compliance controls are associated with this Policy definition 'Produce Security Assessment report' (70a7a065-a060-85f8-7863-eb7850ed2af9)
| Control Domain |
Control |
Name |
MetadataId |
Category |
Title |
Owner |
Requirements |
Description |
Info |
Policy# |
| FedRAMP_High_R4 |
CA-2 |
FedRAMP_High_R4_CA-2 |
FedRAMP High CA-2 |
Security Assessment And Authorization |
Security Assessments |
Shared |
n/a |
The organization:
a. Develops a security assessment plan that describes the scope of the assessment including:
1. Security controls and control enhancements under assessment;
2. Assessment procedures to be used to determine security control effectiveness; and
3. Assessment environment, assessment team, and assessment roles and responsibilities;
b. Assesses the security controls in the information system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
c. Produces a security assessment report that documents the results of the assessment; and
d. Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
Supplemental Guidance: Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control. Related controls: CA-5, CA-6, CA-7, PM-9, RA-5, SA-11, SA-12, SI-4.
References: Executive Order 13587; FIPS Publication 199; NIST Special Publications 800-37, 800-39, 800-53A, 800-115, 800-137. |
link |
4 |
| FedRAMP_Moderate_R4 |
CA-2 |
FedRAMP_Moderate_R4_CA-2 |
FedRAMP Moderate CA-2 |
Security Assessment And Authorization |
Security Assessments |
Shared |
n/a |
The organization:
a. Develops a security assessment plan that describes the scope of the assessment including:
1. Security controls and control enhancements under assessment;
2. Assessment procedures to be used to determine security control effectiveness; and
3. Assessment environment, assessment team, and assessment roles and responsibilities;
b. Assesses the security controls in the information system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
c. Produces a security assessment report that documents the results of the assessment; and
d. Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
Supplemental Guidance: Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control. Related controls: CA-5, CA-6, CA-7, PM-9, RA-5, SA-11, SA-12, SI-4.
References: Executive Order 13587; FIPS Publication 199; NIST Special Publications 800-37, 800-39, 800-53A, 800-115, 800-137. |
link |
4 |
| hipaa |
0178.05h1Organizational.3-05.h |
hipaa-0178.05h1Organizational.3-05.h |
0178.05h1Organizational.3-05.h |
01 Information Protection Program |
0178.05h1Organizational.3-05.h 05.01 Internal Organization |
Shared |
n/a |
The results of independent security program reviews are recorded and reported to the management official/office initiating the review; and the results are maintained for a predetermined period of time as determined by the organization, but not less than three years. |
|
3 |
| hipaa |
0601.06g1Organizational.124-06.g |
hipaa-0601.06g1Organizational.124-06.g |
0601.06g1Organizational.124-06.g |
06 Configuration Management |
0601.06g1Organizational.124-06.g 06.02 Compliance with Security Policies and Standards, and Technical Compliance |
Shared |
n/a |
Annual compliance reviews are conducted by security or audit individuals using manual or automated tools; if non-compliance is found, appropriate action is taken. |
|
6 |
| hipaa |
0602.06g1Organizational.3-06.g |
hipaa-0602.06g1Organizational.3-06.g |
0602.06g1Organizational.3-06.g |
06 Configuration Management |
0602.06g1Organizational.3-06.g 06.02 Compliance with Security Policies and Standards, and Technical Compliance |
Shared |
n/a |
The results and recommendations of the reviews are documented and approved by management. |
|
10 |
| hipaa |
0614.06h2Organizational.12-06.h |
hipaa-0614.06h2Organizational.12-06.h |
0614.06h2Organizational.12-06.h |
06 Configuration Management |
0614.06h2Organizational.12-06.h 06.02 Compliance with Security Policies and Standards, and Technical Compliance |
Shared |
n/a |
Technical compliance checks are performed by an experienced specialist with the assistance of industry standard automated tools, which generate a technical report for subsequent interpretation. These checks are performed annually, but more frequently where needed, based on risk as part of an official risk assessment process. |
|
6 |
| hipaa |
068.06g2Organizational.34-06.g |
hipaa-068.06g2Organizational.34-06.g |
068.06g2Organizational.34-06.g |
06 Configuration Management |
068.06g2Organizational.34-06.g 06.02 Compliance with Security Policies and Standards, and Technical Compliance |
Shared |
n/a |
The organization employs assessors or assessment teams with a level of independence appropriate to its continuous monitoring strategy to monitor the security controls in the information system on an ongoing basis. |
|
6 |
| hipaa |
0709.10m1Organizational.1-10.m |
hipaa-0709.10m1Organizational.1-10.m |
0709.10m1Organizational.1-10.m |
07 Vulnerability Management |
0709.10m1Organizational.1-10.m 10.06 Technical Vulnerability Management |
Shared |
n/a |
Technical vulnerabilities are identified, evaluated for risk, and corrected in a timely manner. |
|
13 |
| hipaa |
0716.10m3Organizational.1-10.m |
hipaa-0716.10m3Organizational.1-10.m |
0716.10m3Organizational.1-10.m |
07 Vulnerability Management |
0716.10m3Organizational.1-10.m 10.06 Technical Vulnerability Management |
Shared |
n/a |
The organization conducts an enterprise security posture review as needed but no less than once within every 365 days, in accordance with organizational information security procedures. |
|
5 |
| hipaa |
0914.09s1Organizational.6-09.s |
hipaa-0914.09s1Organizational.6-09.s |
0914.09s1Organizational.6-09.s |
09 Transmission Protection |
0914.09s1Organizational.6-09.s 09.08 Exchange of Information |
Shared |
n/a |
The organization ensures that communication protection requirements, including the security of exchanges of information, are the subject of policy development and compliance audits. |
|
6 |
| hipaa |
1796.10a2Organizational.15-10.a |
hipaa-1796.10a2Organizational.15-10.a |
1796.10a2Organizational.15-10.a |
17 Risk Management |
1796.10a2Organizational.15-10.a 10.01 Security Requirements of Information Systems |
Shared |
n/a |
Commercial products other than operating system software used to store and/or process covered information undergo a security assessment and/or security certification by a qualified assessor prior to implementation. |
|
6 |
| ISO27001-2013 |
A.14.2.8 |
ISO27001-2013_A.14.2.8 |
ISO 27001:2013 A.14.2.8 |
System Acquisition, Development And Maintenance |
System security testing |
Shared |
n/a |
Testing of security functionality shall be carried out during development. |
link |
8 |
| ISO27001-2013 |
A.18.2.2 |
ISO27001-2013_A.18.2.2 |
ISO 27001:2013 A.18.2.2 |
Compliance |
Compliance with security policies and standards |
Shared |
n/a |
Managers shall regularly review the compliance of information processing and procedures within their area of responsibility with the appropriate security policies, standards and any other security requirements. |
link |
36 |
| ISO27001-2013 |
A.18.2.3 |
ISO27001-2013_A.18.2.3 |
ISO 27001:2013 A.18.2.3 |
Compliance |
Technical compliance review |
Shared |
n/a |
Information systems shall be regularly reviewed for compliance with the organization's information security policies and standards. |
link |
5 |
| NIST_SP_800-171_R2_3 |
.12.1 |
NIST_SP_800-171_R2_3.12.1 |
NIST SP 800-171 R2 3.12.1 |
Security Assessment |
Periodically assess the security controls in organizational systems to determine if the controls are effective in their application. |
Shared |
Microsoft and the customer share responsibilities for implementing this requirement. |
Organizations assess security controls in organizational systems and the environments in which those systems operate as part of the system development life cycle. Security controls are the safeguards or countermeasures organizations implement to satisfy security requirements. By assessing the implemented security controls, organizations determine if the security safeguards or countermeasures are in place and operating as intended. Security control assessments ensure that information security is built into organizational systems; identify weaknesses and deficiencies early in the development process; provide essential information needed to make risk-based decisions; and ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls as documented in system security plans. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Organizations can choose to use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of systems during the system life cycle. [SP 800-53] provides guidance on security and privacy controls for systems and organizations. [SP 800-53A] provides guidance on developing security assessment plans and conducting assessments. |
link |
4 |
| NIST_SP_800-53_R4 |
CA-2 |
NIST_SP_800-53_R4_CA-2 |
NIST SP 800-53 Rev. 4 CA-2 |
Security Assessment And Authorization |
Security Assessments |
Shared |
n/a |
The organization:
a. Develops a security assessment plan that describes the scope of the assessment including:
1. Security controls and control enhancements under assessment;
2. Assessment procedures to be used to determine security control effectiveness; and
3. Assessment environment, assessment team, and assessment roles and responsibilities;
b. Assesses the security controls in the information system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
c. Produces a security assessment report that documents the results of the assessment; and
d. Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
Supplemental Guidance: Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control. Related controls: CA-5, CA-6, CA-7, PM-9, RA-5, SA-11, SA-12, SI-4.
References: Executive Order 13587; FIPS Publication 199; NIST Special Publications 800-37, 800-39, 800-53A, 800-115, 800-137. |
link |
4 |
| NIST_SP_800-53_R5 |
CA-2 |
NIST_SP_800-53_R5_CA-2 |
NIST SP 800-53 Rev. 5 CA-2 |
Assessment, Authorization, and Monitoring |
Control Assessments |
Shared |
n/a |
a. Select the appropriate assessor or assessment team for the type of assessment to be conducted;
b. Develop a control assessment plan that describes the scope of the assessment including:
1. Controls and control enhancements under assessment;
2. Assessment procedures to be used to determine control effectiveness; and
3. Assessment environment, assessment team, and assessment roles and responsibilities;
c. Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;
d. Assess the controls in the system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;
e. Produce a control assessment report that document the results of the assessment; and
f. Provide the results of the control assessment to [Assignment: organization-defined individuals or roles]. |
link |
4 |
| PCI_DSS_v4.0 |
12.4.2.1 |
PCI_DSS_v4.0_12.4.2.1 |
PCI DSS v4.0 12.4.2.1 |
Requirement 12: Support Information Security with Organizational Policies and Programs |
PCI DSS compliance is managed |
Shared |
n/a |
Reviews conducted in accordance with Requirement 12.4.2 are documented to include:
• Results of the reviews.
• Documented remediation actions taken for any tasks that were found to not be performed at Requirement 12.4.2.
• Review and sign-off of results by personnel assigned responsibility for the PCI DSS compliance program. |
link |
7 |
| SOC_2 |
CC2.3 |
SOC_2_CC2.3 |
SOC 2 Type 2 CC2.3 |
Communication and Information |
COSO Principle 15 |
Shared |
The customer is responsible for implementing this recommendation. |
Communicates to External Parties — Processes are in place to communicate relevant and timely information to external parties, including shareholders, partners,
owners, regulators, customers, financial analysts, and other external parties.
• Enables Inbound Communications — Open communication channels allow input
from customers, consumers, suppliers, external auditors, regulators, financial analysts, and others, providing management and the board of directors with relevant information.
• Communicates With the Board of Directors — Relevant information resulting from
assessments conducted by external parties is communicated to the board of directors.
• Provides Separate Communication Lines — Separate communication channels,
such as whistle-blower hotlines, are in place and serve as fail-safe mechanisms to
enable anonymous or confidential communication when normal channels are inoperative or ineffective.
• Selects Relevant Method of Communication — The method of communication considers the timing, audience, and nature of the communication and legal, regulatory,
and fiduciary requirements and expectations.
Additional point of focus that applies only to an engagement using the trust services criteria for
confidentiality:
• Communicates Objectives Related to Confidentiality and Changes to Objectives —
The entity communicates, to external users, vendors, business partners, and others
whose products and services are part of the system, objectives and changes to objectives related to confidentiality.Page 20
TSP
Ref. #
TRUST SERVICES CRITERIA AND POINTS OF FOCUS
Additional point of focus that applies only to an engagement using the trust services criteria for
privacy:
• Communicates Objectives Related to Privacy and Changes to Objectives — The entity communicates, to external users, vendors, business partners, and others whose
products and services are part of the system, objectives related to privacy and
changes to those objectives.
Additional points of focus that apply only when an engagement using the trust services criteria
is performed at the system level:
• Communicates Information About System Operation and Boundaries — The entity prepares and communicates information about the design and operation of
the system and its boundaries to authorized external users to permit users to understand their role in the system and the results of system operation.
• Communicates System Objectives — The entity communicates its system objectives to appropriate external users.
• Communicates System Responsibilities — External users with responsibility for
designing, developing, implementing, operating, maintaining, and monitoring system controls receive communications about their responsibilities and have the information necessary to carry out those responsibilities.
• Communicates Information on Reporting System Failures, Incidents, Concerns,
and Other Matters — External users are provided with information on how to report systems failures, incidents, concerns, and other complaints to appropriate
personnel. |
|
14 |
| SOC_2 |
CC4.2 |
SOC_2_CC4.2 |
SOC 2 Type 2 CC4.2 |
Monitoring Activities |
COSO Principle 17 |
Shared |
The customer is responsible for implementing this recommendation. |
• Assesses Results — Management and the board of directors, as appropriate, assess
results of ongoing and separate evaluations.
• Communicates Deficiencies — Deficiencies are communicated to parties responsible for taking corrective action and to senior management and the board of directors, as appropriate.
• Monitors Corrective Action — Management tracks whether deficiencies are reme |
|
2 |