Establish (and implement as needed) procedures to enable continuation of critical business processes for protection of the security of electronic protected health information while operation in emergency mode. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:22.3746427","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Oversight</li><li>Network or System Administrator - Test. Proc.</li><li>DB Administrator - Test. Proc.</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Testing and Revision Procedures","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(7)(ii)(D)","uuid":"2fedb2ee-9b42-42c7-8119-20d69ea37676","dateCreated":"2022-03-29T00:04:22.3746422","id":32746,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Contingency planning periodic testing procedures <br/><br/><h5>Regulation</h5>Implement procedures for periodic testing and revision of contingency plans. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:22.748355","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Notification</li><li>Security Officer - Oversee</li><li>IT Managers - Assessment</li><li>Network or System Administrator - Assessment</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Applications and Data Criticality Analysis","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(7)(ii)(E)","uuid":"235be081-e2da-43e0-9af7-0011440a2ec5","dateCreated":"2022-03-29T00:04:22.7483544","id":32747,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Prioritize data and system criticality for contingency planning <br/><br/><h5>Regulation</h5>Assess the relative criticality of specific applications and data in support of other contingency plan components. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:23.1504623","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Notification</li><li>Security Officer - Oversee</li><li>IT Managers - Assessment</li><li>Network or System Administrator - Assessment</li></ul>","enhancements":"","mappings":"","title":"Evaluation","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(a)(8)","uuid":"6c66547a-aa93-4a3e-ad52-d2b9e7450701","dateCreated":"2022-03-29T00:04:23.1504615","id":32748,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Periodic security evaluation <br/><br/><h5>Regulation</h5>Perform a periodic technical and nontechnical evaluation, based initially upon the standards implemented under this rule and subsequently, in response to environmental or operational changes affecting the security of electronic protected health information, that established the extent to which an entity's security policies and procedures meet the requirements of this subpart. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:23.354398","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>IT Managers - BAC Mgmt.</li></ul>","enhancements":"","mappings":"","title":"Business Associate Contracts and Other Arrangements","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(b)(1)","uuid":"e75c13d0-b5f5-4620-b6d4-bc5b1ce61344","dateCreated":"2022-03-29T00:04:23.3543968","id":32749,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>CE implement BACs to ensure safeguards <br/><br/><h5>Regulation</h5>A covered entity, in accordance with § 164.306, may permit a business associate to create, receive, maintain, or transmit electronic protected health information on the covered entity's behalf only if the covered entity obtains satisfactory assurances, in accordance with § 164.314(a) that the business associate will appropriately safeguard the information. \r\n(2) This standard does not apply with respect to - \r\n(i) The transmission by a covered entity of electronic protected health information to a health care provider concerning the treatment of an individual. \r\n(ii) The transmission of electronic protected health information by a group health plan or an HMO or health insurance issuer on behalf of a group health plan to a plan sponsor, to the extent that the requirements of § 164.314(b) and § 164.504(f) apply and are met; or \r\n(iii) The transmission of electronic protected health information from or to other agencies providing the services at § 164.502(e)(1)(ii)(C), when the covered entity is a health plan that is a government program providing public benefits, if the requirements of § 164.502(e)(1)(ii)(C) are met. \r\n(3) A covered entity that violates the satisfactory assurances it provided as a business associate of another covered entity will be in noncompliance with the standards, implementation specifications, and requirements of this paragraph and § 164.314(a). <br/>"},{"dateLastUpdated":"2022-03-29T00:04:23.7579246","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Written Contract","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.308(b)(4)","uuid":"6bfe7b0e-1fb7-49e0-a316-0757f0898e49","dateCreated":"2022-03-29T00:04:23.757924","id":32750,"family":"ADMINISTRATIVE SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Implement compliant BACs <br/><br/><h5>Regulation</h5>Document the satisfactory assurances required by paragraph (b)(1) of this section through a written contract or other arrangement with the business associate that meets the applicable requirements of § 164.314(a). <br/>"},{"dateLastUpdated":"2022-03-29T00:04:23.9467458","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Policy</li><li>Security Officer - Policy</li><li>Facilities Managers - Oversight</li></ul>","enhancements":"","mappings":"","title":"Facility Access Controls","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310 (a)(1)","uuid":"52419ea3-2ac5-4db7-8e81-9b2872c7ae7e","dateCreated":"2022-03-29T00:04:23.946745","id":32751,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to limit access to systems and facilities <br/><br/><h5>Regulation</h5>Implement policies and procedures to limit physical access to its electronic information systems and the facility or facilities in which they are housed, while ensuring that properly authorized access is allowed. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:24.3203738","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Notification</li><li>Security Officer - Notification</li><li>Facilities Managers - Planning</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Contingency Operations","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(a)(2)(i)","uuid":"7b0ebd0f-3a02-45cf-acb6-9412711a9441","dateCreated":"2022-03-29T00:04:24.3203725","id":32752,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures to support emergency operations and recovery <br/><br/><h5>Regulation</h5>Establish (and implement as needed) procedures that allow facility access in support of restoration of lost data under the disaster recovery plan and emergency mode operations plan in the event of an emergency. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:24.4932214","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Notification</li><li>Security Officer - Notification</li><li>Facilities Managers - Mgmt.</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Facility Security Plan","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(a)(2)(ii)","uuid":"d1365e1d-9986-4d37-af0e-e1a8ab136b38","dateCreated":"2022-03-29T00:04:24.4932207","id":32753,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to safeguard equipment and facilities <br/><br/><h5>Regulation</h5>Implement policies and procedures to safeguard the facility and the equipment there in from unauthorized physical access, tampering, and theft. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:24.850096","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Notification</li><li>Security Officer - Notification</li><li>Facilities Managers - Oversight</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Access Control Validation Procedures","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(a)(2)(iii)","uuid":"99331122-f72f-400a-802f-f7d59f02d1dd","dateCreated":"2022-03-29T00:04:24.8500952","id":32754,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Facility access procedures for personnel <br/><br/><h5>Regulation</h5>Implement procedures to control and validate a person's access to facilities based on their role or function, including visitor control, and control of access to software programs for testing and revision. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:25.2426604","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Addressable","mappings":"","title":"Maintenance Records","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(a)(2)(iv)","uuid":"4052867e-1894-4325-a2a8-68a74eb049bf","dateCreated":"2022-03-29T00:04:25.2426596","id":32755,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to document security-related repairs and modifications <br/><br/><h5>Regulation</h5>Implement policies and procedures to document repairs and modifications to the physical components of a facility that are related to security (for example, hardware, walls, doors, and locks). <br/>"},{"dateLastUpdated":"2022-03-29T00:04:25.4327135","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"","mappings":"","title":"Workstation Use","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(b)","uuid":"9ee5b39b-86c8-4f74-86ef-1c9bcef62e76","dateCreated":"2022-03-29T00:04:25.4327128","id":32756,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to specify workstation environment & use <br/><br/><h5>Regulation</h5>Implement policies and procedures that specify the proper functions to be performed, the manner in which those functions are to be performed, and the physical attributes of the surroundings of a specific workstation or class of workstation that can access electronic protected health information. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:25.8473402","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"","mappings":"","title":"Workstation Security","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(c)","uuid":"58dba6df-2a6e-4f34-aee9-a5c94570d339","dateCreated":"2022-03-29T00:04:25.8473393","id":32757,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Physical safeguards for workstation access <br/><br/><h5>Regulation</h5>Implement physical safeguards for all workstations that access electronic protected health information, to restrict access to authorized users. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:26.0641094","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"","mappings":"","title":"Device and Media Controls","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(d)(1)","uuid":"fbe6a7f6-d706-4352-84e7-e135ceda12e3","dateCreated":"2022-03-29T00:04:26.0641087","id":32758,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to govern receipt and removal of hardware and media <br/><br/><h5>Regulation</h5>Implement policies and procedures that govern the receipt and removal of hardware and electronic media that contain electronic protected health information into and out of a facility, and the movement of these items within the facility. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:26.425057","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Disposal","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(d)(2)(i)","uuid":"2e917f67-d2d8-4683-9062-797455313268","dateCreated":"2022-03-29T00:04:26.425056","id":32759,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to manage media and equipment disposal <br/><br/><h5>Regulation</h5>Implement policies and procedures to address the final disposition of electronic protected health information, and/or the hardware or electronic media on which it is stored. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:26.8240599","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Media Re-use","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(d)(2)(ii)","uuid":"7e72070f-0a68-4d5d-aee7-830cf781587a","dateCreated":"2022-03-29T00:04:26.8240593","id":32760,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to remove PHI from media and equipment <br/><br/><h5>Regulation</h5>Implement procedures for removal of electronic protected health information from electronic media before the media are made available for re-use. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:27.0187976","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Accountability","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(d)(2)(iii)","uuid":"0a3b85cb-eddb-492d-b03b-1639b6c84ace","dateCreated":"2022-03-29T00:04:27.0187968","id":32761,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Document hardware and media movement <br/><br/><h5>Regulation</h5>Maintain a record of the movements of hardware and electronic media and any person responsible therefore. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:27.4259056","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Notification</li><li>Security Officer - Oversight</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li><li>DB Administrator - Administration</li><li>Facilities Managers - Mgmt.</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Data Backup and Storage","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.310(d)(2)(iv)","uuid":"437c5eca-f382-4a06-be18-7a5a3053ba67","dateCreated":"2022-03-29T00:04:27.4259047","id":32762,"family":"PHYSICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Backup PHI before moving equipment <br/><br/><h5>Regulation</h5>Create a retrievable, exact copy of electronic protected health information, when needed, before movement of equipment. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:27.627139","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Access Control ","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(a)(1)","uuid":"d621feea-05c0-4214-b4a4-7fcee3d90fd5","dateCreated":"2022-03-29T00:04:27.6271383","id":32763,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Technical (administrative) P&P to manage PHI access <br/><br/><h5>Regulation</h5>Implement technical policies and procedures for electronic information systems that maintain electronic protected health information to allow access only to those persons or software programs that have been granted access rights as specified in § 164.308(a)(4). <br/>"},{"dateLastUpdated":"2022-03-29T00:04:27.9932638","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Network or System Administrator - Administration</li><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Unique User Identification","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(a)(2)(i)","uuid":"98b0054b-0adc-47c5-968a-37c1682d2d52","dateCreated":"2022-03-29T00:04:27.9932632","id":32764,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Assign unique IDs to support tracking <br/><br/><h5>Regulation</h5>Assign a unique name and/or number for identifying and tracking user identity. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:28.4022715","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li><li>Help Desk or Tech Support - Administration</li><li>Facilities Managers - Mgmt.</li><li>End Users with PHI Access - Awareness</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Emergency Access Procedure","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(a)(2)(ii)","uuid":"f14b080d-3f4d-4f5d-a5d4-7196e3c3e023","dateCreated":"2022-03-29T00:04:28.4022707","id":32765,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures to support emergency access <br/><br/><h5>Regulation</h5>Establish (and implement as needed) procedures for obtaining necessary electronic protected health information during an emergency. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:28.5909471","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Automatic Logoff","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(a)(2)(iii)","uuid":"a6100ed5-6f3b-40b7-89ef-2dd5b76e99bc","dateCreated":"2022-03-29T00:04:28.5909464","id":32766,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Session termination mechanisms <br/><br/><h5>Regulation</h5>Implement electronic procedures that terminate an electronic session after a predetermined time of inactivity. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:28.9958714","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Notification</li><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Encryption and Decryption","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(a)(2)(iv)","uuid":"22c62da6-9960-4175-a3ef-b887d7b0d31c","dateCreated":"2022-03-29T00:04:28.9958708","id":32767,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Mechanism for encryption of stored PHI <br/><br/><h5>Regulation</h5>Implement a mechanism to encrypt and decrypt electronic protected health information. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:29.1995612","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Notification</li><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li></ul>","enhancements":"","mappings":"","title":"Audit Controls","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(b)","uuid":"79b5a4c0-879d-4e72-a3d3-4f3470277d86","dateCreated":"2022-03-29T00:04:29.1995603","id":32768,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures and mechanisms for monitoring system activity <br/><br/><h5>Regulation</h5>Implement hardware, software, and/or procedural mechanisms that record and examine activity in information systems that contain or use electronic protected health information. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:29.5931824","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Notification</li><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li></ul>","enhancements":"","mappings":"","title":"Integrity","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(c)(1)","uuid":"4e9100bf-5437-4b61-9324-59793a4e945e","dateCreated":"2022-03-29T00:04:29.5931818","id":32769,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to safeguard PHI unauthorized alteration <br/><br/><h5>Regulation</h5>Implement policies and procedures to protect electronic protected health information from improper alteration or destruction. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:29.9980521","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Plan</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Mechanism to Authenticate Electronic Protected Health Information","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(c)(2)","uuid":"eac1344d-a0da-499c-b883-fcd69673ed7f","dateCreated":"2022-03-29T00:04:29.9980511","id":32770,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Mechanisms to corroborate PHI not altered <br/><br/><h5>Regulation</h5>Implement electronic mechanisms to corroborate that electronic protected health information has not been altered or destroyed in an unauthorized manner. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:30.1995416","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li><li>Help Desk or Tech Support - Administration</li></ul>","enhancements":"","mappings":"","title":"Person or Entity Authentication","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(d)","uuid":"6d2cc80d-9108-4dc3-857d-cce746c20208","dateCreated":"2022-03-29T00:04:30.1995408","id":32771,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Procedures to verify identities <br/><br/><h5>Regulation</h5>Implement procedures to verify that a person or entity seeking access to electronic protected health information is the one claimed. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:30.604133","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li></ul>","enhancements":"","mappings":"","title":"Transmission Security","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(e)(1)","uuid":"667635e1-72d0-40be-82e1-dac628c13e2a","dateCreated":"2022-03-29T00:04:30.6041323","id":32772,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Measures to guard against unauthorized access to transmitted PHI <br/><br/><h5>Regulation</h5>Implement technical security measures to guard against unauthorized access to electronic protected health information that is being transmitted over an electronic communications network. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:31.0127251","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Integrity Controls","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(e)(2)(i)","uuid":"5bf0a886-02e0-437c-989e-66621e4c3f07","dateCreated":"2022-03-29T00:04:31.0127241","id":32773,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Measures to ensure integrity of PHI on transmission <br/><br/><h5>Regulation</h5>Implement security measures to ensure that electronically transmitted electronic protected health information is not improperly modified without detection until disposed of. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:31.2181535","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Policy</li><li>Security Officer - Policy</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li><li>Help Desk or Tech Support - Sec. Training</li><li>Facilities Managers - Sec. Training</li><li>End Users with PHI Access - Sec. Training</li></ul>","enhancements":"Implementation: Addressable","mappings":"","title":"Encryption","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.312(e)(2)(ii)","uuid":"8c6f00eb-cbb6-4bfa-b262-779fa7c6d910","dateCreated":"2022-03-29T00:04:31.2181529","id":32774,"family":"TECHNICAL SAFEGUARDS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Mechanism for encryption of transmitted PHI <br/><br/><h5>Regulation</h5>Implement a mechanism to encrypt electronic protected health information whenever deemed appropriate. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:31.6263971","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Oversight</li><li>Security Officer - Oversight</li><li>IT Managers - Mgmt.</li></ul>","enhancements":"","mappings":"","title":"Business Associate Contracts or Other Arrangements","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.314(a)(1)","uuid":"a7577095-6dfb-49ac-9913-387268e5a014","dateCreated":"2022-03-29T00:04:31.6263964","id":32775,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>CE must ensure BA safeguards PHI <br/><br/><h5>Regulation</h5>(i) The contract or other arrangement between the covered entity and its business associate required by \r\n§ 164.308(b) must meet the requirements of paragraph (a)(2)(i) or (a)(2)(ii) of this section, as applicable. \r\n(ii) A covered entity is not in compliance with the standards in § 164.502(e) and paragraph (a) of this section if the covered entity knew of a pattern of an activity or practice of the business associate that constituted a material breach or violation of the business associate's obligation under the contract or other arrangement, unless the covered entity took reasonable steps to cure the breach or end the violation, as applicable, and, if such steps were unsuccessful. \r\n(A) Terminated the contract or arrangement, if feasible; or \r\n(B) If termination is not feasible, reported the problem to the Secretary. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:31.8063651","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Business Associate Contracts","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.314(a)(2)","uuid":"47b05a45-e155-4720-a57d-b2b530d44e1e","dateCreated":"2022-03-29T00:04:31.8063644","id":32776,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>BACs must contain security language <br/><br/><h5>Regulation</h5>(i) Business associate contracts. The contract between a covered entity and a business associate must provide that the business associate will-- \r\n(A) Implement administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of the electronic protected health information that it creates, receives, maintains, or transmits on behalf of the covered entity as required by this subpart; \r\n(B) Ensure that any agent, including a subcontractor, to whom it provides such information agrees to implement reasonable and appropriate safeguards to protect it; \r\n(C) Report to the covered entity any security incident of which it becomes aware; \r\n(D) Authorize termination of the contract by the covered entity, if the covered entity determines that the business associate has violated a material term of the contract. \r\n(ii) Other arrangements. \r\n(A) When a covered entity and its business associate are both governmental entities, the covered entity is in compliance with paragraph (a)(1) of this section, if - \r\n(1) It enters into a memorandum of understanding with the business associate that contains terms that accomplish the objectives of paragraph (a)(2)(i) of this section; or \r\n(2) Other law (including regulations adopted by the covered entity or its business associate) contains requirements applicable to the business associate that accomplish the objectives of paragraph (a)(2)(i) of this section. \r\n(B) If a business associate is required by law to perform a function or activity on behalf of a covered entity or to provide a service described in the definition of business associate as specified in § 160.103 of this subchapter to a covered entity, the covered entity may permit the business associate to create, receive, maintain, or transmit electronic protected health information on its behalf to the extent necessary to comply with the legal mandate without meeting the requirements of paragraph (a)(2)(i) of this section, provided that the covered entity attempts in good faith to obtain satisfactory assurances as required by paragraph (a)(2)(ii)(A) of this section, and documents the attempt and the reasons that these assurances cannot be obtained. \r\n(C) The covered entity may omit from its other arrangements authorization of the termination of the contract by the covered entity, as required by paragraph (a)(2)(i)(D) of this section if such authorization is inconsistent with the statutory obligations of the covered entity or its business associate. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:32.1869127","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"","mappings":"","title":"Requirements for Group Health Plans","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.314(b)(1)","uuid":"2c46c98d-4a3f-4d18-b808-9bee796a536f","dateCreated":"2022-03-29T00:04:32.186912","id":32777,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Plan documents must reflect security safeguards <br/><br/><h5>Regulation</h5>Except when the only electronic protected health information disclosed to a plan sponsor is disclosed pursuant to § 164.504(f)(1)(ii) or (iii), or as authorized under § 164.508, a group health plan must ensure that its plan documents provide that the plan sponsor will reasonably and appropriately safeguard electronic protected health information created, received, maintained, or transmitted to or by the plan sponsor on behalf of the group health plan. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:32.5856426","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Implement Safeguards","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.314(b)(2)(i)","uuid":"3125c72f-04cb-4295-85a1-1068ab477c39","dateCreated":"2022-03-29T00:04:32.5856418","id":32778,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Plan sponsor to implement safeguards as appropriate <br/><br/><h5>Regulation</h5>The plan documents of the group health plan must be amended to incorporate provisions to require the plan sponsor to-- \r\n(i) Implement administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of the electronic protected health information that it creates, receives, maintains, or transmits on behalf of the group health plan; <br/>"},{"dateLastUpdated":"2022-03-29T00:04:32.7896006","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Ensure Adequate Separation","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.314(b)(2)(ii)","uuid":"c9fb2a3a-0249-4562-a46a-3b2d4ea858de","dateCreated":"2022-03-29T00:04:32.7895998","id":32779,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Security measures to separate PHI from plan sponsor and plan <br/><br/><h5>Regulation</h5>Ensure that the adequate separation required by \r\n§ 164.504(f)(2)(iii) is supported by reasonable and appropriate security measures; <br/>"},{"dateLastUpdated":"2022-03-29T00:04:33.0825522","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Ensure Agents Safeguard","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.314(b)(2)(iii)","uuid":"315b8b89-d55a-4b37-bdf7-daaad42f89de","dateCreated":"2022-03-29T00:04:33.0825512","id":32780,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Ensure subcontractors safeguard PHI <br/><br/><h5>Regulation</h5>Ensure that any agent, including a subcontractor, to whom it provides this information agrees to implement reasonable and appropriate security measures to protect the information; and <br/>"},{"dateLastUpdated":"2022-03-29T00:04:33.2643493","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Privacy Officer - Awareness</li><li>Compliance Office - Notification</li><li>Security Officer - Oversight</li><li>IT Managers - Mgmt.</li></ul>","enhancements":"Implementation: Required","mappings":"","title":"Report Security Incidents","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.314(b)(2)(iv)","uuid":"dc2ce6e3-7a70-4d06-b7f6-3db54464bfae","dateCreated":"2022-03-29T00:04:33.2643486","id":32781,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Plan sponsors report breaches to health plan <br/><br/><h5>Regulation</h5>Report to the group health plan any security incident of which it becomes aware. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:33.7324914","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"<h5>Roles and Responsibilities</h5><br/><ul><li>Compliance Office - Policy</li><li>Security Officer - Procedures</li><li>IT Managers - Mgmt.</li><li>Network or System Administrator - Administration</li></ul>","enhancements":"","mappings":"","title":"Policies and Procedures","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.316(a)","uuid":"9ff9e25d-633c-4c67-a5b3-d2d0a5e6a751","dateCreated":"2022-03-29T00:04:33.7324906","id":32782,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>P&P to ensure safeguards to PHI <br/><br/><h5>Regulation</h5>A covered entity must, in accordance with § 164.306: Implement reasonable and appropriate policies and procedures to comply with the standards, implementation specifications, or other requirements of this subpart, taking into account those factors specified in § 164.306(b)(2)(i), (ii), (iii), and (iv). This standard is not to be construed to permit or excuse an action that violates any other standard, implementation specification, or other requirements of this subpart. A covered entity may change its policies and procedures at any time, provided that the changes are documented and are implemented in accordance with this subpart. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:33.918094","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Documentation","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.316(b)(1)","uuid":"8f73d8f9-3c8c-4491-8e5a-19036fe19cec","dateCreated":"2022-03-29T00:04:33.918093","id":32783,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Document P&P and actions & activities <br/><br/><h5>Regulation</h5>Documentation.\r\n(i) Maintain the policies and procedures implemented to comply with this subpart in written (which may be electronic) form; and\r\n(ii) If an action, activity or assessment is required by this subpart to be documented, maintain a written (which may be electronic) record of the action, activity, or assessment. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:34.338235","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Time Limit","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.316(b)(2)(i)","uuid":"4808746a-4616-4cc4-8032-297effaa3ccf","dateCreated":"2022-03-29T00:04:34.3382344","id":32784,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Retain documentation for 6 years <br/><br/><h5>Regulation</h5>Retain the documentation required by paragraph (b)(1) of this section for 6 years from the date of its creation or the date when it last was in effect, whichever is later. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:34.7798363","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Availability","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.316(b)(2)(ii)","uuid":"d39e13c4-a54a-4ef7-9d28-d3232e359d46","dateCreated":"2022-03-29T00:04:34.7798357","id":32785,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Documentation available to system administrators <br/><br/><h5>Regulation</h5>Make documentation available to those persons responsible for implementing the procedures to which the documentation pertains. <br/>"},{"dateLastUpdated":"2022-03-29T00:04:35.2054447","subControls":"","lastUpdatedById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","practiceLevel":"","tenantsId":1,"relatedControls":"","enhancements":"Implementation: Required","mappings":"","title":"Updates","weight":0,"catalogueID":205,"createdById":"52f86957-eb18-4ec5-bddd-ae54d93bfcce","archived":false,"assessmentPlan":"","controlId":"164.316(b)(2)(iii)","uuid":"cad0a88e-60f9-4545-8d82-7be3a74a465d","dateCreated":"2022-03-29T00:04:35.2054438","id":32786,"family":"ORGANIZATIONAL REQUIREMENTS","references":"","isPublic":true,"controlType":"Stand-Alone","description":"<h5>Description</h5>Periodic review and updates to changing needs <br/><br/><h5>Regulation</h5>Review documentation periodically, and update as needed, in response to environmental or operational changes affecting the security of the electronic protected health information. <br/>"}]}}

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+ {"catalog":{"description":"<p style=\"margin: 0.5em 0px; color: rgb(32, 33, 34); font-family: sans-serif;\">In 2002, Sarbanes-Oxley was named after bill sponsors U.S. Senator <a href=\"https://en.wikipedia.org/wiki/Paul_Sarbanes\" title=\"Paul Sarbanes\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Paul Sarbanes</a> (<a href=\"https://en.wikipedia.org/wiki/Democratic_Party_(United_States)\" title=\"Democratic Party (United States)\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">D</a>-<a href=\"https://en.wikipedia.org/wiki/Maryland\" title=\"Maryland\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">MD</a>) and U.S. Representative <a href=\"https://en.wikipedia.org/wiki/Michael_G._Oxley\" class=\"mw-redirect\" title=\"Michael G. Oxley\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Michael G. Oxley</a> (<a href=\"https://en.wikipedia.org/wiki/Republican_Party_(United_States)\" title=\"Republican Party (United States)\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">R</a>-<a href=\"https://en.wikipedia.org/wiki/Ohio\" title=\"Ohio\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">OH</a>). As a result of SOX, top management must individually certify the accuracy of financial information. In addition, penalties for fraudulent financial activity are much more severe. Also, SOX increased the oversight role of boards of directors and the independence of the outside auditors who review the accuracy of corporate financial statements.<sup id=\"cite_ref-2\" class=\"reference\" style=\"line-height: 1; unicode-bidi: isolate; white-space: nowrap; font-size: 11.2px;\"><a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#cite_note-2\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">[2]</a></sup></p><p style=\"margin: 0.5em 0px; color: rgb(32, 33, 34); font-family: sans-serif;\">The bill was enacted as a reaction to a number of major <a href=\"https://en.wikipedia.org/wiki/Accounting_scandals\" title=\"Accounting scandals\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">corporate and accounting scandals</a>, including those affecting <a href=\"https://en.wikipedia.org/wiki/Enron\" title=\"Enron\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Enron</a>, <a href=\"https://en.wikipedia.org/wiki/Tyco_International\" title=\"Tyco International\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Tyco International</a>, <a href=\"https://en.wikipedia.org/wiki/Adelphia_Communications_Corporation\" title=\"Adelphia Communications Corporation\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Adelphia</a>, <a href=\"https://en.wikipedia.org/wiki/Peregrine_Systems\" title=\"Peregrine Systems\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Peregrine Systems</a>, and <a href=\"https://en.wikipedia.org/wiki/WorldCom\" class=\"mw-redirect\" title=\"WorldCom\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">WorldCom</a>. These scandals cost investors billions of dollars when the share prices of affected companies collapsed, and shook public confidence in the US <a href=\"https://en.wikipedia.org/wiki/Capital_market\" title=\"Capital market\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">securities markets</a>.<sup id=\"cite_ref-3\" class=\"reference\" style=\"line-height: 1; unicode-bidi: isolate; white-space: nowrap; font-size: 11.2px;\"><a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#cite_note-3\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">[3]</a></sup></p><p style=\"margin: 0.5em 0px; color: rgb(32, 33, 34); font-family: sans-serif;\">The act contains eleven titles, or sections, ranging from additional corporate board responsibilities to criminal penalties, and requires the <a href=\"https://en.wikipedia.org/wiki/United_States_Securities_and_Exchange_Commission\" class=\"mw-redirect\" title=\"United States Securities and Exchange Commission\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Securities and Exchange Commission</a> (SEC) to implement rulings on requirements to comply with the law. <a href=\"https://en.wikipedia.org/wiki/Harvey_Pitt\" title=\"Harvey Pitt\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Harvey Pitt</a>, the 26th chairman of the SEC, led the SEC in the adoption of dozens of rules to implement the Sarbanes–Oxley Act. It created a new, quasi-public agency, the <a href=\"https://en.wikipedia.org/wiki/Public_Company_Accounting_Oversight_Board\" title=\"Public Company Accounting Oversight Board\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Public Company Accounting Oversight Board</a>, or PCAOB, charged with overseeing, regulating, inspecting, and disciplining accounting firms in their roles as auditors of public companies. The act also covers issues such as <a href=\"https://en.wikipedia.org/wiki/Auditor\" title=\"Auditor\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">auditor</a> independence, <a href=\"https://en.wikipedia.org/wiki/Corporate_governance\" title=\"Corporate governance\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">corporate governance</a>, <a href=\"https://en.wikipedia.org/wiki/Internal_control\" title=\"Internal control\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">internal control</a> assessment, and enhanced financial disclosure. The nonprofit arm of <a href=\"https://en.wikipedia.org/wiki/Financial_Executives_International_(FEI)\" class=\"mw-redirect\" title=\"Financial Executives International (FEI)\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Financial Executives International (FEI)</a>, Financial Executives Research Foundation (FERF), completed extensive research studies to help support the foundations of the act.<sup id=\"cite_ref-4\" class=\"reference\" style=\"line-height: 1; unicode-bidi: isolate; white-space: nowrap; font-size: 11.2px;\"><a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#cite_note-4\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">[4]</a></sup></p><p style=\"margin: 0.5em 0px; color: rgb(32, 33, 34); font-family: sans-serif;\">The act was approved in the <a href=\"https://en.wikipedia.org/wiki/United_States_House_of_Representatives\" title=\"United States House of Representatives\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">House</a> by a vote of <a rel=\"nofollow\" class=\"external text\" href=\"http://clerk.house.gov/evs/2002/roll348.xml\" style=\"color: rgb(51, 102, 187); background-image: url("/w/skins/Vector/resources/skins.vector.styles/images/external-link-ltr-icon.svg?b4b84"); background-position: right center; background-size: initial; background-repeat: no-repeat; background-attachment: initial; background-origin: initial; background-clip: initial; padding-right: 13px;\">423 in favor, 3 opposed, and 8 abstaining</a> and in the <a href=\"https://en.wikipedia.org/wiki/United_States_Senate\" title=\"United States Senate\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Senate</a> with a vote of <a rel=\"nofollow\" class=\"external text\" href=\"https://www.senate.gov/legislative/LIS/roll_call_lists/roll_call_vote_cfm.cfm?congress=107&session=2&vote=00192\" style=\"color: rgb(51, 102, 187); background-image: url("/w/skins/Vector/resources/skins.vector.styles/images/external-link-ltr-icon.svg?b4b84"); background-position: right center; background-size: initial; background-repeat: no-repeat; background-attachment: initial; background-origin: initial; background-clip: initial; padding-right: 13px;\">99 in favor and 1 abstaining</a>. President George W. Bush signed it into law, stating it included \"the most far-reaching reforms of American business practices since the time of <a href=\"https://en.wikipedia.org/wiki/Franklin_D._Roosevelt\" title=\"Franklin D. Roosevelt\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Franklin D. Roosevelt</a>. The era of low standards and false profits is over; no boardroom in America is above or beyond the law.<i>\"<sup id=\"cite_ref-Bumiller2002_5-0\" class=\"reference\" style=\"line-height: 1; unicode-bidi: isolate; white-space: nowrap; font-style: normal; font-size: 11.2px;\"><a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#cite_note-Bumiller2002-5\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">[5]</a></sup></i></p><p style=\"margin: 0.5em 0px; color: rgb(32, 33, 34); font-family: sans-serif;\">In response to the perception that stricter financial governance laws are needed, SOX-type regulations were subsequently enacted in Canada (2002), Germany (2002), South Africa (2002), France (2003), Australia (2004), India (2005), Japan (2006), Italy (2006), Israel, and Turkey.<sup id=\"cite_ref-6\" class=\"reference\" style=\"line-height: 1; unicode-bidi: isolate; white-space: nowrap; font-size: 11.2px;\"><a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#cite_note-6\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">[6]</a></sup> (See <a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#Similar_laws_in_other_countries\" title=\"Sarbanes–Oxley Act\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">§ Similar laws in other countries</a> below.)</p><p style=\"margin: 0.5em 0px; color: rgb(32, 33, 34); font-family: sans-serif;\">Debates continued as of 2007 over the perceived benefits and costs of SOX. Opponents of the bill have claimed it has reduced America's international competitive edge against foreign financial service providers because it has introduced an overly complex regulatory environment into US financial markets. A study commissioned by NYC Mayor <a href=\"https://en.wikipedia.org/wiki/Michael_Bloomberg\" title=\"Michael Bloomberg\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Michael Bloomberg</a> and US Sen. <a href=\"https://en.wikipedia.org/wiki/Chuck_Schumer\" title=\"Chuck Schumer\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Chuck Schumer</a>, (D-NY), cited this as one reason America's financial sector is losing market share to other financial centers worldwide.<sup id=\"cite_ref-7\" class=\"reference\" style=\"line-height: 1; unicode-bidi: isolate; white-space: nowrap; font-size: 11.2px;\"><a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#cite_note-7\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">[7]</a></sup> Proponents of the measure said that SOX has been a \"godsend\" for improving the confidence of fund managers and other investors with regard to the veracity of corporate financial statements.<sup id=\"cite_ref-8\" class=\"reference\" style=\"line-height: 1; unicode-bidi: isolate; white-space: nowrap; font-size: 11.2px;\"><a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#cite_note-8\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">[8]</a></sup></p><p style=\"margin: 0.5em 0px; color: rgb(32, 33, 34); font-family: sans-serif;\">The 10th anniversary of SOX coincided with the passing of the <a href=\"https://en.wikipedia.org/wiki/Jumpstart_Our_Business_Startups_Act\" title=\"Jumpstart Our Business Startups Act\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Jumpstart Our Business Startups (JOBS) Act</a>, designed to give emerging companies an economic boost, and cutting back on a number of regulatory requirements</p>","uuid":"664db8eb-268c-443b-abc3-692e04a4298e","datePublished":"2002-07-30T04:00:00","version":"1.0.0","abstract":"<ol style=\"margin: 0.3em 0px 0px 3.2em; padding: 0px; list-style-image: none; color: rgb(32, 33, 34); font-family: sans-serif;\"><li style=\"margin-bottom: 0.1em;\"><b>Public Company Accounting Oversight Board (PCAOB)</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title I consists of nine sections and establishes the <a href=\"https://en.wikipedia.org/wiki/Public_Company_Accounting_Oversight_Board\" title=\"Public Company Accounting Oversight Board\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Public Company Accounting Oversight Board</a>, to provide independent oversight of public accounting firms providing audit services (\"auditors\"). It also creates a central oversight board tasked with registering auditors, defining the specific processes and procedures for compliance audits, inspecting and policing conduct and quality control, and enforcing compliance with the specific mandates of SOX.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Auditor Independence</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title II consists of nine sections and establishes standards for external auditor independence, to limit conflicts of interest. It also addresses new auditor approval requirements, audit partner rotation, and auditor reporting requirements. It restricts auditing companies from providing non-audit services (e.g., consulting) for the same clients.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Corporate Responsibility</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title III consists of eight sections and mandates that senior executives take individual responsibility for the accuracy and completeness of corporate financial reports. It defines the interaction of external auditors and corporate audit committees, and specifies the responsibility of corporate officers for the accuracy and validity of corporate financial reports. It enumerates specific limits on the behaviors of corporate officers and describes specific forfeitures of benefits and civil penalties for non-compliance. For example, Section 302 requires that the company's \"principal officers\" (typically the <a href=\"https://en.wikipedia.org/wiki/Chief_Executive_Officer\" class=\"mw-redirect\" title=\"Chief Executive Officer\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Chief Executive Officer</a> and <a href=\"https://en.wikipedia.org/wiki/Chief_Financial_Officer\" class=\"mw-redirect\" title=\"Chief Financial Officer\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Chief Financial Officer</a>) certify and approve the integrity of their company financial reports quarterly.<sup id=\"cite_ref-9\" class=\"reference\" style=\"line-height: 1; unicode-bidi: isolate; white-space: nowrap; font-size: 11.2px;\"><a href=\"https://en.wikipedia.org/wiki/Sarbanes%E2%80%93Oxley_Act#cite_note-9\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">[9]</a></sup></dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Enhanced Financial Disclosures</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title IV consists of nine sections. It describes enhanced reporting requirements for financial transactions, including <a href=\"https://en.wikipedia.org/wiki/Off-balance-sheet\" title=\"Off-balance-sheet\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">off-balance-sheet</a> transactions, <a href=\"https://en.wikipedia.org/wiki/Pro-forma\" class=\"mw-redirect\" title=\"Pro-forma\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">pro-forma</a> figures and stock transactions of corporate officers. It requires internal controls for assuring the accuracy of financial reports and disclosures, and mandates both audits and reports on those controls. It also requires timely reporting of material changes in financial condition and specific enhanced reviews by the SEC or its agents of corporate reports.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Analyst Conflicts of Interest</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title V consists of only one section, which includes measures designed to help restore investor confidence in the reporting of securities analysts. It defines the codes of conduct for securities analysts and requires disclosure of knowable conflicts of interest.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Commission Resources and Authority</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title VI consists of four sections and defines practices to restore investor confidence in securities analysts. It also defines the SEC's authority to censure or bar securities professionals from practice and defines conditions under which a person can be barred from practicing as a broker, advisor, or dealer.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Studies and Reports</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title VII consists of five sections and requires the <a href=\"https://en.wikipedia.org/wiki/Comptroller_General_of_the_United_States\" title=\"Comptroller General of the United States\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Comptroller General</a> and the SEC to perform various studies and report their findings. Studies and reports include the effects of consolidation of public accounting firms, the role of credit rating agencies in the operation of securities markets, securities violations, and enforcement actions, and whether investment banks assisted <a href=\"https://en.wikipedia.org/wiki/Enron\" title=\"Enron\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Enron</a>, <a href=\"https://en.wikipedia.org/wiki/Global_Crossing\" title=\"Global Crossing\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Global Crossing</a>, and others to manipulate earnings and obfuscate true financial conditions.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Corporate and Criminal Fraud Accountability</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title VIII consists of seven sections and is also referred to as the <i>\"Corporate and Criminal Fraud Accountability Act of 2002</i>\". It describes specific criminal penalties for manipulation, destruction or alteration of financial records or other interference with investigations, while providing certain protections for whistle-blowers.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>White Collar Crime Penalty Enhancement</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title IX consists of six sections. This section is also called the <i>\"White Collar Crime Penalty Enhancement Act of 2002\"</i>. This section increases the criminal penalties associated with <a href=\"https://en.wikipedia.org/wiki/White-collar_crime\" title=\"White-collar crime\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">white-collar crimes</a> and conspiracies. It recommends stronger sentencing guidelines and specifically adds failure to certify corporate financial reports as a criminal offense.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Corporate Tax Returns</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title X consists of one section. Section 1001 states that the <a href=\"https://en.wikipedia.org/wiki/Chief_Executive_Officer\" class=\"mw-redirect\" title=\"Chief Executive Officer\" style=\"color: rgb(6, 69, 173); background-image: none; background-position: initial; background-size: initial; background-repeat: initial; background-attachment: initial; background-origin: initial; background-clip: initial;\">Chief Executive Officer</a> should sign the company tax return.</dd></dl></li><li style=\"margin-bottom: 0.1em;\"><b>Corporate Fraud Accountability</b><dl style=\"margin-top: 0.2em; margin-bottom: 0.5em;\"><dd style=\"margin-left: 1.6em; margin-bottom: 0.1em; margin-right: 0px;\">Title XI consists of seven sections. Section 1101 recommends a name for this title as <i>\"Corporate Fraud Accountability Act of 2002\"</i>. It identifies corporate fraud and records tampering as criminal offenses and joins those offenses to specific penalties. It also revises sentencing guidelines and strengthens their penalties. This enables the SEC to resort to temporarily freezing transactions or payments that have been deemed \"large\" or \"unusual\".</dd></dl></li></ol>","url":"https://www.congress.gov/bill/107th-congress/house-bill/3763","defaultName":"sox","title":"H.R.3763 - Sarbanes-Oxley Act of 2002","lastRevisionDate":"2024-01-29","regulationDatePublished":"2002-07-30","keywords":"Contract Management, Agency cost, Basel Accord, Big Four (audit firms), Data Loss Prevention, Data governance, Glass–Steagall Act, Holding Foreign Companies Accountable Act, Information technology audit, Information technology controls, ISO/IEC 27000-series, Richard M. Scrushy, CEO of HealthSouth, the first executive charged and to be acquitted under Sarbanes-Oxley, HealthSouth, Fair Funds, Reg FD","securityControls":[{"id":22716,"description":"N/A","references":"","tenantsId":1,"uuid":"482f8bb7-7206-4e41-912e-369910d9a4d8","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 101) Prohibits Board membership from including more than two certified public accountants.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 101"},{"id":22717,"description":"N/A","references":"","tenantsId":1,"uuid":"6ad5e97f-0f2b-4d3a-a30a-34bd6fd1ec37","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 102) Requires a public accounting firm that performs or participates in any audit report with respect to any issuer to register with the Board.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 102"},{"id":22718,"description":"<span style=\"color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Requires auditing standards to include: (1) a seven-year retention period for audit work papers; (2) concurring or second partner review and approval by a Board-prescribed qualified person; (3) an evaluation of whether internal control structure and procedures include records that accurately reflect transactions and dispositions of assets; (4) assurance that transactions are recorded to permit preparation of financial statements in accordance with generally accepted accounting principles (GAAP), and that receipts and expenditures are made only with authorization of senior management and directors; and (5) a description of both material weaknesses in internal controls and of material noncompliance.</span>","references":"","tenantsId":1,"uuid":"f11153b6-afd5-4e8f-bca1-2f1740a196a9","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 103) Directs the Board to establish (or modify) the auditing and related attestation standards, quality control, and the ethics standards used by registered public accounting firms to prepare and issue audit reports.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 103"},{"id":22719,"description":"<span style=\"color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\"> (1) annually for firms that regularly provide audit reports for more than 100 issuers; and (2) at least every three years for firms that regularly provide audit reports for 100 or fewer issuers.</span><br>","references":"","tenantsId":1,"uuid":"e262cd51-c2f0-476d-b362-5ce5461bd67b","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 104) Mandates that a program of continuing inspections to ensure compliance is conducted:","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 104"},{"id":22720,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Restricts sanctions and penalties to intentional conduct or to repeated instances of negligent conduct.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Authorizes the Board to impose sanctions upon a registered accounting firm or its supervisory personnel for failure to supervise.</p>","references":"","tenantsId":1,"uuid":"0b000f37-a4a4-49a4-bbe3-4774928426e3","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 105) Empowers the Board to impose disciplinary or remedial sanctions upon registered public accounting firms, associated persons, and accountants.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 105"},{"id":22721,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"08a48277-00a5-4ab8-b0d2-24e09d4c68ed","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 106) Places within the purview of this Act foreign public accounting firms that prepare or furnish an audit report for an issuer, including audit workpapers.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 106"},{"id":22722,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"6182fb83-631e-49a1-85a2-00cb0ff5060b","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 107) Grants the Securities and Exchange Commission (SEC) general oversight and enforcement authority over the Board, including prior approval of Board rules; review of disciplinary action taken by the Board; and general modification and rescission of Board authority.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 107"},{"id":22723,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"76c92d69-5aba-4db6-8172-2d617d087c33","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 108) Directs the SEC to report to Congress on adoption of a principles-based accounting system by the U.S. financial reporting system.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 108"},{"id":22724,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"9cb4b3f4-301c-4370-8c80-7c39de64bc63","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"(Sec. 109) Directs the Board to establish annual accounting support fees which shall be collected from issuers.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 109"},{"id":22725,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"e4cd4882-c6ea-492e-8b63-bf13130f271f","family":"Title II: Auditor Independence","subControls":"","weight":0,"title":"(Sec. 202) Mandates: (1) preapproval by the audit committee of the issuer of all auditing and non-auditing services provided by an auditor; and (2) disclosure of such preapproval in periodic reports to investors.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 202"},{"id":22726,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"232480d1-b806-4ffd-a790-f6e17c24c732","family":"Title II: Auditor Independence","subControls":"","weight":0,"title":"(Sec. 203) Mandates: (1) audit partner rotation on a five-year basis; and (2) auditor reports to audit committees of the issuer.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 203"},{"id":22727,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) critical accounting policies and practices used in the audit; (2) alternative treatments and their ramifications within generally accepted accounting principles that have been discussed with management officials; (3) the treatment preferred by the auditor; and (4) material written communications between the auditor and senior management.<br></p>","references":"","tenantsId":1,"uuid":"c25c35c0-172f-4482-bf19-133a6338ad1c","family":"Title II: Auditor Independence","subControls":"","weight":0,"title":"(Sec. 204) Requires an auditor to report timely to the audit committee","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 204"},{"id":22728,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"eddd8184-1f99-4f32-9df5-8656100bddba","family":"Title II: Auditor Independence","subControls":"","weight":0,"title":"(Sec. 206) Prohibits an auditor from performing audit services if the issuer's senior executives had been employed by such auditor and had participated in the audit of the issuer during the one-year period preceding the audit initiation date (conflict of interests).","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 206"},{"id":22729,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"de7192e5-2f8d-4879-b63f-f5b349c24802","family":"Title II: Auditor Independence","subControls":"","weight":0,"title":"(Sec. 207) Directs the Comptroller General (GAO) to report to Congress on the potential effects of mandatory rotation of registered public accounting firms (limiting the number of years such firms may remain auditor of record for a particular issuer).","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 207"},{"id":22730,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"e3ae92dd-e271-40fe-803d-f8886c735509","family":"Title II: Auditor Independence","subControls":"","weight":0,"title":"(Sec. 209) Declares that State regulatory authorities should determine independently the standards for supervising nonregistered public accounting firms and consider the size and nature of their clients' businesses audit.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 209"},{"id":22731,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) the report does not contain untrue statements or material omissions; (2) the financial statements fairly present, in all material respects, the financial condition and results of operations; and (3) such officers are responsible for internal controls designed to ensure that they receive material information regarding the issuer and consolidated subsidiaries.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Requires such senior corporate officers additionally to certify that they have disclosed to the auditors and audit committee of the board of directors; (1) significant internal control deficiencies; and (2) any fraud that involves staff who have a significant role in the issuer's internal controls.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">States that the rules governing corporate responsibility apply to issuers even if they have reincorporated or transferred their corporate domicile or offices from inside the United States to outside the United States.</p>","references":"","tenantsId":1,"uuid":"f49cdf5a-130b-4a96-9e5e-f7cc0588602a","family":"Title III: Corporate Responsibility","subControls":"","weight":0,"title":"(Sec. 302) Instructs the SEC to promulgate requirements that the principal executive officer and principal financial officer certify the following in periodic financial reports","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 302"},{"id":22732,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"b71b61d7-539d-4776-9515-957e5788fabe","family":"Title III: Corporate Responsibility","subControls":"","weight":0,"title":"(Sec. 303) Deems unlawful efforts by corporate personnel to exert improper influence upon an audit for the purpose of rendering financial statements materially misleading.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 303"},{"id":22733,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"4f8bece6-c519-4337-886f-ee462a29ad03","family":"Title III: Corporate Responsibility","subControls":"","weight":0,"title":"(Sec. 304) Requires the chief executive officer and chief financial officer to forfeit certain bonuses and compensation received following an accounting restatement that has been triggered by a violation of securities laws.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 304"},{"id":22734,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"18375c78-4e8e-4065-9e41-3b496668a14c","family":"Title III: Corporate Responsibility","subControls":"","weight":0,"title":"(Sec. 305) Amends the Securities Exchange Act of 1934 and the Securities Act of 1933 to authorize a Federal court to bar a violator of certain SEC rules from serving as an officer or director of an issuer if the person's conduct demonstrates unfitness to serve (the current standard is \"substantial unfitness\").","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 305"},{"id":22735,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Limits actions to recover profits to two years after the date on which such profits were realized.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Amends the Employee Retirement Income Security Act of 1974 (ERISA) to require a plan administrator to notify the following parties of an impending blackout period: (1) participants and beneficiaries in individual account plans; and (2) the issuer of any employer securities subject to such blackout period. Subjects a plan administrator to civil penalties for failure to notify.</p>","references":"","tenantsId":1,"uuid":"ee03ca6b-ece5-4bec-b060-0296cb73ed62","family":"Title III: Corporate Responsibility","subControls":"","weight":0,"title":"(Sec. 306) Prohibits insider trades during pension fund blackout periods if the equity security was acquired in connection with services as either a director, or employment as an executive officer. States that profits realized from such trades shall inure to and be recoverable by the issuer irrespective of the intent of the parties to the transaction.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 306"},{"id":22736,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"38fbd438-606e-4da3-bca0-8f243bcb7cb9","family":"Title III: Corporate Responsibility","subControls":"","weight":0,"title":"(Sec. 307) Directs the SEC to issue rules of professional responsibility for attorneys who practice before the Commission, including a rule requiring an attorney to report a material violation or breach of fiduciary duty to: (1) the chief legal counsel or chief executive officer of the company; and (2) the audit committee of the board of directors if such legal counsel or officer does not respond appropriately.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 307"},{"id":22737,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Instructs the SEC to report to Congress on previous procedural actions taken to obtain civil penalties or disgorgement in order to identify where such procedures may be used to provide restitution efficiently for injured investors.<br></p>","references":"","tenantsId":1,"uuid":"1d218db5-f819-469c-aa29-904f5ba68d3b","family":"Title III: Corporate Responsibility","subControls":"","weight":0,"title":"(Sec. 308) Allows civil penalties to be added to a disgorgement fund for the benefit of victims of securities violations if such penalties were obtained by the SEC in addition to an order for disgorgement.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 308"},{"id":22738,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"53154bf1-e944-4844-9cdb-19e5dafe709a","family":"Title IV: Enhanced Financial Disclosures","subControls":"","weight":0,"title":"(Sec. 401) Directs the SEC to report to Congress on: (1) the extent of off-balance sheet transactions and the use of special purpose entities; and (2) whether GAAP clearly conveys to investors the economics of off-balance sheet transactions; and (3) the extent to which special purpose entities are used to facilitate off-balance sheet transactions.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 401"},{"id":22739,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Permits certain loans if: (1) made in the ordinary course of the consumer credit business of the issuer; (2) of a type generally made available by the corporation to the public; and (3) made on market terms, or on terms that are no more favorable than those offered to the public.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Permits loans for: (1) home improvement and manufactured homes; (2) consumer credit; (3) an open end credit plan or a charge card; (4) credit extended by a broker or dealer for employee securities trades; and (5) made by an insured depository institution if they are subject to the insider lending restrictions of the Federal Reserve Act.</p>","references":"","tenantsId":1,"uuid":"3ac88580-47f6-4a6e-b5f4-7ec952ee6e77","family":"Title IV: Enhanced Financial Disclosures","subControls":"","weight":0,"title":"(Sec. 402) Prohibits personal loans extended by a corporation to its executives and directors.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 402"},{"id":22740,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Permits certain loans if: (1) made in the ordinary course of the consumer credit business of the issuer; (2) of a type generally made available by the corporation to the public; and (3) made on market terms, or on terms that are no more favorable than those offered to the public.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Permits loans for: (1) home improvement and manufactured homes; (2) consumer credit; (3) an open end credit plan or a charge card; (4) credit extended by a broker or dealer for employee securities trades; and (5) made by an insured depository institution if they are subject to the insider lending restrictions of the Federal Reserve Act.</p>","references":"","tenantsId":1,"uuid":"1753a6a3-d980-4dcd-84b0-54c064e415bc","family":"Title IV: Enhanced Financial Disclosures","subControls":"","weight":0,"title":"(Sec. 403) Requires senior management, directors, and principal stockholders to disclose changes in securities ownership or security-based swap agreements within two business days after such transactions were executed (currently ten days after the close of the calendar month). Mandates electronic filing and availability of such disclosures one year after the date of enactment of this Act.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 403"},{"id":22741,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"21e5def8-6fda-41c6-b8c0-60b86a303720","family":"Title IV: Enhanced Financial Disclosures","subControls":"","weight":0,"title":"(Sec. 404) Directs the SEC to require by rule that annual reports include an internal control report which: (1) avers management responsibility for maintaining adequate internal control mechanisms for financial reporting; and (2) evaluates the efficacy of such mechanisms. Requires the public accounting firm responsible for the audit report to attest to and report on the assessment made by the issuer.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 404"},{"id":22742,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"f39f1a2a-0a24-4658-bb39-37007a0ee114","family":"Title IV: Enhanced Financial Disclosures","subControls":"","weight":0,"title":"(Sec. 406) Directs the SEC to issue rules requiring an issuer to disclose whether it has adopted a code of ethics for its senior financial officers, including its principal financial officer or principal accounting officer.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 406"},{"id":22743,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"4da4d2de-439f-4bc0-a84a-1801ec509e3c","family":"Title IV: Enhanced Financial Disclosures","subControls":"","weight":0,"title":"(Sec. 407) Sets a deadline for the SEC to promulgate rules requiring an issuer to disclose whether its audit committee consists of at least one member who is a financial expert.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 407"},{"id":22744,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"0126500e-8163-4a86-867b-7ae8a2cb1508","family":"Title IV: Enhanced Financial Disclosures","subControls":"","weight":0,"title":"(Sec. 408) Mandates regular, systematic SEC review of periodic disclosures by issuers, including review of an issuer's financial statement.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 408"},{"id":22745,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Deems a registered public accounting firm to be engaged in \"improper professional conduct\" if the SEC finds \"intentional or knowing conduct, including reckless conduct, that results in a violation of applicable professional standards.\"<br></p>","references":"","tenantsId":1,"uuid":"c26306b7-7ac8-4062-ae0e-2b9ce3bed5ce","family":"Title VI: Commission Resources and Authority","subControls":"","weight":0,"title":"(Sec. 602) Authorizes the SEC to censure persons who appear and practice before the Commission if it finds: (1) the person has engaged in unethical or improper professional conduct; or (2) has willfully violated, or willfully aided and abetted violation of securities laws.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 602"},{"id":22746,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"60ac84d1-6998-4ab5-965f-b2e0c9d1400e","family":"Title VI: Commission Resources and Authority","subControls":"","weight":0,"title":"(Sec. 603) Amends the Securities Exchange Act of 1934 and the Securities Act of 1933 to authorize a Federal court to prohibit specified brokers, dealers, or issuers from participating in offerings of penny stock .","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 603"},{"id":22747,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"8808f97e-6ebb-4404-8277-c9844c98b720","family":"Title VI: Commission Resources and Authority","subControls":"","weight":0,"title":"(Sec. 604) Amends the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to authorize SEC censure or restriction of associated persons of brokers and dealers who are subject to a final order of State regulatory bodies that bars them from engaging in the business of securities, banking or insurance.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 604"},{"id":22748,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) their role in securities evaluation; (2) impediments to accurate appraisal by credit rating agencies of the resources and risks of issuers of securities; and (3) conflicts of interest in the operation of credit rating agencies and measures to prevent or ameliorate the consequences of such conflicts.<br></p>","references":"","tenantsId":1,"uuid":"cd5da807-2fdb-4934-943c-bb34d956b29e","family":"Title VII: Studies and Reports","subControls":"","weight":0,"title":"(Sec. 702) Directs the SEC to report to Congress on the role of credit rating agencies in the securities market","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 702"},{"id":22749,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) the number of securities professionals practicing before the Commission who have aided and abetted Federal securities violations but have not been penalized as a primary violator; (2) the occurrence of multiple violations by the same party; (3) whether disciplinary sanctions have been imposed upon each violator, including censure, suspension, temporary or permanent bar to practice before the Commission; and (4) the amount of disgorgement, restitution, or other fines collected from violators.<br></p>","references":"","tenantsId":1,"uuid":"61ce1516-857e-4dbf-a9e4-33c5f964461b","family":"Title VII: Studies and Reports","subControls":"","weight":0,"title":"(Sec. 703) Sets a deadline for the SEC to report to Congress","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 703"},{"id":22750,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"dec9ad4d-e759-4752-adeb-5cf1c1eae0bb","family":"Title VII: Studies and Reports","subControls":"","weight":0,"title":"(Sec. 704) Instructs the SEC to report to Congress on: (1) enforcement actions it has taken regarding violations of reporting requirements and restatements of financial statements; and (2) areas that are most susceptible to fraud, manipulation, or inappropriate earnings management, such as revenue recognition and the accounting treatment of off-balance sheet special purpose entities.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 704"},{"id":22751,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) the collapse of the Enron Corporation, (including derivatives transactions, special purpose vehicles, and other financial arrangements); (2) the failure of Global Crossing, (including swaps of fiberoptic cable capacity and transactions designed to obscure the company's true financial status); and (3) the creation and marketing of transactions designed solely to manipulate revenue, obtain loans, or move liabilities off balance sheets without altering the business risks faced by the companies.<br></p>","references":"","tenantsId":1,"uuid":"d54fe957-2eb5-4fa5-a64a-ce7ed333ef6a","family":"Title VII: Studies and Reports","subControls":"","weight":0,"title":"(Sec. 705) Directs GAO to report to Congress on whether investment banks and financial advisers assisted public companies in earnings manipulation and obfuscation of financial condition","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 705"},{"id":22752,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"f4b736b4-8aef-496c-9ab9-18715cb99e9a","family":"Title VIII: Corporate and Criminal Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 802) Directs the SEC to promulgate regulations governing the retention of documents relating to an audit or review. Establishes criminal penalties for knowing and willful violation of such promulgations.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 802"},{"id":22753,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"b2ebd325-2290-438c-8c3b-07880cd17460","family":"Title VIII: Corporate and Criminal Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 803) Amends Federal bankruptcy law to make non-dischargeable in bankruptcy certain debts incurred in violation of securities fraud laws.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 803"},{"id":22754,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"791743f4-4b8f-4066-a14c-dbc8b7433ea0","family":"Title VIII: Corporate and Criminal Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 804) Amends the Federal judicial code to permit a private right of action for a securities-fraud violation to be brought not later than: (1) two years after its discovery; or (2) five years after the date of the violation, whichever is earlier.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 804"},{"id":22755,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) activities proscribed by this Act; (2) fraud that endangers the financial security of a substantial number of victims; and (3) organizational criminal misconduct.<br></p>","references":"","tenantsId":1,"uuid":"f526ad4c-7a0b-455d-8318-71c3c49e3128","family":"Title VIII: Corporate and Criminal Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 805) Directs the United States Sentencing Commission to review the Federal Sentencing Guidelines governing obstruction of justice and extensive criminal fraud to ensure that they are sufficient to deter and punish","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 805"},{"id":22756,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) assist in an investigation of fraud or other conduct by Federal regulators, Congress, or supervisors; or (2) file or participate in a proceeding relating to fraud against shareholders.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Sets a 90-day statute of limitations for filing a civil action for retaliation.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Cites remedies for such aggrieved employee, including reinstatement, back pay, and compensatory damages.</p>","references":"","tenantsId":1,"uuid":"4f00948f-615c-46d7-920c-3b8b1d0ee7f1","family":"Title VIII: Corporate and Criminal Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 806) Amends Federal criminal law to prohibit a publicly traded company from retaliating against an employee because of any lawful act by the employee ","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 806"},{"id":22757,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"5e8511d1-652f-4963-9471-02898b4e70e6","family":"Title VIII: Corporate and Criminal Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 807) Subjects to a fine and imprisonment any person who knowingly defrauds shareholders of publicly traded companies.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 807"},{"id":22758,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A</p>","references":"","tenantsId":1,"uuid":"01c9dd44-f2f6-48d3-b812-a8fced6bac18","family":"Title IX: White-Collar Crime Penalty Enhancements","subControls":"","weight":0,"title":"(Sec. 904) Amends the ERISA to increase the criminal penalties for violations of such Act.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 904"},{"id":22759,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) ensure that they reflect the serious nature of the offenses and penalties set forth in this Act, the growing incidence of serious fraud offenses, and the need to deter and punish such offenses; and (2) consider whether a specific offense characteristic should be added in order to provide stronger penalties for fraud committed by a corporate officer or director.<br></p>","references":"","tenantsId":1,"uuid":"3294eea9-3aec-496a-8c96-7b03ea3f48a1","family":"Title IX: White-Collar Crime Penalty Enhancements","subControls":"","weight":0,"title":"(Sec. 905) Directs the United States Sentencing Commission to review Federal Sentencing Guidelines","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 905"},{"id":22760,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Establishes a criminal liability for failure of corporate officers to certify financial reports, including maximum imprisonment of: (1) ten years for certifying while knowing that the periodic report does not comport with this Act; and (2) twenty years for willfully certifying a statement knowing it does not comport with this Act.<br></p>","references":"","tenantsId":1,"uuid":"94ea0f90-a7e3-403b-82f8-f94bbfd3dc6d","family":"Title IX: White-Collar Crime Penalty Enhancements","subControls":"","weight":0,"title":"(Sec. 906) Amends Federal criminal law to require senior corporate officers to certify in writing that financial statements and attendant disclosures comply with SEC disclosure requirements and fairly present in all material aspects the operations and financial condition of the issuer (corporate responsibility for financial reports).","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 906"},{"id":22761,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"3db088b1-f522-4108-ac4c-3c65d1b0acba","family":"Title XI: Corporate Fraud Accountability","subControls":"","weight":0,"title":"(Sec.1103) Amends the Securities Exchange Act of 1934 to authorize the SEC to seek a temporary injunction to freeze extraordinary payments earmarked for designated persons or corporate staff under investigation for possible violations of Federal securities laws.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 1103"},{"id":22762,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">(1) promptly review sentencing guidelines for securities and accounting fraud; and (2) expeditiously consider promulgation of new sentencing guidelines to provide an enhancement for senior corporate officers who commit fraud and related offenses. Prescribes guidelines for Commission consideration, including a request that it ensure that the sentencing guidelines and policy statements reflect the serious nature of securities, pension, and accounting fraud and the need for aggressive law enforcement action to prevent such offenses. Sets a deadline for promulgation of such guidelines.<br></p>","references":"","tenantsId":1,"uuid":"3ff8a262-049b-47d1-8595-3ad3b46f5214","family":"Title XI: Corporate Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 1104) Requests the United States Sentencing Commission","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 1104"},{"id":22763,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"353b89c1-17bb-41e4-83bd-7000d6d33550","family":"Title XI: Corporate Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 1105) Amends the Securities Exchange Act of 1934 and the Securities Act of 1933 to authorize the SEC to prohibit a violator of rules governing manipulative, deceptive devices, and fraudulent interstate transactions, respectively, from serving as officer or director of a publicly traded corporation if the person's conduct demonstrates unfitness to serve.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 1105"},{"id":22764,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"59786c34-c449-4d14-af45-89a13df826cc","family":"Title XI: Corporate Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 1106) Amends the Securities Exchange Act of 1934 to increase criminal penalties for violations of the Act.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 1106"},{"id":22765,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">N/A<br></p>","references":"","tenantsId":1,"uuid":"84254647-e5da-4ad4-b316-da70118bf676","family":"Title XI: Corporate Fraud Accountability","subControls":"","weight":0,"title":"(Sec. 1107) Amends the Federal criminal law to establish criminal penalties for intentional retaliation against individuals who provide information to law enforcement officers relating to a Federal offense.","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Sec. 1107"},{"id":22766,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Establishes the Public Company Accounting Oversight Board (Board) to: (1) oversee the audit of public companies that are subject to the securities laws; (2) establish audit report standards and rules; and (3) inspect, investigate, and enforce compliance on the part of registered public accounting firms, their associated persons, and certified public accountants.<br></p>","references":"","tenantsId":1,"uuid":"a802c0f8-57ea-4d92-bc79-f60a997394b4","family":"Title I: Public Company Accounting Oversight Board","subControls":"","weight":0,"title":"Title I: Public Company Accounting Oversight Board","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title I"},{"id":22767,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Amends the Securities Exchange Act of 1934 to prohibit an auditor from performing specified non-audit services contemporaneously with an audit (auditor independence). Requires preapproval by the audit committee of the issuer for those non-audit services that are not expressly forbidden by this Act.<br></p>","references":"","tenantsId":1,"uuid":"e3c00518-405f-4fc1-9405-e75625e4a07b","family":"Title II: Auditor Independence","subControls":"","weight":0,"title":"Title II: Auditor Independence","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title II"},{"id":22768,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Confers responsibility upon audit committees of public companies for the appointment, compensation, and oversight of any registered public accounting firm employed to perform audit services. Requires an audit committee member to be a member of the board of directors of the issuer, and to be otherwise independent.<br></p>","references":"","tenantsId":1,"uuid":"ac5cf9cb-e4c5-482e-be32-b8d104db4f9d","family":"Title III: Corporate Responsibility ","subControls":"","weight":0,"title":"Title III: Corporate Responsibility ","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title III"},{"id":22769,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Requires financial reports filed with the SEC to reflect all material correcting adjustments that have been identified by a registered public accounting firm in accordance with SEC rules and generally accepted accounting principles (GAAP).</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Instructs the SEC to require by rule: (1) disclosure of all material off-balance sheet transactions and relationships that may have a material effect upon the financial status of an issue and (2) the presentation of pro forma financial information in a manner that is not misleading and that is reconcilable with the financial condition of the issuer under GAAP.</p>","references":"","tenantsId":1,"uuid":"702e5639-1a48-4919-abb0-3e31a8f73c72","family":"Title IV: Enhanced Financial Disclosures","subControls":"","weight":0,"title":"Title IV: Enhanced Financial Disclosures","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title IV"},{"id":22770,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Requires the SEC to adopt rules governing securities analysts' potential conflicts of interest, including: (1) restricting the prepublication clearance or approval of research reports by persons either engaged in investment banking activities, or not directly responsible for investment research; (2) limiting the supervision and compensatory evaluation of securities analysts to officials who are not engaged in investment banking activities; (3) prohibiting a broker or dealer involved with investment banking activities from retaliating against a securities analyst as a result of an unfavorable research report that may adversely affect the investment banking relationship of the broker or dealer with the subject of the research report; and (4) establishing safeguards to assure that securities analysts are separated within the investment firm from the review, pressure, or oversight of those whose involvement in investment banking activities might potentially bias their judgment or supervision.</p><p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Directs the SEC to adopt rules requiring securities analysts and broker/dealers to disclose specified conflicts of interest.</p>","references":"","tenantsId":1,"uuid":"5a7a94c8-40b9-4e64-8fa1-91a7642813d8","family":"Title V: Analyst Conflicts of Interest","subControls":"","weight":0,"title":"Title V: Analyst Conflicts of Interest","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title V"},{"id":22771,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Authorizes appropriations for FY 2003 to the SEC for: (1) additional staff compensation; (2) enhanced oversight of auditors and audit services; and (3) additional professional staff for fraud prevention, risk management, market regulation, and investment management.<br></p>","references":"","tenantsId":1,"uuid":"fd9373e2-5cc0-4150-b27c-1113d21a80e7","family":"Title VI: Commission Resources and Authority","subControls":"","weight":0,"title":"Title VI: Commission Resources and Authority","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title VI"},{"id":22772,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Mandates a GAO report to Congress on: (1) the factors leading to the consolidation of public accounting firms and the subsequent reduction in the number of firms providing audit services to businesses subject to the securities laws; and (2) the impact of such consolidation upon the capital formation and securities markets.<br></p>","references":"","tenantsId":1,"uuid":"9120bad5-f785-4ea3-af08-b53ec9977332","family":"Title VII: Studies and Reports ","subControls":"","weight":0,"title":"Title VII: Studies and Reports ","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title VII"},{"id":22773,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Corporate and Criminal Fraud Accountability Act of 2002 - Amends Federal criminal law to impose criminal penalties for: (1) knowingly destroying, altering, concealing, or falsifying records with intent to obstruct or influence either a Federal investigation or a matter in bankruptcy; and (2) auditor failure to maintain for a five-year period all audit or review work papers pertaining to an issuer of securities.<br></p>","references":"","tenantsId":1,"uuid":"b72d31da-1906-4b4f-a704-1cab39911cc1","family":"Title VIII: Corporate and Criminal Fraud Accountability ","subControls":"","weight":0,"title":"Title VIII: Corporate and Criminal Fraud Accountability ","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title VIII"},{"id":22774,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">White-Collar Crime Penalty Enhancement Act of 2002 - Amends Federal criminal law to: (1) establish criminal penalties for attempt and conspiracy to commit criminal fraud offenses; and (2) increase criminal penalties for mail and wire fraud.<br></p>","references":"","tenantsId":1,"uuid":"0d743c3b-5fd1-430f-be28-0552b5204f4c","family":"Title IX: White-Collar Crime Penalty Enhancements","subControls":"","weight":0,"title":"Title IX: White-Collar Crime Penalty Enhancements","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title IX"},{"id":22775,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Expresses the sense of the Senate that the Federal income tax return of a corporation should be signed by its chief executive officer.<br></p>","references":"","tenantsId":1,"uuid":"4745392c-d00a-4ede-a6e1-e836507bde9d","family":"Title X: Corporate Tax Returns","subControls":"","weight":0,"title":"Title X: Corporate Tax Returns","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title X"},{"id":22776,"description":"<p style=\"margin-right: 0px; margin-bottom: 1.25rem; margin-left: 0px; color: rgb(51, 51, 51); font-family: Arial, Helvetica, sans-serif; font-size: 12px;\">Corporate Fraud Accountability Act of 2002 - Amends Federal criminal law to establish a maximum 20-year prison term for tampering with a record or otherwise impeding an official proceeding.<br></p>","references":"","tenantsId":1,"uuid":"439947b8-c040-4c91-b9f3-2489e1384063","family":"Title XI: Corporate Fraud Accountability","subControls":"","weight":0,"title":"Title XI: Corporate Fraud Accountability","enhancements":"","controlType":"Stand-Alone","relatedControls":"","catalogueID":95,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"Title XI"}]}}

sec_attestation/ssdf.json ADDED Viewed

	@@ -0,0 +1 @@

+ {"catalog":{"description":"This document describes a set of fundamental, sound practices for secure software development called the Secure Software Development Framework (SSDF). Organizations should integrate the SSDF throughout their existing software development practices, express their secure software development requirements to third-party suppliers using SSDF conventions, and acquire software that meets the practices described in the SSDF.","uuid":"7fea41d6-5067-4ebf-bd89-5d5ce4ee0eb6","datePublished":"2022-02-01T00:00:00","version":"1.0.0","master":false,"url":"https://csrc.nist.gov/publications/detail/sp/800-218/final","abstract":"Few software development life cycle (SDLC) models explicitly address software security in detail, so secure software development practices usually need to be added to each SDLC model to ensure that the software being developed is well-secured. This document recommends the Secure Software Development Framework (SSDF) - a core set of high-level secure software development practices that can be integrated into each SDLC implementation. Following these practices should help software producers reduce the number of vulnerabilities in released software, mitigate the potential impact of the exploitation of undetected or unaddressed vulnerabilities, and address the root causes of vulnerabilities to prevent future recurrences. Because the framework provides a common vocabulary for secure software development, software purchasers and consumers can also use it to foster communications with suppliers in acquisition processes and other management activities.","defaultName":"ssdf","title":"NIST SP 800-218 Secure Software Development Framework (SSDF) Version 1.1: Recommendations for Mitigating the Risk of Software Vulnerabilities","lastRevisionDate":"2024-01-29","regulationDatePublished":"2022-02-01","keywords":"secure software development; Secure Software Development Framework (SSDF); secure software development practices; software acquisition; software development; software development life cycle (SDLC); software security","securityControls":[{"description":"<strong>Examples</strong><br/>Example 1: Define policies for securing software development infrastructures and their components, including development endpoints, throughout the SDLC and maintaining that security.\nExample 2: Define policies for securing software development processes throughout the SDLC and maintaining that security, including for open-source and other third-party software components utilized by software being developed.\nExample 3: Review and update security requirements at least annually, or sooner if there are new requirements from internal or external sources, or a major security incident targeting software development infrastructure has occurred. \nExample 4: Educate affected individuals on impending changes to requirements.<br/><br/><strong>Practice</strong><br/>Define Security Requirements for Software Development (PO.1): Ensure that security requirements for software development are known at all times so that they can be taken into account throughout the SDLC and duplication of effort can be minimized because the requirements information can be collected once and shared. This includes requirements from internal sources (e.g., the organization’s policies, business objectives, and risk management strategy) and external sources (e.g., applicable laws and regulations).","references":"BSAFSS: SM.3, DE.1, IA.1, IA.2 \nBSIMM: CP1.1, CP1.3, SR1.1, SR2.2, SE1.2, SE2.6\nEO14028: 4e(ix)\nIEC62443: SM-7, SM-9\nNISTCSF: ID.GV-3\nOWASPASVS: 1.1.1\nOWASPMASVS: 1.10\nOWASPSAMM: PC1-A, PC1-B, PC2-A\nPCISSLC: 2.1, 2.2\nSCFPSSD: Planning the Implementation and Deployment of Secure Development Practices\nSP80053: SA-1, SA-8, SA-15, SR-3\nSP800160: 3.1.2, 3.2.1, 3.2.2, 3.3.1, 3.4.2, 3.4.3\nSP800161: SA-1, SA-8, SA-15, SR-3\nSP800181: T0414; K0003, K0039, K0044, K0157, K0168, K0177, K0211, K0260, K0261, K0262, K0524; S0010, S0357, S0368; A0033, A0123, A0151","uuid":"4d7b5a5a-7cda-4c6f-9e86-43fbb1c817d6","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.1.1: Identify and document all security requirements for the organization’s software development infrastructures and processes, and maintain the requirements over time.","sortId":"PO.1.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.1.1"},{"description":"<strong>Examples</strong><br/>Example 1: Define policies that specify risk-based software architecture and design requirements, such as making code modular to facilitate code reuse and updates; isolating security components from other components during execution; avoiding undocumented commands and settings; and providing features that will aid software acquirers with the secure deployment, operation, and maintenance of the software.\nExample 2: Define policies that specify the security requirements for the organization’s software, and verify compliance at key points in the SDLC (e.g., classes of software flaws verified by gates, responses to vulnerabilities discovered in released software).\nExample 3: Analyze the risk of applicable technology stacks (e.g., languages, environments, deployment models), and recommend or require the use of stacks that will reduce risk compared to others.\nExample 4: Define policies that specify what needs to be archived for each software release (e.g., code, package files, third-party libraries, documentation, data inventory) and how long it needs to be retained based on the SDLC model, software end-of-life, and other factors. \nExample 5: Ensure that policies cover the entire software life cycle, including notifying users of the impending end of software support and the date of software end-of-life.\nExample 6: Review all security requirements at least annually, or sooner if there are new requirements from internal or external sources, a major vulnerability is discovered in released software, or a major security incident targeting organization-developed software has occurred. \nExample 7: Establish and follow processes for handling requirement exception requests, including periodic reviews of all approved exceptions.<br/><br/><strong>Practice</strong><br/>Define Security Requirements for Software Development (PO.1): Ensure that security requirements for software development are known at all times so that they can be taken into account throughout the SDLC and duplication of effort can be minimized because the requirements information can be collected once and shared. This includes requirements from internal sources (e.g., the organization’s policies, business objectives, and risk management strategy) and external sources (e.g., applicable laws and regulations).","references":"BSAFSS: SC.1-1, SC.2, PD.1-1, PD.1-2, PD.1-3, PD.2-2, SI, PA, CS, AA, LO, EE\nBSIMM: SM1.1, SM1.4, SM2.2, CP1.1, CP1.2, CP1.3, CP2.1, CP2.3, AM1.2, SFD1.1, SFD2.1, SFD3.2, SR1.1, SR1.3, SR2.2, SR3.3, SR3.4\nEO14028: 4e(ix)\nIEC62443: SR-3, SR-4, SR-5, SD-4\nISO27034: 7.3.2\nMSSDL: 2, 5\nNISTCSF: ID.GV-3\nOWASPMASVS: 1.12\nOWASPSAMM: PC1-A, PC1-B, PC2-A, PC3-A, SR1-A, SR1-B, SR2-B, SA1-B, IR1-A\nPCISSLC: 2.1, 2.2, 2.3, 3.3\nSCFPSSD: Establish Coding Standards and Conventions\nSP80053: SA-8, SA-8(3), SA-15, SR-3\nSP800160: 3.1.2, 3.2.1, 3.3.1\nSP800161: SA-8, SA-15, SR-3\nSP800181: T0414; K0003, K0039, K0044, K0157, K0168, K0177, K0211, K0260, K0261, K0262, K0524; S0010, S0357, S0368; A0033, A0123, A0151","uuid":"157940e8-2d31-463f-a404-bc05ef892a0b","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.1.2: Identify and document all security requirements for organization-developed software to meet, and maintain the requirements over time.","sortId":"PO.1.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.1.2"},{"description":"<strong>Examples</strong><br/>Example 1: Define a core set of security requirements for software components, and include it in acquisition documents, software contracts, and other agreements with third parties.\nExample 2: Define security-related criteria for selecting software; the criteria can include the third party’s vulnerability disclosure program and product security incident response capabilities or the third party’s adherence to organization-defined practices.\nExample 3: Require third parties to attest that their software complies with the organization’s security requirements.\nExample 4: Require third parties to provide provenance data and integrity verification mechanisms for all components of their software.\nExample 5: Establish and follow processes to address risk when there are security requirements that third-party software components to be acquired do not meet; this should include periodic reviews of all approved exceptions to requirements.<br/><br/><strong>Practice</strong><br/>Define Security Requirements for Software Development (PO.1): Ensure that security requirements for software development are known at all times so that they can be taken into account throughout the SDLC and duplication of effort can be minimized because the requirements information can be collected once and shared. This includes requirements from internal sources (e.g., the organization’s policies, business objectives, and risk management strategy) and external sources (e.g., applicable laws and regulations).","references":"BSAFSS: SM.1, SM.2, SM.2-1, SM.2-4\nBSIMM: CP2.4, CP3.2, SR2.5, SR3.2\nEO14028: 4e(vi), 4e(ix)\nIDASOAR: 19, 21\nIEC62443: SM-9, SM-10\nMSSDL: 7\nNISTCSF: ID.SC-3\nOWASPSAMM: SR3-A\nSCAGILE: Tasks Requiring the Help of Security Experts 8\nSCFPSSD: Manage Security Risk Inherent in the Use of Third-Party Components\nSCSIC: Vendor Sourcing Integrity Controls\nSP80053: SA-4, SA-9, SA-10, SA-10(1), SA-15, SR-3, SR-4, SR-5\nSP800160: 3.1.1, 3.1.2\nSP800161: SA-4, SA-9, SA-9(1), SA-9(3), SA-10, SA-10(1), SA-15, SR-3, SR-4, SR-5\nSP800181: T0203, T0415; K0039; S0374; A0056, A0161","uuid":"ad215e39-751f-4853-990b-8448128a92b2","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.1.3: Communicate requirements to all third parties who will provide commercial software components to the organization for reuse by the organization’s own software. [Formerly PW.3.1]","sortId":"PO.1.3","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.1.3"},{"description":"<strong>Examples</strong><br/>Example 1: Define SDLC-related roles and responsibilities for all members of the software development team.\nExample 2: Integrate the security roles into the software development team.\nExample 3: Define roles and responsibilities for cybersecurity staff, security champions, project managers and leads, senior management, software developers, software testers, software assurance leads and staff, product owners, operations and platform engineers, and others involved in the SDLC.\nExample 4: Conduct an annual review of all roles and responsibilities.\nExample 5: Educate affected individuals on impending changes to roles and responsibilities, and confirm that the individuals understand the changes and agree to follow them.\nExample 6: Implement and use tools and processes to promote communication and engagement among individuals with SDLC-related roles and responsibilities, such as creating messaging channels for team discussions.\nExample 7: Designate a group of individuals or a team as the code owner for each project.<br/><br/><strong>Practice</strong><br/>Implement Roles and Responsibilities (PO.2): Ensure that everyone inside and outside of the organization involved in the SDLC is prepared to perform their SDLC-related roles and responsibilities throughout the SDLC.","references":"BSAFSS: PD.2-1, PD.2-2\nBSIMM: SM1.1, SM2.3, SM2.7, CR1.7\nEO14028: 4e(ix)\nIEC62443: SM-2, SM-13\nNISTCSF: ID.AM-6, ID.GV-2\nPCISSLC: 1.2\nSCSIC: Vendor Software Development Integrity Controls\nSP80053: SA-3\nSP800160: 3.2.1, 3.2.4, 3.3.1\nSP800161: SA-3\nSP800181: K0233","uuid":"b0de80f2-970b-489e-9bff-b3aa81c29c57","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.2.1: Create new roles and alter responsibilities for existing roles as needed to encompass all parts of the SDLC. Periodically review and maintain the defined roles and responsibilities, updating them as needed.","sortId":"PO.2.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.2.1"},{"description":"<strong>Examples</strong><br/>Example 1: Document the desired outcomes of training for each role.\nExample 2: Define the type of training or curriculum required to achieve the desired outcome for each role.\nExample 3: Create a training plan for each role.\nExample 4: Acquire or create training for each role; acquired training may need to be customized for the organization.\nExample 5: Measure outcome performance to identify areas where changes to training may be beneficial.<br/><br/><strong>Practice</strong><br/>Implement Roles and Responsibilities (PO.2): Ensure that everyone inside and outside of the organization involved in the SDLC is prepared to perform their SDLC-related roles and responsibilities throughout the SDLC.","references":"BSAFSS: PD.2-2\nBSIMM: T1.1, T1.7, T1.8, T2.5, T2.8, T2.9, T3.1, T3.2, T3.4\nEO14028: 4e(ix)\nIEC62443: SM-4\nMSSDL: 1\nNISTCSF: PR.AT\nOWASPSAMM: EG1-A, EG2-A\nPCISSLC: 1.3\nSCAGILE: Operational Security Tasks 14, 15; Tasks Requiring the Help of Security Experts 1\nSCFPSSD: Planning the Implementation and Deployment of Secure Development Practices\nSCSIC: Vendor Software Development Integrity Controls\nSP80053: SA-8\nSP800160: 3.2.4, 3.2.6\nSP800161: SA-8\nSP800181: OV-TEA-001, OV-TEA-002; T0030, T0073, T0320; K0204, K0208, K0220, K0226, K0243, K0245, K0252; S0100, S0101; A0004, A0057","uuid":"fe1ed16d-85d6-4e53-9481-bf44afe5d6ad","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.2.2: Provide role-based training for all personnel with responsibilities that contribute to secure development. Periodically review personnel proficiency and role-based training, and update the training as needed.","sortId":"PO.2.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.2.2"},{"description":"<strong>Examples</strong><br/>Example 1: Appoint a single leader or leadership team to be responsible for the entire secure software development process, including being accountable for releasing software to production and delegating responsibilities as appropriate.\nExample 2: Increase authorizing officials’ awareness of the risks of developing software without integrating security throughout the development life cycle and the risk mitigation provided by secure development practices.\nExample 3: Assist upper management in incorporating secure development support into their communications with personnel with development-related roles and responsibilities.\nExample 4: Educate all personnel with development-related roles and responsibilities on upper management’s commitment to secure development and the importance of secure development to the organization.<br/><br/><strong>Practice</strong><br/>Implement Roles and Responsibilities (PO.2): Ensure that everyone inside and outside of the organization involved in the SDLC is prepared to perform their SDLC-related roles and responsibilities throughout the SDLC.","references":"BSIMM: SM1.3, SM2.7, CP2.5\nEO14028: 4e(ix)\nNISTCSF: ID.RM-1, ID.SC-1\nOWASPSAMM: SM1.A\nPCISSLC: 1.1\nSP800181: T0001, T0004","uuid":"88c64c8a-c36f-491b-b5e3-aefdb00333ce","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.2.3: Obtain upper management or authorizing official commitment to secure development, and convey that commitment to all with development-related roles and responsibilities.","sortId":"PO.2.3","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.2.3"},{"description":"<strong>Examples</strong><br/>Example 1: Define categories of toolchains, and specify the mandatory tools or tool types to be used for each category.\nExample 2: Identify security tools to integrate into the developer toolchain.\nExample 3: Define what information is to be passed between tools and what data formats are to be used.\nExample 4: Evaluate tools’ signing capabilities to create immutable records/logs for auditability within the toolchain.\nExample 5: Use automated technology for toolchain management and orchestration.<br/><br/><strong>Practice</strong><br/>Implement Supporting Toolchains (PO.3): Use automation to reduce human effort and improve the accuracy, reproducibility, usability, and comprehensiveness of security practices throughout the SDLC, as well as provide a way to document and demonstrate the use of these practices. Toolchains and tools may be used at different levels of the organization, such as organization-wide or project-specific, and may address a particular part of the SDLC, like a build pipeline.","references":"BSIMM: CR1.4, ST1.4, ST2.5, SE2.7\nCNCFSSCP: Securing Materials—Verification; Securing Build Pipelines—Verification, Automation, Secure Authentication/Access; Securing Artefacts—Verification; Securing Deployments—Verification \nEO14028: 4e(iii), 4e(ix)\nMSSDL: 8\nOWASPSAMM: IR2-B, ST2-B\nSCAGILE: Tasks Requiring the Help of Security Experts 9\nSCSIC: Vendor Software Delivery Integrity Controls\nSP80053: SA-15\nSP800161: SA-15\nSP800181: K0013, K0178","uuid":"3a907a38-9e41-48d3-b75b-c11fd43b4c98","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.3.1: Specify which tools or tool types must or should be included in each toolchain to mitigate identified risks, as well as how the toolchain components are to be integrated with each other.","sortId":"PO.3.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.3.1"},{"description":"<strong>Examples</strong><br/>Example 1: Evaluate, select, and acquire tools, and assess the security of each tool.\nExample 2: Integrate tools with other tools and existing software development processes and workflows.\nExample 3: Use code-based configuration for toolchains (e.g., pipelines-as-code, toolchains-as-code).\nExample 4: Implement the technologies and processes needed for reproducible builds.\nExample 5: Update, upgrade, or replace tools as needed to address tool vulnerabilities or add new tool capabilities.\nExample 6: Continuously monitor tools and tool logs for potential operational and security issues, including policy violations and anomalous behavior.\nExample 7: Regularly verify the integrity and check the provenance of each tool to identify potential problems.\nExample 8: See PW.6 regarding compiler, interpreter, and build tools.\nExample 9: See PO.5 regarding implementing and maintaining secure environments.<br/><br/><strong>Practice</strong><br/>Implement Supporting Toolchains (PO.3): Use automation to reduce human effort and improve the accuracy, reproducibility, usability, and comprehensiveness of security practices throughout the SDLC, as well as provide a way to document and demonstrate the use of these practices. Toolchains and tools may be used at different levels of the organization, such as organization-wide or project-specific, and may address a particular part of the SDLC, like a build pipeline.","references":"BSAFSS: DE.2\nBSIMM: SR1.1, SR1.3, SR3.4\nCNCFSSCP: Securing Build Pipelines—Verification, Automation, Controlled Environments, Secure Authentication/Access; Securing Artefacts—Verification, Automation, Controlled Environments, Encryption; Securing Deployments—Verification, Automation\nEO14028: 4e(i)(F), 4e(ii), 4e(iii), 4e(v), 4e(vi), 4e(ix)\nIEC62443: SM-7\nIR8397: 2.2\nOWASPASVS: 1.14.3, 1.14.4, 14.1, 14.2\nOWASPMASVS: 7.9\nOWASPSCVS: 3, 5\nSCAGILE: Tasks Requiring the Help of Security Experts 9\nSCFPSSD: Use Current Compiler and Toolchain Versions and Secure Compiler Options\nSCSIC: Vendor Software Delivery Integrity Controls\nSP80053: SA-15\nSP800161: SA-15\nSP800181: K0013, K0178","uuid":"001ec5df-1102-4af4-a62a-01464b45ef14","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.3.2: Follow recommended security practices to deploy, operate, and maintain tools and toolchains.","sortId":"PO.3.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.3.2"},{"description":"<strong>Examples</strong><br/>Example 1: Use existing tooling (e.g., workflow tracking, issue tracking, value stream mapping) to create an audit trail of the secure development-related actions that are performed for continuous improvement purposes.\nExample 2: Determine how often the collected information should be audited, and implement the necessary processes.\nExample 3: Establish and enforce security and retention policies for artifact data.\nExample 4: Assign responsibility for creating any needed artifacts that tools cannot generate.<br/><br/><strong>Practice</strong><br/>Implement Supporting Toolchains (PO.3): Use automation to reduce human effort and improve the accuracy, reproducibility, usability, and comprehensiveness of security practices throughout the SDLC, as well as provide a way to document and demonstrate the use of these practices. Toolchains and tools may be used at different levels of the organization, such as organization-wide or project-specific, and may address a particular part of the SDLC, like a build pipeline.","references":"BSAFSS: PD.1-5\nBSIMM: SM1.4, SM3.4, SR1.3\nCNCFSSCP: Securing Build Pipelines—Verification, Automation, Controlled Environments; Securing Artefacts—Verification\nEO14028: 4e(i)(F), 4e(ii), 4e(v), 4e(ix)\nIEC62443: SM-12, SI-2\nMSSDL: 8\nOWASPSAMM: PC3-B\nOWASPSCVS: 3.13, 3.14\nPCISSLC: 2.5\nSCAGILE: Tasks Requiring the Help of Security Experts 9\nSCSIC: Vendor Software Delivery Integrity Controls\nSP80053: SA-15\nSP800161: SA-15\nSP800181: K0013; T0024","uuid":"27771678-b383-45e5-a2bc-4893fa464808","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.3.3: Configure tools to generate artifacts of their support of secure software development practices as defined by the organization.","sortId":"PO.3.3","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.3.3"},{"description":"<strong>Examples</strong><br/>Example 1: Ensure that the criteria adequately indicate how effectively security risk is being managed.\nExample 2: Define key performance indicators (KPIs), key risk indicators (KRIs), vulnerability severity scores, and other measures for software security.\nExample 3: Add software security criteria to existing checks (e.g., the Definition of Done in agile SDLC methodologies).\nExample 4: Review the artifacts generated as part of the software development workflow system to determine if they meet the criteria. \nExample 5: Record security check approvals, rejections, and exception requests as part of the workflow and tracking system.\nExample 6: Analyze collected data in the context of the security successes and failures of each development project, and use the results to improve the SDLC.<br/><br/><strong>Practice</strong><br/>Define and Use Criteria for Software Security Checks (PO.4): Help ensure that the software resulting from the SDLC meets the organization’s expectations by defining and using criteria for checking the software’s security during development.","references":"BSAFSS: TV.2-1, TV.5-1\nBSIMM: SM1.4, SM2.1, SM2.2, SM2.6, SM3.3, CP2.2\nEO14028: 4e(iv), 4e(v), 4e(ix)\nIEC62443: SI-1, SI-2, SVV-3\nISO27034: 7.3.5\nMSSDL: 3\nOWASPSAMM: PC3-A, DR3-B, IR3-B, ST3-B\nPCISSLC: 3.3\nSP80053: SA-15, SA-15(1)\nSP800160: 3.2.1, 3.2.5, 3.3.1\nSP800161: SA-15, SA-15(1)\nSP800181: K0153, K0165","uuid":"90d6dd92-d790-400b-97c8-f4db75e4bda8","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.4.1: Define criteria for software security checks and track throughout the SDLC.","sortId":"PO.4.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.4.1"},{"description":"<strong>Examples</strong><br/>Example 1: Use the toolchain to automatically gather information that informs security decision-making.\nExample 2: Deploy additional tools if needed to support the generation and collection of information supporting the criteria.\nExample 3: Automate decision-making processes utilizing the criteria, and periodically review these processes.\nExample 4: Only allow authorized personnel to access the gathered information, and prevent any alteration or deletion of the information.<br/><br/><strong>Practice</strong><br/>Define and Use Criteria for Software Security Checks (PO.4): Help ensure that the software resulting from the SDLC meets the organization’s expectations by defining and using criteria for checking the software’s security during development.","references":"BSAFSS: PD.1-4, PD.1-5\nBSIMM: SM1.4, SM2.1, SM2.2, SM3.4\nEO14028: 4e(iv), 4e(v), 4e(ix)\nIEC62443: SI-1, SVV-1, SVV-2, SVV-3, SVV-4\nOWASPSAMM: PC3-B\nPCISSLC: 2.5\nSCSIC: Vendor Software Delivery Integrity Controls\nSP80053: SA-15, SA-15(1), SA-15(11)\nSP800160: 3.2.5, 3.3.7\nSP800161: SA-15, SA-15(1), SA-15(11)\nSP800181: T0349; K0153","uuid":"55d61f6a-d2c7-47f8-94ac-c966ebb0c4ae","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.4.2: Implement processes, mechanisms, etc. to gather and safeguard the necessary information in support of the criteria.","sortId":"PO.4.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.4.2"},{"description":"<strong>Examples</strong><br/>Example 1: Use multi-factor, risk-based authentication and conditional access for each environment.\nExample 2: Use network segmentation and access controls to separate the environments from each other and from production environments, and to separate components from each other within each non-production environment, in order to reduce attack surfaces and attackers’ lateral movement and privilege/access escalation.\nExample 3: Enforce authentication and tightly restrict connections entering and exiting each software development environment, including minimizing access to the internet to only what is necessary.\nExample 4: Minimize direct human access to toolchain systems, such as build services. Continuously monitor and audit all access attempts and all use of privileged access.\nExample 5: Minimize the use of production-environment software and services from non-production environments.\nExample 6: Regularly log, monitor, and audit trust relationships for authorization and access between the environments and between the components within each environment.\nExample 7: Continuously log and monitor operations and alerts across all components of the development environment to detect, respond, and recover from attempted and actual cyber incidents.\nExample 8: Configure security controls and other tools involved in separating and protecting the environments to generate artifacts for their activities.\nExample 9: Continuously monitor all software deployed in each environment for new vulnerabilities, and respond to vulnerabilities appropriately following a risk-based approach.\nExample 10: Configure and implement measures to secure the environments’ hosting infrastructures following a zero trust architecture.<br/><br/><strong>Practice</strong><br/>Implement and Maintain Secure Environments for Software Development (PO.5): Ensure that all components of the environments for software development are strongly protected from internal and external threats to prevent compromises of the environments or the software being developed or maintained within them. Examples of environments for software development include development, build, test, and distribution environments.","references":"BSAFSS: DE.1, IA.1, IA.2\nCNCFSSCP: Securing Build Pipelines—Controlled Environments\nEO14028: 4e(i)(A), 4e(i)(B), 4e(i)(C), 4e(i)(D), 4e(i)(F), 4e(ii), 4e(iii), 4e(v), 4e(vi), 4e(ix)\nIEC62443: SM-7\nNISTCSF: PR.AC-5, PR.DS-7\nSCAGILE: Tasks Requiring the Help of Security Experts 11\nSCSIC: Vendor Software Delivery Integrity Controls\nSP80053: SA-3(1), SA-8, SA-15\nSP800161: SA-3, SA-8, SA-15\nSP800181: OM-NET-001, SP-SYS-001; T0019, T0023, T0144, T0160, T0262, T0438, T0484, T0485, T0553; K0001, K0005, K0007, K0033, K0049, K0056, K0061, K0071, K0104, K0112, K0179, K0326, K0487; S0007, S0084, S0121; A0048","uuid":"e0c097ea-f5fd-43b9-ab19-0e3344661541","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.5.1: Separate and protect each environment involved in software development.","sortId":"PO.5.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.5.1"},{"description":"<strong>Examples</strong><br/>Example 1: Configure each development endpoint based on approved hardening guides, checklists, etc.; for example, enable FIPS-compliant encryption of all sensitive data at rest and in transit.\nExample 2: Configure each development endpoint and the development resources to provide the least functionality needed by users and services and to enforce the principle of least privilege.\nExample 3: Continuously monitor the security posture of all development endpoints, including monitoring and auditing all use of privileged access.\nExample 4: Configure security controls and other tools involved in securing and hardening development endpoints to generate artifacts for their activities.\nExample 5: Require multi-factor authentication for all access to development endpoints and development resources.\nExample 6: Provide dedicated development endpoints on non-production networks for performing all development-related tasks. Provide separate endpoints on production networks for all other tasks.\nExample 7: Configure each development endpoint following a zero trust architecture.<br/><br/><strong>Practice</strong><br/>Implement and Maintain Secure Environments for Software Development (PO.5): Ensure that all components of the environments for software development are strongly protected from internal and external threats to prevent compromises of the environments or the software being developed or maintained within them. Examples of environments for software development include development, build, test, and distribution environments.","references":"BSAFSS: DE.1-1, IA.1, IA.2\nEO14028: 4e(i)(C), 4e(i)(E), 4e(i)(F), 4e(ii), 4e(iii), 4e(v), 4e(vi), 4e(ix)\nIEC62443: SM-7\nNISTCSF: PR.AC-4, PR.AC-7, PR.IP-1, PR.IP-3, PR.IP-12, PR.PT-1, PR.PT-3, DE.CM\nSCAGILE: Tasks Requiring the Help of Security Experts 11\nSCSIC: Vendor Software Delivery Integrity Controls\nSP80053: SA-15\nSP800161: SA-15\nSP800181: OM-ADM-001, SP-SYS-001; T0484, T0485, T0489, T0553; K0005, K0007, K0077, K0088, K0130, K0167, K0205, K0275; S0076, S0097, S0121, S0158; A0155","uuid":"4d2f9017-d425-4a61-bb92-9da1526a3dcc","family":"Prepare the Organization (PO)","subControls":"","weight":0,"title":"PO.5.2: Secure and harden development endpoints (i.e., endpoints for software designers, developers, testers, builders, etc.) to perform development-related tasks using a risk-based approach.","sortId":"PO.5.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PO.5.2"},{"description":"<strong>Examples</strong><br/>Example 1: Store all source code and configuration-as-code in a code repository, and restrict access to it based on the nature of the code. For example, open-source code intended for public access may need its integrity and availability protected; other code may also need its confidentiality protected.\nExample 2: Use version control features of the repository to track all changes made to the code with accountability to the individual account.\nExample 3: Use commit signing for code repositories.\nExample 4: Have the code owner review and approve all changes made to the code by others.\nExample 5: Use code signing to help protect the integrity of executables.\nExample 6: Use cryptography (e.g., cryptographic hashes) to help protect file integrity.<br/><br/><strong>Practice</strong><br/>Protect All Forms of Code from Unauthorized Access and Tampering (PS.1): Help prevent unauthorized changes to code, both inadvertent and intentional, which could circumvent or negate the intended security characteristics of the software. For code that is not intended to be publicly accessible, this helps prevent theft of the software and may make it more difficult or time-consuming for attackers to find vulnerabilities in the software.","references":"BSAFSS: IA.1, IA.2, SM.4-1, DE.1-2\nBSIMM: SE2.4\nCNCFSSCP: Securing the Source Code—Verification, Automation, Controlled Environments, Secure Authentication; Securing Materials—Automation\nEO14028: 4e(iii), 4e(iv), 4e(ix)\nIDASOAR: Fact Sheet 25\nIEC62443: SM-6, SM-7, SM-8\nNISTCSF: PR.AC-4, PR.DS-6, PR.IP-3\nOWASPASVS: 1.10, 10.3.2\nOWASPMASVS: 7.1\nOWASPSAMM: OE3-B\nPCISSLC: 5.1, 6.1\nSCSIC: Vendor Software Delivery Integrity Controls, Vendor Software Development Integrity Controls\nSP80053: SA-10\nSP800161: SA-8, SA-10","uuid":"5c009cf8-7c71-4c1b-8f19-218d170bbf9c","family":"Protect the Software (PS)","subControls":"","weight":0,"title":"PS.1.1: Store all forms of code – including source code, executable code, and configuration-as-code – based on the principle of least privilege so that only authorized personnel, tools, services, etc. have access.","sortId":"PS.1.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PS.1.1"},{"description":"<strong>Examples</strong><br/>Example 1: Post cryptographic hashes for release files on a well-secured website.\nExample 2: Use an established certificate authority for code signing so that consumers’ operating systems or other tools and services can confirm the validity of signatures before use.\nExample 3: Periodically review the code signing processes, including certificate renewal, rotation, revocation, and protection.<br/><br/><strong>Practice</strong><br/>Provide a Mechanism for Verifying Software Release Integrity (PS.2): Help software acquirers ensure that the software they acquire is legitimate and has not been tampered with.","references":"BSAFSS: SM.4, SM.5, SM.6\nBSIMM: SE2.4\nCNCFSSCP: Securing Deployments—Verification\nEO14028: 4e(iii), 4e(ix), 4e(x)\nIEC62443: SM-6, SM-8, SUM-4\nNISTCSF: PR.DS-6\nNISTLABEL: 2.2.2.4\nOWASPSAMM: OE3-B\nOWASPSCVS: 4\nPCISSLC: 6.1, 6.2\nSCSIC: Vendor Software Delivery Integrity Controls\nSP80053: SA-8\nSP800161: SA-8\nSP800181: K0178","uuid":"34944430-b6a4-4c16-9823-4c749e85340c","family":"Protect the Software (PS)","subControls":"","weight":0,"title":"PS.2.1: Make software integrity verification information available to software acquirers.","sortId":"PS.2.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PS.2.1"},{"description":"<strong>Examples</strong><br/>Example 1: Store the release files, associated images, etc. in repositories following the organization’s established policy. Allow read-only access to them by necessary personnel and no access by anyone else.\nExample 2: Store and protect release integrity verification information and provenance data, such as by keeping it in a separate location from the release files or by signing the data.<br/><br/><strong>Practice</strong><br/>Archive and Protect Each Software Release (PS.3): Preserve software releases in order to help identify, analyze, and eliminate vulnerabilities discovered in the software after release.","references":"BSAFSS: PD.1-5, DE.1-2, IA.2\nCNCFSSCP: Securing Artefacts—Automation, Controlled Environments, Encryption; Securing Deployments—Verification \nEO14028: 4e(iii), 4e(vi), 4e(ix), 4e(x)\nIDASOAR: 25\nIEC62443: SM-6, SM-7\nNISTCSF: PR.IP-4\nOWASPSCVS: 1, 3.18, 3.19, 6.3\nPCISSLC: 5.2, 6.1, 6.2\nSCSIC: Vendor Software Delivery Integrity Controls\nSP80053: SA-10, SA-15, SA-15(11), SR-4\nSP800161: SA-8, SA-10, SA-15(11), SR-4","uuid":"ac8b8c4c-c9ee-49a7-909b-b6d0f3cc405f","family":"Protect the Software (PS)","subControls":"","weight":0,"title":"PS.3.1: Securely archive the necessary files and supporting data (e.g., integrity verification information, provenance data) to be retained for each software release.","sortId":"PS.3.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PS.3.1"},{"description":"<strong>Examples</strong><br/>Example 1: Make the provenance data available to software acquirers in accordance with the organization’s policies, preferably using standards-based formats.\nExample 2: Make the provenance data available to the organization’s operations and response teams to aid them in mitigating software vulnerabilities.\nExample 3: Protect the integrity of provenance data, and provide a way for recipients to verify provenance data integrity.\nExample 4: Update the provenance data every time any of the software’s components are updated.<br/><br/><strong>Practice</strong><br/>Archive and Protect Each Software Release (PS.3): Preserve software releases in order to help identify, analyze, and eliminate vulnerabilities discovered in the software after release.","references":"BSAFSS: SM.2\nBSIMM: SE3.6\nCNCFSSCP: Securing Materials—Verification, Automation\nEO14028: 4e(vi), 4e(vii), 4e(ix), 4e(x)\nNTIASBOM: All\nOWASPSCVS: 1.4, 2\nSCSIC: Vendor Software Delivery Integrity Controls\nSCTPC: MAINTAIN3\nSP80053: SA-8, SR-3, SR-4\nSP800161: SA-8, SR-3, SR-4","uuid":"3ac6b524-5516-4077-a971-b79a1222bfc7","family":"Protect the Software (PS)","subControls":"","weight":0,"title":"PS.3.2: Collect, safeguard, maintain, and share provenance data for all components of each software release (e.g., in a software bill of materials [SBOM]).","sortId":"PS.3.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PS.3.2"},{"description":"<strong>Examples</strong><br/>Example 1: Train the development team (security champions, in particular) or collaborate with a risk modeling expert to create models and analyze how to use a risk-based approach to communicate the risks and determine how to address them, including implementing mitigations.\nExample 2: Perform more rigorous assessments for high-risk areas, such as protecting sensitive data and safeguarding identification, authentication, and access control, including credential management.\nExample 3: Review vulnerability reports and statistics for previous software to inform the security risk assessment.\nExample 4: Use data classification methods to identify and characterize each type of data that the software will interact with.<br/><br/><strong>Practice</strong><br/>Design Software to Meet Security Requirements and Mitigate Security Risks (PW.1): Identify and evaluate the security requirements for the software; determine what security risks the software is likely to face during operation and how the software’s design and architecture should mitigate those risks; and justify any cases where risk-based analysis indicates that security requirements should be relaxed or waived. Addressing security requirements and risks during software design (secure by design) is key for improving software security and also helps improve development efficiency.","references":"BSAFSS: SC.1\nBSIMM: AM1.2, AM1.3, AM1.5, AM2.1, AM2.2, AM2.5, AM2.6, AM2.7, SFD2.2, AA1.1, AA1.2, AA1.3, AA2.1\nEO14028: 4e(ix)\nIDASOAR: 1\nIEC62443: SM-4, SR-1, SR-2, SD-1\nIR8397: 2.1\nISO27034: 7.3.3\nMSSDL: 4\nNISTCSF: ID.RA\nOWASPASVS: 1.1.2, 1.2, 1.4, 1.6, 1.8, 1.9, 1.11, 2, 3, 4, 6, 8, 9, 11, 12, 13\nOWASPMASVS: 1.6, 1.8, 2, 3, 4, 5, 6\nOWASPSAMM: TA1-A, TA1-B, TA3-B, DR1-A\nPCISSLC: 3.2, 3.3\nSCAGILE: Tasks Requiring the Help of Security Experts 3\nSCFPSSD: Threat Modeling\nSCTTM: Entire guide\nSP80053: SA-8, SA-11(2), SA-11(6), SA-15(5)\nSP800160: 3.3.4, 3.4.5\nSP800161: SA-8, SA-11(2), SA-11(6), SA-15(5)\nSP800181: T0038, T0062; K0005, K0009, K0038, K0039, K0070, K0080, K0119, K0147, K0149, K0151, K0152, K0160, K0161, K0162, K0165, K0297, K0310, K0344, K0362, K0487, K0624; S0006, S0009, S0022, S0078, S0171, S0229, S0248; A0092, A0093, A0107","uuid":"a7f5b1f8-e340-42cf-b6ad-9ebe890e9e7c","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.1.1: Use forms of risk modeling – such as threat modeling, attack modeling, or attack surface mapping – to help assess the security risk for the software.","sortId":"PW.1.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.1.1"},{"description":"<strong>Examples</strong><br/>Example 1: Record the response to each risk, including how mitigations are to be achieved and what the rationales are for any approved exceptions to the security requirements. Add any mitigations to the software’s security requirements.\nExample 2: Maintain records of design decisions, risk responses, and approved exceptions that can be used for auditing and maintenance purposes throughout the rest of the software life cycle.\nExample 3: Periodically re-evaluate all approved exceptions to the security requirements, and implement changes as needed.<br/><br/><strong>Practice</strong><br/>Design Software to Meet Security Requirements and Mitigate Security Risks (PW.1): Identify and evaluate the security requirements for the software; determine what security risks the software is likely to face during operation and how the software’s design and architecture should mitigate those risks; and justify any cases where risk-based analysis indicates that security requirements should be relaxed or waived. Addressing security requirements and risks during software design (secure by design) is key for improving software security and also helps improve development efficiency.","references":"BSAFSS: SC.1-1, PD.1-1\nBSIMM: SFD3.1, SFD3.3, AA2.2, AA3.2\nEO14028: 4e(v), 4e(ix)\nIEC62443: SD-1\nISO27034: 7.3.3\nMSSDL: 4\nNISTLABEL: 2.2.2.2\nOWASPASVS: 1.1.3, 1.1.4\nOWASPMASVS: 1.3, 1.6\nOWASPSAMM: DR1-B\nPCISSLC: 3.2, 3.3\nSP80053: SA-8, SA-10, SA-17\nSP800161: SA-8, SA-17\nSP800181: T0256; K0005, K0038, K0039, K0147, K0149, K0160, K0161, K0162, K0165, K0344, K0362, K0487; S0006, S0009, S0078, S0171, S0229, S0248; A0092, A0107","uuid":"55a2ab6a-8ee6-4ba2-9c96-29f1a1d13808","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.1.2: Track and maintain the software’s security requirements, risks, and design decisions.","sortId":"PW.1.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.1.2"},{"description":"<strong>Examples</strong><br/>Example 1: Maintain one or more software repositories of modules for supporting standardized security features and services.\nExample 2: Determine secure configurations for modules for supporting standardized security features and services, and make these configurations available (e.g., as configuration-as-code) so developers can readily use them.\nExample 3: Define criteria for which security features and services must be supported by software to be developed.<br/><br/><strong>Practice</strong><br/>Design Software to Meet Security Requirements and Mitigate Security Risks (PW.1): Identify and evaluate the security requirements for the software; determine what security risks the software is likely to face during operation and how the software’s design and architecture should mitigate those risks; and justify any cases where risk-based analysis indicates that security requirements should be relaxed or waived. Addressing security requirements and risks during software design (secure by design) is key for improving software security and also helps improve development efficiency.","references":"BSAFSS: SI.2-1, SI.2-2, LO.1\nBSIMM: SFD1.1, SFD2.1, SFD3.2, SR1.1, SR3.4\nEO14028: 4e(ix)\nIEC62443: SD-1, SD-4\nMSSDL: 5\nOWASPASVS: 1.1.6\nOWASPSAMM: SA2-A\nSCFPSSD: Standardize Identity and Access Management; Establish Log Requirements and Audit Practices","uuid":"feb81ba5-0e90-4bf2-b071-443e233da9cb","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.1.3: Where appropriate, build in support for using standardized security features and services (e.g., enabling software to integrate with existing log management, identity management, access control, and vulnerability management systems) instead of creating proprietary implementations of security features and services. [Formerly PW.4.3]","sortId":"PW.1.3","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.1.3"},{"description":"<strong>Examples</strong><br/>Example 1: Review the software design to confirm that it addresses applicable security requirements.\nExample 2: Review the risk models created during software design to determine if they appear to adequately identify the risks.\nExample 3: Review the software design to confirm that it satisfactorily addresses the risks identified by the risk models.\nExample 4: Have the software’s designer correct failures to meet the requirements.\nExample 5: Change the design and/or the risk response strategy if the security requirements cannot be met.\nExample 6: Record the findings of design reviews to serve as artifacts (e.g., in the software specification, in the issue tracking system, in the threat model).<br/><br/><strong>Practice</strong><br/>Review the Software Design to Verify Compliance with Security Requirements and Risk Information (PW.2): Help ensure that the software will meet the security requirements and satisfactorily address the identified risk information.","references":"BSAFSS: TV.3\nBSIMM: AA1.1, AA1.2, AA1.3, AA2.1, AA3.1\nEO14028: 4e(iv), 4e(v), 4e(ix)\nIEC62443: SM-2, SR-2, SR-5, SD-3, SD-4, SI-2\nISO27034: 7.3.3\nOWASPASVS: 1.1.5\nOWASPSAMM: DR1-A, DR1-B\nPCISSLC: 3.2\nSP800181: T0328; K0038, K0039, K0070, K0080, K0119, K0152, K0153, K0161, K0165, K0172, K0297; S0006, S0009, S0022, S0036, S0141, S0171","uuid":"e07dd4f8-f462-4085-9cbf-8b5fd1979e73","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.2.1: Have 1) a qualified person (or people) who were not involved with the design and/or 2) automated processes instantiated in the toolchain review the software design to confirm and enforce that it meets all of the security requirements and satisfactorily addresses the identified risk information.","sortId":"PW.2.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.2.1"},{"description":"<strong>Examples</strong><br/>Example 1: Review and evaluate third-party software components in the context of their expected use. If a component is to be used in a substantially different way in the future, perform the review and evaluation again with that new context in mind.\nExample 2: Determine secure configurations for software components, and make these available (e.g., as configuration-as-code) so developers can readily use the configurations.\nExample 3: Obtain provenance information (e.g., SBOM, source composition analysis, binary software composition analysis) for each software component, and analyze that information to better assess the risk that the component may introduce.\nExample 4: Establish one or more software repositories to host sanctioned and vetted open-source components.\nExample 5: Maintain a list of organization-approved commercial software components and component versions along with their provenance data.\nExample 6: Designate which components must be included in software to be developed.\nExample 7: Implement processes to update deployed software components to newer versions, and retain older versions of software components until all transitions from those versions have been completed successfully.\nExample 8: If the integrity or provenance of acquired binaries cannot be confirmed, build binaries from source code after verifying the source code’s integrity and provenance.<br/><br/><strong>Practice</strong><br/>Reuse Existing, Well-Secured Software When Feasible Instead of Duplicating Functionality (PW.4): Lower the costs of software development, expedite software development, and decrease the likelihood of introducing additional security vulnerabilities into the software by reusing software modules and services that have already had their security posture checked. This is particularly important for software that implements security functionality, such as cryptographic modules and protocols.","references":"BSAFSS: SM.2\nBSIMM: SFD2.1, SFD3.2, SR2.4, SR3.1, SE3.6\nCNCFSSCP: Securing Materials—Verification\nEO14028: 4e(iii), 4e(vi), 4e(ix), 4e(x)\nIDASOAR: 19\nIEC62443: SM-9, SM-10\nMSSDL: 6\nNISTCSF: ID.SC-2\nOWASPASVS: 1.1.6\nOWASPSAMM: SA1-A\nOWASPSCVS: 4\nSCSIC: Vendor Sourcing Integrity Controls\nSCTPC: MAINTAIN\nSP80053: SA-4, SA-5, SA-8(3), SA-10(6), SR-3, SR-4\nSP800161: SA-4, SA-5, SA-8(3), SA-10(6), SR-3, SR-4\nSP800181: K0039","uuid":"95769d6b-8973-41cf-b148-e4a968bca24f","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.4.1: Acquire and maintain well-secured software components (e.g., software libraries, modules, middleware, frameworks) from commercial, open-source, and other third-party developers for use by the organization’s software.","sortId":"PW.4.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.4.1"},{"description":"<strong>Examples</strong><br/>Example 1: Follow organization-established security practices for secure software development when creating and maintaining the components.\nExample 2: Determine secure configurations for software components, and make these available (e.g., as configuration-as-code) so developers can readily use the configurations.\nExample 3: Maintain one or more software repositories for these components.\nExample 4: Designate which components must be included in software to be developed.\nExample 5: Implement processes to update deployed software components to newer versions, and maintain older versions of software components until all transitions from those versions have been completed successfully.<br/><br/><strong>Practice</strong><br/>Reuse Existing, Well-Secured Software When Feasible Instead of Duplicating Functionality (PW.4): Lower the costs of software development, expedite software development, and decrease the likelihood of introducing additional security vulnerabilities into the software by reusing software modules and services that have already had their security posture checked. This is particularly important for software that implements security functionality, such as cryptographic modules and protocols.","references":"BSIMM: SFD1.1, SFD2.1, SFD3.2, SR1.1\nEO14028: 4e(ix)\nIDASOAR: 19\nOWASPASVS: 1.1.6\nSCTPC: MAINTAIN\nSP80053: SA-8(3)\nSP800161: SA-8(3)\nSP800181: SP-DEV-001","uuid":"6a369d60-40da-44f5-942e-c4d20d3a2503","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.4.2: Create and maintain well-secured software components in-house following SDLC processes to meet common internal software development needs that cannot be better met by third-party software components.","sortId":"PW.4.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.4.2"},{"description":"<strong>Examples</strong><br/>Example 1: Regularly check whether there are publicly known vulnerabilities in the software modules and services that vendors have not yet fixed.\nExample 2: Build into the toolchain automatic detection of known vulnerabilities in software components.\nExample 3: Use existing results from commercial services for vetting the software modules and services.\nExample 4: Ensure that each software component is still actively maintained and has not reached end of life; this should include new vulnerabilities found in the software being remediated.\nExample 5: Determine a plan of action for each software component that is no longer being maintained or will not be available in the near future.\nExample 6: Confirm the integrity of software components through digital signatures or other mechanisms.\nExample 7: Review, analyze, and/or test code. See PW.7 and PW.8.<br/><br/><strong>Practice</strong><br/>Reuse Existing, Well-Secured Software When Feasible Instead of Duplicating Functionality (PW.4): Lower the costs of software development, expedite software development, and decrease the likelihood of introducing additional security vulnerabilities into the software by reusing software modules and services that have already had their security posture checked. This is particularly important for software that implements security functionality, such as cryptographic modules and protocols.","references":"BSAFSS: SC.3-1, SM.2-1, SM.2-2, SM.2-3, TV.2, TV.3\nBSIMM: CP3.2, SR2.4, SR3.1, SR3.2, SE2.4, SE3.6\nCNCFSSCP: Securing Materials—Verification, Automation\nEO14028: 4e(iii), 4e(iv), 4e(vi), 4e(ix), 4e(x)\nIDASOAR: 21\nIEC62443: SI-1, SM-9, SM-10, DM-1\nIR8397: 2.11\nMSSDL: 7\nNISTCSF: ID.SC-4, PR.DS-6\nNISTLABEL: 2.2.2.2\nOWASPASVS: 10, 14.2\nOWASPMASVS: 7.5\nOWASPSAMM: TA3-A, SR3-B\nOWASPSCVS: 4, 5, 6\nPCISSLC: 3.2, 3.4, 4.1\nSCAGILE: Tasks Requiring the Help of Security Experts 8\nSCFPSSD: Manage Security Risk Inherent in the Use of Third-Party Components\nSCSIC: Vendor Sourcing Integrity Controls, Peer Reviews and Security Testing\nSCTPC: MAINTAIN, ASSESS\nSP80053: SA-9, SR-3, SR-4, SR-4(3), SR-4(4)\nSP800160: 3.1.2, 3.3.8\nSP800161: SA-4, SA-8, SA-9, SA-9(3), SR-3, SR-4, SR-4(3), SR-4(4)\nSP800181: SP-DEV-002; K0153, K0266; S0298","uuid":"9bc6523f-787b-44b3-a102-1cb94f296445","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.4.4: Verify that acquired commercial, open-source, and all other third-party software components comply with the requirements, as defined by the organization, throughout their life cycles.","sortId":"PW.4.4","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.4.4"},{"description":"<strong>Examples</strong><br/>Example 1: Validate all inputs, and validate and properly encode all outputs.\nExample 2: Avoid using unsafe functions and calls.\nExample 3: Detect errors, and handle them gracefully.\nExample 4: Provide logging and tracing capabilities.\nExample 5: Use development environments with automated features that encourage or require the use of secure coding practices with just-in-time training-in-place.\nExample 6: Follow procedures for manually ensuring compliance with secure coding practices when automated methods are insufficient or unavailable.\nExample 7: Use tools (e.g., linters, formatters) to standardize the style and formatting of the source code.\nExample 8: Check for other vulnerabilities that are common to the development languages and environment.\nExample 9: Have the developer review their own human-readable code to complement (not replace) code review performed by other people or tools. See PW.7.<br/><br/><strong>Practice</strong><br/>Create Source Code by Adhering to Secure Coding Practices (PW.5): Decrease the number of security vulnerabilities in the software, and reduce costs by minimizing vulnerabilities introduced during source code creation that meet or exceed organization-defined vulnerability severity criteria.","references":"BSAFSS: SC.2, SC.3, LO.1, EE.1\nBSIMM: SR3.3, CR1.4, CR3.5\nEO14028: 4e(iv), 4e(ix)\nIDASOAR: 2\nIEC62443: SI-1, SI-2\nISO27034: 7.3.5\nMSSDL: 9\nOWASPASVS: 1.1.7, 1.5, 1.7, 5, 7\nOWASPMASVS: 7.6\nSCFPSSD: Establish Log Requirements and Audit Practices, Use Code Analysis Tools to Find Security Issues Early, Handle Data Safely, Handle Errors, Use Safe Functions Only\nSP800181: SP-DEV-001; T0013, T0077, T0176; K0009, K0016, K0039, K0070, K0140, K0624; S0019, S0060, S0149, S0172, S0266; A0036, A0047","uuid":"c7b84422-fd94-4fdc-a679-2740ff9c6ae7","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.5.1: Follow all secure coding practices that are appropriate to the development languages and environment to meet the organization’s requirements.","sortId":"PW.5.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.5.1"},{"description":"<strong>Examples</strong><br/>Example 1: Use up-to-date versions of compiler, interpreter, and build tools.\nExample 2: Follow change management processes when deploying or updating compiler, interpreter, and build tools, and audit all unexpected changes to tools.\nExample 3: Regularly validate the authenticity and integrity of compiler, interpreter, and build tools. See PO.3.<br/><br/><strong>Practice</strong><br/>Configure the Compilation, Interpreter, and Build Processes to Improve Executable Security (PW.6): Decrease the number of security vulnerabilities in the software and reduce costs by eliminating vulnerabilities before testing occurs.","references":"BSAFSS: DE.2-1\nBSIMM: SE2.4\nCNCFSSCP: Securing Build Pipelines—Verification, Automation\nEO14028: 4e(iv), 4e(ix)\nIEC62443: SI-2\nMSSDL: 8\nSCAGILE: Operational Security Task 3\nSCFPSSD: Use Current Compiler and Toolchain Versions and Secure Compiler Options\nSCSIC: Vendor Software Development Integrity Controls\nSP80053: SA-15\nSP800161: SA-15","uuid":"998891a8-be16-427e-b466-269ac0209a32","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.6.1: Use compiler, interpreter, and build tools that offer features to improve executable security.","sortId":"PW.6.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.6.1"},{"description":"<strong>Examples</strong><br/>Example 1: Enable compiler features that produce warnings for poorly secured code during the compilation process.\nExample 2: Implement the “clean build” concept, where all compiler warnings are treated as errors and eliminated except those determined to be false positives or irrelevant.\nExample 3: Perform all builds in a dedicated, highly controlled build environment.\nExample 4: Enable compiler features that randomize or obfuscate execution characteristics, such as memory location usage, that would otherwise be predictable and thus potentially exploitable.\nExample 5: Test to ensure that the features are working as expected and are not inadvertently causing any operational issues or other problems.\nExample 6: Continuously verify that the approved configurations are being used.\nExample 7: Make the approved tool configurations available as configuration-as-code so developers can readily use them.<br/><br/><strong>Practice</strong><br/>Configure the Compilation, Interpreter, and Build Processes to Improve Executable Security (PW.6): Decrease the number of security vulnerabilities in the software and reduce costs by eliminating vulnerabilities before testing occurs.","references":"BSAFSS: DE.2-3, DE.2-4, DE.2-5\nBSIMM: SE2.4, SE3.2\nCNCFSSCP: Securing Build Pipelines—Verification, Automation\nEO14028: 4e(iv), 4e(ix)\nIEC62443: SI-2\nIR8397: 2.5\nMSSDL: 8\nOWASPASVS: 14.1, 14.2.1\nOWASPMASVS: 7.2\nPCISSLC: 3.2\nSCAGILE: Operational Security Task 8\nSCFPSSD: Use Current Compiler and Toolchain Versions and Secure Compiler Options\nSCSIC: Vendor Software Development Integrity Controls\nSP80053: SA-15, SR-9\nSP800161: SA-15, SR-9\nSP800181: K0039, K0070","uuid":"8a0ea930-58b4-4fa0-9b12-ef8574d65df8","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.6.2: Determine which compiler, interpreter, and build tool features should be used and how each should be configured, then implement and use the approved configurations.","sortId":"PW.6.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.6.2"},{"description":"<strong>Examples</strong><br/>Example 1: Follow the organization’s policies or guidelines for when code review should be performed and how it should be conducted. This may include third-party code and reusable code modules written in-house.\nExample 2: Follow the organization’s policies or guidelines for when code analysis should be performed and how it should be conducted.\nExample 3: Choose code review and/or analysis methods based on the stage of the software.<br/><br/><strong>Practice</strong><br/>Review and/or Analyze Human-Readable Code to Identify Vulnerabilities and Verify Compliance with Security Requirements (PW.7): Help identify vulnerabilities so that they can be corrected before the software is released to prevent exploitation. Using automated methods lowers the effort and resources needed to detect vulnerabilities. Human-readable code includes source code, scripts, and any other form of code that an organization deems human-readable.","references":"BSIMM: CR1.5\nEO14028: 4e(iv), 4e(ix)\nIEC62443: SM-5, SI-1, SVV-1\nNISTLABEL: 2.2.2.2\nSCSIC: Peer Reviews and Security Testing\nSP80053: SA-11\nSP800161: SA-11\nSP800181: SP-DEV-002; K0013, K0039, K0070, K0153, K0165; S0174","uuid":"02ad1353-76d2-48c0-9b32-833920b0d6e1","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.7.1: Determine whether code review (a person looks directly at the code to find issues) and/or code analysis (tools are used to find issues in code, either in a fully automated way or in conjunction with a person) should be used, as defined by the organization.","sortId":"PW.7.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.7.1"},{"description":"<strong>Examples</strong><br/>Example 1: Perform peer review of code, and review any existing code review, analysis, or testing results as part of the peer review.\nExample 2: Use expert reviewers to check code for backdoors and other malicious content.\nExample 3: Use peer reviewing tools that facilitate the peer review process, and document all discussions and other feedback.\nExample 4: Use a static analysis tool to automatically check code for vulnerabilities and compliance with the organization’s secure coding standards with a human reviewing the issues reported by the tool and remediating them as necessary.\nExample 5: Use review checklists to verify that the code complies with the requirements.\nExample 6: Use automated tools to identify and remediate documented and verified unsafe software practices on a continuous basis as human-readable code is checked into the code repository.\nExample 7: Identify and document the root causes of discovered issues.\nExample 8: Document lessons learned from code review and analysis in a wiki that developers can access and search.<br/><br/><strong>Practice</strong><br/>Review and/or Analyze Human-Readable Code to Identify Vulnerabilities and Verify Compliance with Security Requirements (PW.7): Help identify vulnerabilities so that they can be corrected before the software is released to prevent exploitation. Using automated methods lowers the effort and resources needed to detect vulnerabilities. Human-readable code includes source code, scripts, and any other form of code that an organization deems human-readable.","references":"BSAFSS: TV.2, PD.1-4\nBSIMM: CR1.2, CR1.4, CR1.6, CR2.6, CR2.7, CR3.4, CR3.5\nEO14028: 4e(iv), 4e(v), 4e(ix)\nIDASOAR: 3, 4, 5, 14, 15, 48\nIEC62443: SI-1, SVV-1, SVV-2\nIR8397: 2.3, 2.4\nISO27034: 7.3.6\nMSSDL: 9, 10\nNISTLABEL: 2.2.2.2\nOWASPASVS: 1.1.7, 10\nOWASPMASVS: 7.5\nOWASPSAMM: IR1-B, IR2-A, IR2-B, IR3-A\nPCISSLC: 3.2, 4.1\nSCAGILE: Operational Security Tasks 4, 7; Tasks Requiring the Help of Security Experts 10\nSCFPSSD: Use Code Analysis Tools to Find Security Issues Early, Use Static Analysis Security Testing Tools, Perform Manual Verification of Security Features/Mitigations\nSCSIC: Peer Reviews and Security Testing\nSP80053: SA-11, SA-11(1), SA-11(4), SA-15(7)\nSP800161: SA-11, SA-11(1), SA-11(4), SA-15(7)\nSP800181: SP-DEV-001, SP-DEV-002; T0013, T0111, T0176, T0267, T0516; K0009, K0039, K0070, K0140, K0624; S0019, S0060, S0078, S0137, S0149, S0167, S0174, S0242, S0266; A0007, A0015, A0036, A0044, A0047","uuid":"1e578ffd-2938-4026-bb22-ff078c4f1cec","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.7.2: Perform the code review and/or code analysis based on the organization’s secure coding standards, and record and triage all discovered issues and recommended remediations in the development team’s workflow or issue tracking system.","sortId":"PW.7.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.7.2"},{"description":"<strong>Examples</strong><br/>Example 1: Follow the organization’s policies or guidelines for when code testing should be performed and how it should be conducted (e.g., within a sandboxed environment). This may include third-party executable code and reusable executable code modules written in-house.\nExample 2: Choose testing methods based on the stage of the software.<br/><br/><strong>Practice</strong><br/>Test Executable Code to Identify Vulnerabilities and Verify Compliance with Security Requirements (PW.8): Help identify vulnerabilities so that they can be corrected before the software is released in order to prevent exploitation. Using automated methods lowers the effort and resources needed to detect vulnerabilities and improves traceability and repeatability. Executable code includes binaries, directly executed bytecode and source code, and any other form of code that an organization deems executable.","references":"BSAFSS: TV.3\nBSIMM: PT2.3\nEO14028: 4e(ix)\nIEC62443: SVV-1, SVV-2, SVV-3, SVV-4, SVV-5\nNISTLABEL: 2.2.2.2\nSCSIC: Peer Reviews and Security Testing\nSP80053: SA-11\nSP800161: SA-11\nSP800181: SP-DEV-001, SP-DEV-002; T0456; K0013, K0039, K0070, K0153, K0165, K0342, K0367, K0536, K0624; S0001, S0015, S0026, S0061, S0083, S0112, S0135","uuid":"198299a3-36a0-4d74-a620-38aa62dbab3d","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.8.1: Determine whether executable code testing should be performed to find vulnerabilities not identified by previous reviews, analysis, or testing and, if so, which types of testing should be used.","sortId":"PW.8.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.8.1"},{"description":"<strong>Examples</strong><br/>Example 1: Perform robust functional testing of security features.\nExample 2: Integrate dynamic vulnerability testing into the project’s automated test suite.\nExample 3: Incorporate tests for previously reported vulnerabilities into the project’s test suite to ensure that errors are not reintroduced.\nExample 4: Take into consideration the infrastructures and technology stacks that the software will be used with in production when developing test plans.\nExample 5: Use fuzz testing tools to find issues with input handling.\nExample 6: If resources are available, use penetration testing to simulate how an attacker might attempt to compromise the software in high-risk scenarios.\nExample 7: Identify and record the root causes of discovered issues.\nExample 8: Document lessons learned from code testing in a wiki that developers can access and search.\nExample 9: Use source code, design records, and other resources when developing test plans.<br/><br/><strong>Practice</strong><br/>Test Executable Code to Identify Vulnerabilities and Verify Compliance with Security Requirements (PW.8): Help identify vulnerabilities so that they can be corrected before the software is released in order to prevent exploitation. Using automated methods lowers the effort and resources needed to detect vulnerabilities and improves traceability and repeatability. Executable code includes binaries, directly executed bytecode and source code, and any other form of code that an organization deems executable.","references":"BSAFSS: TV.3, TV.5, PD.1-4\nBSIMM: ST1.1, ST1.3, ST1.4, ST2.4, ST2.5, ST2.6, ST3.3, ST3.4, ST3.5, ST3.6, PT1.1, PT1.2, PT1.3, PT3.1\nEO14028: 4e(iv), 4e(v), 4e(ix)\nIDASOAR: 7, 8, 10, 11, 38, 39, 43, 44, 48, 55, 56, 57\nIEC62443: SM-5, SM-13, SI-1, SVV-1, SVV-2, SVV-3, SVV-4, SVV-5\nIR8397: 2.6, 2.7, 2.8, 2.9, 2.10, 2.11\nISO27034: 7.3.6\nMSSDL: 10, 11\nNISTLABEL: 2.2.2.2\nOWASPMASVS: 7.5\nOWASPSAMM: ST1-A, ST1-B, ST2-A, ST2-B, ST3-A\nPCISSLC: 4.1\nSCAGILE: Operational Security Tasks 10, 11; Tasks Requiring the Help of Security Experts 4, 5, 6, 7\nSCFPSSD: Perform Dynamic Analysis Security Testing, Fuzz Parsers, Network Vulnerability Scanning, Perform Automated Functional Testing of Security Features/Mitigations, Perform Penetration Testing\nSCSIC: Peer Reviews and Security Testing\nSP80053: SA-11, SA-11(5), SA-11(8), SA-15(7)\nSP800161: SA-11, SA-11(5), SA-11(8), SA-15(7)\nSP800181: SP-DEV-001, SP-DEV-002; T0013, T0028, T0169, T0176, T0253, T0266, T0456, T0516; K0009, K0039, K0070, K0272, K0339, K0342, K0362, K0536, K0624; S0001, S0015, S0046, S0051, S0078, S0081, S0083, S0135, S0137, S0167, S0242; A0015","uuid":"842e2e84-e220-4e8d-b746-0c429ae6f924","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.8.2: Scope the testing, design the tests, perform the testing, and document the results, including recording and triaging all discovered issues and recommended remediations in the development team’s workflow or issue tracking system.","sortId":"PW.8.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.8.2"},{"description":"<strong>Examples</strong><br/>Example 1: Conduct testing to ensure that the settings, including the default settings, are working as expected and are not inadvertently causing any security weaknesses, operational issues, or other problems.<br/><br/><strong>Practice</strong><br/>Configure Software to Have Secure Settings by Default (PW.9): Help improve the security of the software at the time of installation to reduce the likelihood of the software being deployed with weak security settings, putting it at greater risk of compromise.","references":"BSAFSS: CF.1\nBSIMM: SE2.2\nEO14028: 4e(iv), 4e(ix)\nIDASOAR: 23\nIEC62443: SD-4, SVV-1, SG-1\nISO27034: 7.3.5\nSCAGILE: Tasks Requiring the Help of Security Experts 12\nSCSIC: Vendor Software Delivery Integrity Controls, Vendor Software Development Integrity Controls\nSP800181: SP-DEV-002; K0009, K0039, K0073, K0153, K0165, K0275, K0531; S0167","uuid":"5de08833-1d16-41b6-afbb-89fddbc41ec1","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.9.1: Define a secure baseline by determining how to configure each setting that has an effect on security or a security-related setting so that the default settings are secure and do not weaken the security functions provided by the platform, network infrastructure, or services.","sortId":"PW.9.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.9.1"},{"description":"<strong>Examples</strong><br/>Example 1: Verify that the approved configuration is in place for the software.\nExample 2: Document each setting’s purpose, options, default value, security relevance, potential operational impact, and relationships with other settings.\nExample 3: Use authoritative programmatic technical mechanisms to record how each setting can be implemented and assessed by software administrators.\nExample 4: Store the default configuration in a usable format and follow change control practices for modifying it (e.g., configuration-as-code).<br/><br/><strong>Practice</strong><br/>Configure Software to Have Secure Settings by Default (PW.9): Help improve the security of the software at the time of installation to reduce the likelihood of the software being deployed with weak security settings, putting it at greater risk of compromise.","references":"BSAFSS: CF.1\nBSIMM: SE2.2\nEO14028: 4e(iv), 4e(ix)\nIDASOAR: 23\nIEC62443: SG-3\nOWASPSAMM: OE1-A\nPCISSLC: 8.1, 8.2\nSCAGILE: Tasks Requiring the Help of Security Experts 12\nSCFPSSD: Verify Secure Configurations and Use of Platform Mitigation\nSCSIC: Vendor Software Delivery Integrity Controls, Vendor Software Development Integrity Controls\nSP80053: SA-5, SA-8(23)\nSP800161: SA-5, SA-8(23)\nSP800181: SP-DEV-001; K0009, K0039, K0073, K0153, K0165, K0275, K0531","uuid":"734dbc44-980c-4d3d-9f85-d7167405cb62","family":"Produce Well-Secured Software (PW)","subControls":"","weight":0,"title":"PW.9.2: Implement the default settings (or groups of default settings, if applicable), and document each setting for software administrators.","sortId":"PW.9.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"PW.9.2"},{"description":"<strong>Examples</strong><br/>Example 1: Monitor vulnerability databases , security mailing lists, and other sources of vulnerability reports through manual or automated means.\nExample 2: Use threat intelligence sources to better understand how vulnerabilities in general are being exploited.\nExample 3: Automatically review provenance and software composition data for all software components to identify any new vulnerabilities they have.<br/><br/><strong>Practice</strong><br/>Identify and Confirm Vulnerabilities on an Ongoing Basis (RV.1): Help ensure that vulnerabilities are identified more quickly so that they can be remediated more quickly in accordance with risk, reducing the window of opportunity for attackers.","references":"BSAFSS: VM.1-3, VM.3\nBSIMM: AM1.5, CMVM1.2, CMVM2.1, CMVM3.4, CMVM3.7\nCNCFSSCP: Securing Materials—Verification\nEO14028: 4e(iv), 4e(vi), 4e(viii), 4e(ix)\nIEC62443: DM-1, DM-2, DM-3\nISO29147: 6.2.1, 6.2.2, 6.2.4, 6.3, 6.5\nISO30111: 7.1.3\nOWASPSAMM: IM1-A, IM2-B, EH1-B\nOWASPSCVS: 4\nPCISSLC: 3.4, 4.1, 9.1\nSCAGILE: Operational Security Task 5\nSCFPSSD: Vulnerability Response and Disclosure\nSCTPC: MONITOR1\nSP80053: SA-10, SR-3, SR-4\nSP800161: SA-10, SR-3, SR-4\nSP800181: K0009, K0038, K0040, K0070, K0161, K0362; S0078","uuid":"14e849d0-7199-48c2-aa63-273b0f4819cb","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.1.1: Gather information from software acquirers, users, and public sources on potential vulnerabilities in the software and third-party components that the software uses, and investigate all credible reports.","sortId":"RV.1.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.1.1"},{"description":"<strong>Examples</strong><br/>Example 1: Configure the toolchain to perform automated code analysis and testing on a regular or continuous basis for all supported releases.\nExample 2: See PW.7 and PW.8.<br/><br/><strong>Practice</strong><br/>Identify and Confirm Vulnerabilities on an Ongoing Basis (RV.1): Help ensure that vulnerabilities are identified more quickly so that they can be remediated more quickly in accordance with risk, reducing the window of opportunity for attackers.","references":"BSAFSS: VM.1-2, VM.2-1\nBSIMM: CMVM3.1\nEO14028: 4e(iv), 4e(vi), 4e(viii), 4e(ix)\nIEC62443: SI-1, SVV-2, SVV-3, SVV-4, DM-1, DM-2\nISO27034: 7.3.6\nISO29147: 6.4\nISO30111: 7.1.4\nPCISSLC: 3.4, 4.1\nSCAGILE: Operational Security Tasks 10, 11\nSP80053: SA-11\nSP800161: SA-11\nSP800181: SP-DEV-002; K0009, K0039, K0153","uuid":"92527c6b-47bb-444a-9bae-8bb9cf2367d2","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.1.2: Review, analyze, and/or test the software’s code to identify or confirm the presence of previously undetected vulnerabilities.","sortId":"RV.1.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.1.2"},{"description":"<strong>Examples</strong><br/>Example 1: Establish a vulnerability disclosure program, and make it easy for security researchers to learn about your program and report possible vulnerabilities.\nExample 2: Have a Product Security Incident Response Team (PSIRT) and processes in place to handle the responses to vulnerability reports and incidents, including communications plans for all stakeholders.\nExample 3: Have a security response playbook to handle a generic reported vulnerability, a report of zero-days, a vulnerability being exploited in the wild, and a major ongoing incident involving multiple parties and open-source software components.\nExample 4: Periodically conduct exercises of the product security incident response processes.<br/><br/><strong>Practice</strong><br/>Identify and Confirm Vulnerabilities on an Ongoing Basis (RV.1): Help ensure that vulnerabilities are identified more quickly so that they can be remediated more quickly in accordance with risk, reducing the window of opportunity for attackers.","references":"BSAFSS: VM.1-1, VM.2\nBSIMM: CMVM1.1, CMVM2.1, CMVM3.3, CMVM3.7\nEO14028: 4e(viii), 4e(ix)\nIEC62443: DM-1, DM-2, DM-3, DM-4, DM-5\nISO29147: All\nISO30111: All\nMSSDL: 12\nNISTLABEL: 2.2.2.3\nOWASPMASVS: 1.11\nOWASPSAMM: IM1-A, IM1-B, IM2-A, IM2-B\nPCISSLC: 9.2, 9.3\nSCFPSSD: Vulnerability Response and Disclosure\nSP80053: SA-15(10)\nSP800160: 3.3.8\nSP800161: SA-15(10)\nSP800181: K0041, K0042, K0151, K0292, K0317; S0054; A0025\nSP800216: All","uuid":"7b45787b-db7b-443b-93ed-a58e3c2dfda7","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.1.3: Have a policy that addresses vulnerability disclosure and remediation, and implement the roles, responsibilities, and processes needed to support that policy.","sortId":"RV.1.3","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.1.3"},{"description":"<strong>Examples</strong><br/>Example 1: Use existing issue tracking software to record each vulnerability.\nExample 2: Perform risk calculations for each vulnerability based on estimates of its exploitability, the potential impact if exploited, and any other relevant characteristics.<br/><br/><strong>Practice</strong><br/>Assess, Prioritize, and Remediate Vulnerabilities (RV.2): Help ensure that vulnerabilities are remediated in accordance with risk to reduce the window of opportunity for attackers.","references":"BSAFSS: VM.2\nBSIMM: CMVM1.2, CMVM2.2\nEO14028: 4e(iv), 4e(viii), 4e(ix)\nIEC62443: DM-2, DM-3\nISO30111: 7.1.4\nNISTLABEL: 2.2.2.2\nPCISSLC: 3.4, 4.2\nSCAGILE: Operational Security Task 1, Tasks Requiring the Help of Security Experts 10\nSP80053: SA-10, SA-15(7)\nSP800160: 3.3.8\nSP800161: SA-15(7)\nSP800181: K0009, K0039, K0070, K0161, K0165; S0078","uuid":"94114e03-9f22-44ed-b4b1-f26452c7fd7b","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.2.1: Analyze each vulnerability to gather sufficient information about risk to plan its remediation or other risk response.","sortId":"RV.2.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.2.1"},{"description":"<strong>Examples</strong><br/>Example 1: Make a risk-based decision as to whether each vulnerability will be remediated or if the risk will be addressed through other means (e.g., risk acceptance, risk transference), and prioritize any actions to be taken.\nExample 2: If a permanent mitigation for a vulnerability is not yet available, determine how the vulnerability can be temporarily mitigated until the permanent solution is available, and add that temporary remediation to the plan.\nExample 3: Develop and release security advisories that provide the necessary information to software acquirers, including descriptions of what the vulnerabilities are, how to find instances of the vulnerable software, and how to address them (e.g., where to get patches and what the patches change in the software; what configuration settings may need to be changed; how temporary workarounds could be implemented).\nExample 4: Deliver remediations to acquirers via an automated and trusted delivery mechanism. A single remediation could address multiple vulnerabilities.\nExample 5: Update records of design decisions, risk responses, and approved exceptions as needed. See PW.1.2.<br/><br/><strong>Practice</strong><br/>Assess, Prioritize, and Remediate Vulnerabilities (RV.2): Help ensure that vulnerabilities are remediated in accordance with risk to reduce the window of opportunity for attackers.","references":"BSAFSS: VM.1-1, VM-2\nBSIMM: CMVM2.1\nEO14028: 4e(iv), 4e(vi), 4e(viii), 4e(ix)\nIEC62443: DM-4\nISO30111: 7.1.4, 7.1.5\nNISTLABEL: 2.2.2.2\nPCISSLC: 4.1, 4.2, 10.1\nSCAGILE: Operational Security Task 2\nSCFPSSD: Fix the Vulnerability, Identify Mitigating Factors or Workarounds\nSCTPC: MITIGATE\nSP80053: SA-5, SA-10, SA-11, SA-15(7)\nSP800160: 3.3.8\nSP800161: SA-5, SA-8, SA-10, SA-11, SA-15(7)\nSP800181: T0163, T0229, T0264; K0009, K0070","uuid":"055731e6-ea40-4419-a35a-cb4a3e17bd31","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.2.2: Plan and implement risk responses for vulnerabilities.","sortId":"RV.2.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.2.2"},{"description":"<strong>Examples</strong><br/>Example 1: Record the root cause of discovered issues.\nExample 2: Record lessons learned through root cause analysis in a wiki that developers can access and search.<br/><br/><strong>Practice</strong><br/>Analyze Vulnerabilities to Identify Their Root Causes (RV.3): Help reduce the frequency of vulnerabilities in the future.","references":"BSAFSS: VM.2-1\nBSIMM: CMVM3.1, CMVM3.2\nEO14028: 4e(ix)\nIEC62443: DM-3\nISO30111: 7.1.4\nOWASPSAMM: IM3-A\nPCISSLC: 4.2\nSCFPSSD: Secure Development Lifecycle Feedback\nSP800181: T0047, K0009, K0039, K0070, K0343","uuid":"87a38c62-d90e-43ad-a7f0-de9703bac951","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.3.1: Analyze identified vulnerabilities to determine their root causes.","sortId":"RV.3.1","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.3.1"},{"description":"<strong>Examples</strong><br/>Example 1: Record lessons learned through root cause analysis in a wiki that developers can access and search.\nExample 2: Add mechanisms to the toolchain to automatically detect future instances of the root cause.\nExample 3: Update manual processes to detect future instances of the root cause.<br/><br/><strong>Practice</strong><br/>Analyze Vulnerabilities to Identify Their Root Causes (RV.3): Help reduce the frequency of vulnerabilities in the future.","references":"BSAFSS: VM.2-1, PD.1-3\nBSIMM: CP3.3, CMVM3.2\nEO14028: 4e(ix)\nIEC62443: DM-4\nISO30111: 7.1.7\nOWASPSAMM: IM3-B\nPCISSLC: 2.6, 4.2\nSCFPSSD: Secure Development Lifecycle Feedback\nSP800160: 3.3.8\nSP800181: T0111, K0009, K0039, K0070, K0343","uuid":"12fef776-e661-4069-af28-7ca077a5f083","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.3.2: Analyze the root causes over time to identify patterns, such as a particular secure coding practice not being followed consistently.","sortId":"RV.3.2","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.3.2"},{"description":"<strong>Examples</strong><br/>Example 1: See PW.7 and PW.8.<br/><br/><strong>Practice</strong><br/>Analyze Vulnerabilities to Identify Their Root Causes (RV.3): Help reduce the frequency of vulnerabilities in the future.","references":"BSAFSS: VM.2\nBSIMM: CR3.3, CMVM3.1\nEO14028: 4e(iv), 4e(viii), 4e(ix)\nIEC62443: SI-1, DM-3, DM-4\nISO30111: 7.1.4\nPCISSLC: 4.2\nSP80053: SA-11\nSP800161: SA-11\nSP800181: SP-DEV-001, SP-DEV-002; K0009, K0039, K0070","uuid":"e2f0ce84-32b7-4903-82ad-d8666e528c73","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.3.3: Review the software for similar vulnerabilities to eradicate a class of vulnerabilities, and proactively fix them rather than waiting for external reports.","sortId":"RV.3.3","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.3.3"},{"description":"<strong>Examples</strong><br/>Example 1: Record lessons learned through root cause analysis in a wiki that developers can access and search.\nExample 2: Plan and implement changes to the appropriate SDLC practices.<br/><br/><strong>Practice</strong><br/>Analyze Vulnerabilities to Identify Their Root Causes (RV.3): Help reduce the frequency of vulnerabilities in the future.","references":"BSAFSS: PD.1-3\nBSIMM: CP3.3, CMVM3.2\nEO14028: 4e(ix)\nIEC62443: DM-6\nISO30111: 7.1.7\nMSSDL: 2\nPCISSLC: 2.6, 4.2\nSCFPSSD: Secure Development Lifecycle Feedback\nSP80053: SA-15\nSP800161: SA-15\nSP800181: K0009, K0039, K0070","uuid":"70798b87-40cf-4713-8014-6bfd1f52e8d6","family":"Respond to Vulnerabilities (RV)","subControls":"","weight":0,"title":"RV.3.4: Review the SDLC process, and update it if appropriate to prevent (or reduce the likelihood of) the root cause recurring in updates to the software or in new software that is created.","sortId":"RV.3.4","enhancements":"","relatedControls":"","catalogueID":1085,"practiceLevel":"","assessmentPlan":"","mappings":"","controlId":"RV.3.4"}]}}

sec_attestation/tic30.json ADDED Viewed

	@@ -0,0 +1 @@

+ {"catalog":{"description":"Trusted Internet Connections (TIC), originally established in 2007, is a federal cybersecurity initiative intended to enhance network and boundary security across the Federal Government. The Office of Management and Budget (OMB), the Department of Homeland Security (DHS) Cybersecurity and Infrastructure Security Agency (CISA), and the General Services Administration (GSA) oversee the TIC initiative through a robust program that sets guidance and an execution framework for agencies to implement a baseline boundary security standard.","uuid":"e5acface-fb63-4d06-b230-7c6699ca906a","datePublished":"2021-10-01T00:00:00","version":"1.0.0","master":false,"url":"https://www.cisa.gov/publication/tic-30-core-guidance-documents","abstract":"The scope of the TIC 3.0 guidance encompasses the TIC initiative and other federal program artifacts and publications necessary to explain key elements, goals, and objectives of TIC 3.0.","defaultName":"tic30","title":"Trusted Internet Connection (TIC) 3.0 Security Capabilities Catalogue (Volume 3)","lastRevisionDate":"2021-10-01T00:00:00","regulationDatePublished":"2020-07-01","keywords":"TIC; 3.0; DHS;","securityControls":[{"id":25580,"description":"Backup and recovery entails keeping copies of configuration and data, as needed, to allow for the quick restoration of service in the event of malicious incidents, system failures, or corruption.","references":"","tenantsId":1,"uuid":"d4b63e4f-f0d6-45a0-a66c-501fe0289e4d","family":"Universal Security Capabilities","subControls":"","weight":0,"archived":false,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"Backup and Recovery","relatedControls":"","catalogueID":155,"assessmentPlan":"","practiceLevel":"","mappings":"","controlId":"3.UNI.BRECO"},{"id":25581,"description":"Central log management with analysis is the collection, storage, and analysis of telemetry, where the collection and storage are designed to facilitate data fusion and where the security analysis aids in discovery and response to malicious activity.","references":"","tenantsId":1,"uuid":"5fb500eb-27f8-4e4b-931a-4e460e4d4975","family":"Universal 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set of instructions, procedures, or technical capabilities to sense and detect, respond to, limit consequences of malicious cyberattacks, and restore the integrity of the network and associated systems.","references":"","tenantsId":1,"uuid":"2b0d6202-7521-4acf-84bc-7ea1e4b91191","family":"Universal Security Capabilities","subControls":"","weight":0,"archived":false,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"Incident Response Planning and Incident Handling","relatedControls":"","catalogueID":155,"assessmentPlan":"","practiceLevel":"","mappings":"","controlId":"3.UNI.IRPIH"},{"id":25584,"description":"Inventory entails developing, documenting, and maintaining a current inventory of all systems, networks, and components so that only authorized devices are given access, and unauthorized and unmanaged devices are found and restricted from gaining access.","references":"","tenantsId":1,"uuid":"bef89f23-f3c8-4ae2-8163-952b24c68883","family":"Universal Security 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protocols.","references":"","tenantsId":1,"uuid":"8509e8b3-378b-43b7-8193-cedd36d0aadf","family":"Universal Security Capabilities","subControls":"","weight":0,"archived":false,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"Secure Administration","relatedControls":"","catalogueID":155,"assessmentPlan":"","practiceLevel":"","mappings":"","controlId":"3.UNI.SADMI"},{"id":25587,"description":"Strong authentication verifies the identity of users, devices, or other entities through rigorous means (e.g., multi-factor authentication) before granting access.","references":"","tenantsId":1,"uuid":"dadc703e-123a-4789-98a9-2b88884b52d5","family":"Universal Security Capabilities","subControls":"","weight":0,"archived":false,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"Strong Authentication","relatedControls":"","catalogueID":155,"assessmentPlan":"","practiceLevel":"","mappings":"","controlId":"3.UNI.SAUTH"},{"id":25588,"description":"Time synchronization is the coordination of system (e.g., servers, workstations, network devices) clocks to minimize the difference between system clock times and enable accurate comparison of timestamps between systems.","references":"","tenantsId":1,"uuid":"6ff539a5-1ec6-41d9-9f2a-39cc9ce8d4e0","family":"Universal Security Capabilities","subControls":"","weight":0,"archived":false,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"Time Synchronization","relatedControls":"","catalogueID":155,"assessmentPlan":"","practiceLevel":"","mappings":"","controlId":"3.UNI.TSYNC"},{"id":25589,"description":"Vulnerability management is the practice of proactively working to discover vulnerabilities by including the use of both active and passive means of discovery and by taking action to mitigate discovered vulnerabilities.","references":"","tenantsId":1,"uuid":"ce702809-a857-4baf-803d-96b8568bf3af","family":"Universal Security 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auditing system that considers insider threat (e.g., separation of duties violation tracking) such that insider abuse or misuse can be detected.","references":"","tenantsId":1,"uuid":"3489ea35-5ced-4421-ba70-dc88565b3bb8","family":"Universal Security Capabilities","subControls":"","weight":0,"archived":false,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"Auditing and Accounting","relatedControls":"","catalogueID":155,"assessmentPlan":"","practiceLevel":"","mappings":"","controlId":"3.UNI.AACCO"},{"id":25592,"description":"Resilience entails ensuring that systems, services, and protections maintain acceptable performance under adverse conditions.","references":"","tenantsId":1,"uuid":"bb1bf5b0-d8df-40ed-946d-9a3e9b84aefa","family":"Universal Security 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components.","references":"","tenantsId":1,"uuid":"b8da7bfe-e265-4108-8288-1505d84767dd","family":"Universal Security Capabilities","subControls":"","weight":0,"archived":false,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"Situational Awareness","relatedControls":"","catalogueID":155,"assessmentPlan":"","practiceLevel":"","mappings":"","controlId":"3.UNI.SAWAR"},{"id":25595,"description":"Dynamic threat discovery is the practice of using dynamic approaches (e.g., heuristics, baselining, etc.) to discover new malicious activity.","references":"","tenantsId":1,"uuid":"e6bf3a56-d4e7-4405-a7ad-544547f75bf0","family":"Universal Security Capabilities","subControls":"","weight":0,"archived":false,"isPublic":true,"enhancements":"","controlType":"Stand-Alone","title":"Dynamic Threat Discovery","relatedControls":"","catalogueID":155,"assessmentPlan":"","practiceLevel":"","mappings":"","controlId":"3.UNI.DTDIS"},{"id":25596,"description":"Policy enforcement parity entails 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