0002821
TSP 100A - Trust Services Principles and Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy
American Institute of Certified Public Accountants
Self-Regulatory Body Requirement
For Purchase
AICPA Trust Services Principles and Criteria
TSP 100A - Trust Services Principles and Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy
2016-12-15
The document as a whole was last reviewed and released on 2017-03-06T00:00:00-0800.
0002821
For Purchase
American Institute of Certified Public Accountants
Self-Regulatory Body Requirement
AICPA Trust Services Principles and Criteria
TSP 100A - Trust Services Principles and Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy
2016-12-15
The document as a whole was last reviewed and released on 2017-03-06T00:00:00-0800.
This Authority Document In Depth Report is copyrighted - © 2024 - Network Frontiers LLC. All rights reserved. Copyright in the Authority Document analyzed herein is held by its authors. Network Frontiers makes no claims of copyright in this Authority Document.
This Authority Document In Depth Report is provided for informational purposes only and does not constitute, and should not be construed as, legal advice. The reader is encouraged to consult with an attorney experienced in these areas for further explanation and advice.
This Authority Document In Depth Report provides analysis and guidance for use and implementation of the Authority Document but it is not a substitute for the original authority document itself. Readers should refer to the original authority document as the definitive resource on obligations and compliance requirements.
This document has been mapped into the Unified Compliance Framework using a patented methodology and patented tools (you can research our patents HERE). The mapping team has taken every effort to ensure the quality of mapping is of the highest degree. To learn more about the process we use to map Authority Documents, or to become involved in that process, click HERE.
When the UCF Mapping Teams tag Citations and their associated mandates within an Authority Document, those Citations and Mandates are tied to Common Controls. In addition, and by virtue of those Citations and mandates being tied to Common Controls, there are three sets of meta data that are associated with each Citation; Controls by Impact Zone, Controls by Type, and Controls by Classification.
The online version of the mapping analysis you see here is just a fraction of the work the UCF Mapping Team has done. The downloadable version of this document, available within the Common Controls Hub (available HERE) contains the following:
Document implementation analysis – statistics about the document’s alignment with Common Controls as compared to other Authority Documents and statistics on usage of key terms and non-standard terms.
Citation and Mandate Tagging and Mapping – A complete listing of each and every Citation we found within TSP 100A - Trust Services Principles and Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy that have been tagged with their primary and secondary nouns and primary and secondary verbs in three column format. The first column shows the Citation (the marker within the Authority Document that points to where we found the guidance). The second column shows the Citation guidance per se, along with the tagging for the mandate we found within the Citation. The third column shows the Common Control ID that the mandate is linked to, and the final column gives us the Common Control itself.
Dictionary Terms – The dictionary terms listed for TSP 100A - Trust Services Principles and Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy are based upon terms either found within the Authority Document’s defined terms section(which most legal documents have), its glossary, and for the most part, as tagged within each mandate. The terms with links are terms that are the standardized version of the term.
Common Controls andAn Impact Zone is a hierarchical way of organizing our suite of Common Controls — it is a taxonomy. The top levels of the UCF hierarchy are called Impact Zones. Common Controls are mapped within the UCF’s Impact Zones and are maintained in a legal hierarchy within that Impact Zone. Each Impact Zone deals with a separate area of policies, standards, and procedures: technology acquisition, physical security, continuity, records management, etc.
The UCF created its taxonomy by looking at the corpus of standards and regulations through the lens of unification and a view toward how the controls impact the organization. Thus, we created a hierarchical structure for each impact zone that takes into account regulatory and standards bodies, doctrines, and language.
Audits and risk management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Audits and risk management CC ID 00677 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain an audit program. CC ID 00684 | Establish/Maintain Documentation | Preventive | |
| Accept the attestation engagement when all preconditions are met. CC ID 13933 | Business Processes | Preventive | |
| Audit in scope audit items and compliance documents. CC ID 06730 | Audits and Risk Management | Preventive | |
| Determine if the audit assertion's in scope controls are reasonable. CC ID 06980 | Testing | Detective | |
| Document test plans for auditing in scope controls. CC ID 06985 | Testing | Detective | |
| Determine the effectiveness of in scope controls. CC ID 06984 [The design and operating effectiveness of controls are periodically evaluated against the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], and corrections and other necessary actions relating to identified deficiencies are taken in a timely manner. CC4.1] | Testing | Detective | |
| Review incident management audit logs to determine the effectiveness of in scope controls. CC ID 12157 | Audits and Risk Management | Detective | |
| Review audit reports to determine the effectiveness of in scope controls. CC ID 12156 | Audits and Risk Management | Detective | |
| Observe processes to determine the effectiveness of in scope controls. CC ID 12155 | Audits and Risk Management | Detective | |
| Interview stakeholders to determine the effectiveness of in scope controls. CC ID 12154 | Audits and Risk Management | Detective | |
| Review documentation to determine the effectiveness of in scope controls. CC ID 16522 | Process or Activity | Preventive | |
| Review policies and procedures to determine the effectiveness of in scope controls. CC ID 12144 | Audits and Risk Management | Detective | |
| Evaluate personnel status changes to determine the effectiveness of in scope controls. CC ID 16556 | Audits and Risk Management | Detective | |
| Determine whether individuals performing a control have the appropriate staff qualifications, staff clearances, and staff competencies. CC ID 16555 | Audits and Risk Management | Detective | |
| Implement a corrective action plan in response to the audit report. CC ID 06777 [The design and operating effectiveness of controls are periodically evaluated against the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], and corrections and other necessary actions relating to identified deficiencies are taken in a timely manner. CC4.1] | Establish/Maintain Documentation | Corrective | |
| Assign responsibility for remediation actions. CC ID 13622 | Human Resources Management | Preventive | |
| Monitor and report on the status of mitigation actions in the corrective action plan. CC ID 15250 | Actionable Reports or Measurements | Corrective | |
| Review management's response to issues raised in past audit reports. CC ID 01149 | Audits and Risk Management | Detective | |
| Define penalties for uncorrected audit findings or remaining non-compliant with the audit report. CC ID 08963 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a risk management program. CC ID 12051 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain the risk assessment framework. CC ID 00685 | Establish/Maintain Documentation | Preventive | |
| Define and assign the roles and responsibilities for the risk assessment framework, as necessary. CC ID 06456 [Responsibility and accountability for designing, developing, implementing, operating, maintaining, monitoring, and approving the entity’s system controls and other risk mitigation strategies are assigned to individuals within the entity with authority to ensure policies and other system requirements are effectively promulgated and implemented to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy or any combination thereof]. CC1.2] | Establish Roles | Preventive | |
| Establish, implement, and maintain a risk assessment program. CC ID 00687 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain risk assessment procedures. CC ID 06446 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a threat and risk classification scheme. CC ID 07183 | Establish/Maintain Documentation | Preventive | |
| Employ risk assessment procedures that include appropriate risk treatment options for each identified risk. CC ID 06484 [The entity determines mitigation strategies for those risks (including implementation of controls, assessment and monitoring of vendors and other third parties providing goods or services, as well as their activities, and other mitigation strategies), CC3.1(3)] | Establish/Maintain Documentation | Preventive | |
| Include security threats and vulnerabilities in the threat and risk classification scheme. CC ID 00699 [The entity identifies potential threats that could impair system [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements (including threats arising from the use of vendors and other third parties providing goods and services, as well as threats arising from customer personnel and others with access to the system), CC3.1(1) Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Technical Security | Preventive | |
| Perform risk assessments for all target environments, as necessary. CC ID 06452 | Testing | Preventive | |
| Update the risk assessment upon changes to the risk profile. CC ID 11627 [The entity identifies and assesses changes (for example, environmental, regulatory, and technological changes and results of the assessment and monitoring of controls) that could significantly affect the system of internal control, and CC3.1(4) The entity reassesses, and revises, as necessary, risk assessments and mitigation strategies based on the identified changes. CC3.1(5)] | Establish/Maintain Documentation | Detective | |
| Review the risk to the audit function when the audit personnel status changes. CC ID 01153 | Audits and Risk Management | Preventive | |
| Document any reasons for modifying or refraining from modifying the organization's risk assessment when the risk assessment has been reviewed. CC ID 13312 | Establish/Maintain Documentation | Preventive | |
| Correlate the business impact of identified risks in the risk assessment report. CC ID 00686 | Audits and Risk Management | Preventive | |
| Analyze and quantify the risks to in scope systems and information. CC ID 00701 [The entity analyzes the significance of risks associated with the identified threats, CC3.1(2) Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Audits and Risk Management | Preventive | |
| Establish and maintain a Risk Scoping and Measurement Definitions Document. CC ID 00703 | Audits and Risk Management | Preventive | |
| Identify the material risks in the risk assessment report. CC ID 06482 | Audits and Risk Management | Preventive | |
| Assess the potential level of business impact risk associated with each business process. CC ID 06463 | Audits and Risk Management | Detective | |
| Assess the potential level of business impact risk associated with the business environment. CC ID 06464 | Audits and Risk Management | Detective | |
| Assess the potential level of business impact risk associated with business information of in scope systems. CC ID 06465 | Audits and Risk Management | Detective | |
| Identify changes to in scope systems that could threaten communication between business units. CC ID 13173 | Investigate | Detective | |
| Assess the potential business impact risk of in scope systems caused by deliberate threats to their confidentiality, integrity, and availability. CC ID 06466 | Audits and Risk Management | Detective | |
| Assess the potential level of business impact risk caused by accidental threats to the confidentiality, integrity and availability of critical systems. CC ID 06467 | Audits and Risk Management | Detective | |
| Assess the potential level of business impact risk associated with reputational damage. CC ID 15335 | Audits and Risk Management | Detective | |
| Assess the potential level of business impact risk associated with insider threats. CC ID 06468 | Audits and Risk Management | Detective | |
| Assess the potential level of business impact risk associated with external entities. CC ID 06469 | Audits and Risk Management | Detective | |
| Assess the potential level of business impact risk associated with natural disasters. CC ID 06470 | Actionable Reports or Measurements | Detective | |
| Assess the potential level of business impact risk associated with control weaknesses. CC ID 06471 | Audits and Risk Management | Detective | |
| Establish a risk acceptance level that is appropriate to the organization's risk appetite. CC ID 00706 | Establish/Maintain Documentation | Preventive | |
| Investigate alternative risk control strategies appropriate to the organization's risk appetite. CC ID 12887 | Investigate | Preventive | |
| Select the appropriate risk treatment option for each identified risk in the risk register. CC ID 06483 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the risk acceptance level in the risk treatment plan to all interested personnel and affected parties. CC ID 06849 | Behavior | Preventive | |
| Perform a gap analysis to review in scope controls for identified risks and implement new controls, as necessary. CC ID 00704 [The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2 The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2 Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Establish/Maintain Documentation | Detective | |
| Document the results of the gap analysis. CC ID 16271 | Establish/Maintain Documentation | Preventive | |
| Prioritize and select controls based on the risk assessment findings. CC ID 00707 | Audits and Risk Management | Preventive | |
| Analyze the effect of threats on organizational strategies and objectives. CC ID 12850 | Process or Activity | Detective | |
| Analyze the effect of opportunities on organizational strategies and objectives. CC ID 12849 | Process or Activity | Detective | |
| Prioritize and categorize the effects of opportunities, threats and requirements on control activities. CC ID 12822 | Audits and Risk Management | Preventive | |
| Determine the effectiveness of risk control measures. CC ID 06601 | Testing | Detective | |
| Develop key indicators to inform management on the effectiveness of risk control measures. CC ID 12946 | Audits and Risk Management | Preventive | |
| Establish, implement, and maintain a risk treatment plan. CC ID 11983 | Establish/Maintain Documentation | Preventive | |
| Include the risk treatment strategy in the risk treatment plan. CC ID 12159 | Establish/Maintain Documentation | Preventive | |
| Revise the risk treatment strategies in the risk treatment plan, as necessary. CC ID 12552 [The entity reassesses, and revises, as necessary, risk assessments and mitigation strategies based on the identified changes. CC3.1(5)] | Establish/Maintain Documentation | Corrective | |
| Include the implemented risk management controls in the risk treatment plan. CC ID 11979 [The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2] | Establish/Maintain Documentation | Preventive | |
Human Resources management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Human Resources management CC ID 00763 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain a personnel management program. CC ID 14018 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a personnel security program. CC ID 10628 | Establish/Maintain Documentation | Preventive | |
| Employ individuals who have the appropriate staff qualifications, staff clearances, and staff competencies. CC ID 00782 | Testing | Detective | |
| Establish, implement, and maintain personnel screening procedures. CC ID 11700 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Establish/Maintain Documentation | Preventive | |
| Perform a background check during personnel screening. CC ID 11758 | Human Resources Management | Detective | |
| Perform a personal identification check during personnel screening. CC ID 06721 | Human Resources Management | Preventive | |
| Perform a criminal records check during personnel screening. CC ID 06643 | Establish/Maintain Documentation | Preventive | |
| Include all residences in the criminal records check. CC ID 13306 | Process or Activity | Preventive | |
| Document any reasons a full criminal records check could not be performed. CC ID 13305 | Establish/Maintain Documentation | Preventive | |
| Perform a personal references check during personnel screening. CC ID 06645 | Human Resources Management | Preventive | |
| Perform a credit check during personnel screening. CC ID 06646 | Human Resources Management | Preventive | |
| Perform an academic records check during personnel screening. CC ID 06647 | Establish/Maintain Documentation | Preventive | |
| Perform a drug test during personnel screening. CC ID 06648 | Testing | Preventive | |
| Perform a resume check during personnel screening. CC ID 06659 | Human Resources Management | Preventive | |
| Perform a curriculum vitae check during personnel screening. CC ID 06660 | Human Resources Management | Preventive | |
| Allow personnel being screened to appeal findings and appeal decisions. CC ID 06720 | Human Resources Management | Preventive | |
| Disseminate and communicate screening results to interested personnel and affected parties. CC ID 16445 | Communicate | Preventive | |
| Establish, implement, and maintain personnel status change and termination procedures. CC ID 06549 | Establish/Maintain Documentation | Preventive | |
| Terminate access rights when notified of a personnel status change or an individual is terminated. CC ID 11826 [{internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2] | Technical Security | Corrective | |
| Establish and maintain the staff structure in line with the strategic plan. CC ID 00764 | Establish Roles | Preventive | |
| Document and communicate role descriptions to all applicable personnel. CC ID 00776 [Information necessary for designing, developing, implementing, operating, maintaining, and monitoring controls, relevant to the [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] of the system, is provided to personnel to carry out their responsibilities. CC2.4 {internal users} The responsibilities of internal and external users and others whose roles affect system operation are communicated to those parties. CC2.3 {internal users} The responsibilities of internal and external users and others whose roles affect system operation are communicated to those parties. CC2.3] | Establish Roles | Detective | |
| Train all personnel and third parties, as necessary. CC ID 00785 | Behavior | Preventive | |
| Establish, implement, and maintain training plans. CC ID 00828 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a security awareness program. CC ID 11746 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the security awareness program to all interested personnel and affected parties. CC ID 00823 | Behavior | Preventive | |
| Train all personnel and third parties on how to recognize and report security incidents. CC ID 01211 [{internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5 {internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5] | Behavior | Preventive | |
| Establish, implement, and maintain a Code of Conduct. CC ID 04897 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a code of conduct for financial recommendations. CC ID 16649 | Establish/Maintain Documentation | Preventive | |
| Include anti-coercion requirements and anti-tying requirements in the Code of Conduct. CC ID 16720 | Establish/Maintain Documentation | Preventive | |
| Include limitations on referrals for products and services in the Code of Conduct. CC ID 16719 | Behavior | Preventive | |
| Include classifications of ethics violations in the Code of Conduct. CC ID 14769 | Establish/Maintain Documentation | Preventive | |
| Include definitions of ethics violations in the Code of Conduct. CC ID 14768 | Establish/Maintain Documentation | Preventive | |
| Include exercising due professional care in the Code of Conduct. CC ID 14210 | Establish/Maintain Documentation | Preventive | |
| Include health and safety provisions in the Code of Conduct. CC ID 16206 | Establish/Maintain Documentation | Preventive | |
| Include organizational values in the Code of Conduct. CC ID 12919 | Process or Activity | Preventive | |
| Include key policies in the Code of Conduct. CC ID 12890 | Establish/Maintain Documentation | Preventive | |
| Include responsibilities to the public trust in the Code of Conduct. CC ID 14209 | Establish/Maintain Documentation | Preventive | |
| Include the vision statement in the Code of Conduct. CC ID 12889 | Establish/Maintain Documentation | Preventive | |
| Include the organization's mission in the Code of Conduct. CC ID 12875 | Establish/Maintain Documentation | Preventive | |
| Include classifications of desired conduct in the Code of Conduct. CC ID 12851 | Establish/Maintain Documentation | Preventive | |
| Include the information security responsibilities of the organization and the individual in the Terms and Conditions of employment. CC ID 12029 | Human Resources Management | Preventive | |
| Include environmental responsibility criteria in the Code of Conduct. CC ID 16209 | Establish/Maintain Documentation | Preventive | |
| Include social responsibility criteria in the Code of Conduct. CC ID 16210 | Establish/Maintain Documentation | Preventive | |
| Include that Information Security responsibilities extend outside normal business hours and organizational facilities in the Terms and Conditions of employment. CC ID 04580 | Establish/Maintain Documentation | Preventive | |
| Include labor rights criteria in the Code of Conduct. CC ID 16208 | Establish/Maintain Documentation | Preventive | |
| Include the employee's legal responsibilities and rights in the Terms and Conditions of employment. CC ID 15701 | Establish/Maintain Documentation | Preventive | |
| Implement a sanctions process for personnel who fail to comply to the organizational compliance program. CC ID 01442 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Behavior | Corrective | |
| Notify designated personnel when a formal personnel sanctions process is initiated. CC ID 10632 | Communicate | Preventive | |
| Include the legal intellectual property responsibilities in the Code of Conduct. CC ID 04898 | Establish/Maintain Documentation | Detective | |
| Include definitions of desirable conduct in the Code of Conduct. CC ID 12846 | Establish/Maintain Documentation | Preventive | |
| Include notification procedures for allegations of undesirable conduct in the Code of Conduct. CC ID 12855 | Establish/Maintain Documentation | Preventive | |
| Include procedures to identify positive outcomes in the Code of Conduct. CC ID 12854 | Establish/Maintain Documentation | Preventive | |
| Take disciplinary actions against individuals who violate the Code of Conduct. CC ID 06435 | Behavior | Preventive | |
| Require personnel to sign the Code of Conduct as a part of the Terms and Conditions of employment. CC ID 06664 | Establish/Maintain Documentation | Preventive | |
| Require all personnel to re-sign the Code of Conduct, as necessary. CC ID 06666 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain performance reviews. CC ID 14777 | Business Processes | Detective | |
| Conduct staff performance reviews, as necessary. CC ID 07205 [The entity has established procedures to evaluate the competency of personnel responsible for designing, developing, implementing, operating, maintaining, and monitoring the system affecting [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] and provides resources necessary for personnel to fulfill their responsibilities. CC1.3] | Business Processes | Detective | |
| Analyze the documentation produced by staff during the performance review. CC ID 07207 | Establish/Maintain Documentation | Detective | |
Leadership and high level objectives | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Leadership and high level objectives CC ID 00597 | IT Impact Zone | IT Impact Zone | |
| Analyze organizational objectives, functions, and activities. CC ID 00598 | Monitor and Evaluate Occurrences | Preventive | |
| Establish, implement, and maintain organizational objectives. CC ID 09959 | Establish/Maintain Documentation | Preventive | |
| Document and communicate the linkage between organizational objectives, functions, activities, and general controls. CC ID 12398 [The entity's [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. CC2.2] | Establish/Maintain Documentation | Preventive | |
| Identify threats that could affect achieving organizational objectives. CC ID 12827 | Business Processes | Preventive | |
| Identify how opportunities, threats, and external requirements are trending. CC ID 12829 | Process or Activity | Preventive | |
| Identify relationships between opportunities, threats, and external requirements. CC ID 12805 | Process or Activity | Preventive | |
| Review the organization's approach to managing information security, as necessary. CC ID 12005 | Business Processes | Preventive | |
Monitoring and measurement | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Monitoring and measurement CC ID 00636 | IT Impact Zone | IT Impact Zone | |
| Monitor the usage and capacity of critical assets. CC ID 14825 | Monitor and Evaluate Occurrences | Detective | |
| Monitor the usage and capacity of Information Technology assets. CC ID 00668 [Current processing capacity and usage are maintained, monitored, and evaluated to manage capacity demand and to enable the implementation of additional capacity to help meet the entity’s availability commitments and system requirements. A1.1] | Monitor and Evaluate Occurrences | Detective | |
| Monitor all outbound traffic from all systems. CC ID 12970 | Monitor and Evaluate Occurrences | Preventive | |
| Notify the interested personnel and affected parties before the storage unit will reach maximum capacity. CC ID 06773 | Behavior | Detective | |
| Monitor systems for errors and faults. CC ID 04544 | Monitor and Evaluate Occurrences | Detective | |
| Report errors and faults to the appropriate personnel, as necessary. CC ID 14296 | Communicate | Corrective | |
| Compare system performance metrics to organizational standards and industry benchmarks. CC ID 00667 | Monitor and Evaluate Occurrences | Detective | |
| Establish, implement, and maintain logging and monitoring operations. CC ID 00637 | Log Management | Detective | |
| Establish, implement, and maintain intrusion management operations. CC ID 00580 | Monitor and Evaluate Occurrences | Preventive | |
| Monitor systems for inappropriate usage and other security violations. CC ID 00585 | Monitor and Evaluate Occurrences | Detective | |
| Monitor systems for access to restricted data or restricted information. CC ID 04721 | Monitor and Evaluate Occurrences | Detective | |
| Detect unauthorized access to systems. CC ID 06798 [Logical access controls support: prevention and detection of unauthorized access to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.1(3)] | Monitor and Evaluate Occurrences | Detective | |
| Establish, implement, and maintain a risk monitoring program. CC ID 00658 | Establish/Maintain Documentation | Preventive | |
| Monitor for new vulnerabilities. CC ID 06843 [Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Monitor and Evaluate Occurrences | Preventive | |
| Establish, implement, and maintain a compliance monitoring policy. CC ID 00671 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a metrics policy. CC ID 01654 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain an approach for compliance monitoring. CC ID 01653 | Establish/Maintain Documentation | Preventive | |
| Monitor personnel and third parties for compliance to the organizational compliance framework. CC ID 04726 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Monitor and Evaluate Occurrences | Detective | |
| Identify and document instances of non-compliance with the compliance framework. CC ID 06499 | Establish/Maintain Documentation | Preventive | |
| Align enforcement reviews for non-compliance with organizational risk tolerance. CC ID 13063 | Business Processes | Detective | |
| Determine the causes of compliance violations. CC ID 12401 | Investigate | Corrective | |
| Identify and document events surrounding non-compliance with the organizational compliance framework. CC ID 12935 | Establish/Maintain Documentation | Preventive | |
| Determine if multiple compliance violations of the same type could occur. CC ID 12402 | Investigate | Detective | |
| Correct compliance violations. CC ID 13515 | Process or Activity | Corrective | |
| Review the effectiveness of disciplinary actions carried out for compliance violations. CC ID 12403 | Investigate | Detective | |
| Carry out disciplinary actions when a compliance violation is detected. CC ID 06675 | Behavior | Corrective | |
| Align disciplinary actions with the level of compliance violation. CC ID 12404 | Human Resources Management | Preventive | |
| Establish, implement, and maintain disciplinary action notices. CC ID 16577 | Establish/Maintain Documentation | Preventive | |
| Include a copy of the order in the disciplinary action notice. CC ID 16606 | Establish/Maintain Documentation | Preventive | |
| Include the sanctions imposed in the disciplinary action notice. CC ID 16599 | Establish/Maintain Documentation | Preventive | |
| Include the effective date of the sanctions in the disciplinary action notice. CC ID 16589 | Establish/Maintain Documentation | Preventive | |
| Include the requirements that were violated in the disciplinary action notice. CC ID 16588 | Establish/Maintain Documentation | Preventive | |
| Include responses to charges from interested personnel and affected parties in the disciplinary action notice. CC ID 16587 | Establish/Maintain Documentation | Preventive | |
| Include the reasons for imposing sanctions in the disciplinary action notice. CC ID 16586 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the disciplinary action notice to interested personnel and affected parties. CC ID 16585 | Communicate | Preventive | |
| Include required information in the disciplinary action notice. CC ID 16584 | Establish/Maintain Documentation | Preventive | |
| Include a justification for actions taken in the disciplinary action notice. CC ID 16583 | Establish/Maintain Documentation | Preventive | |
| Include a statement on the conclusions of the investigation in the disciplinary action notice. CC ID 16582 | Establish/Maintain Documentation | Preventive | |
| Include the investigation results in the disciplinary action notice. CC ID 16581 | Establish/Maintain Documentation | Preventive | |
| Include a description of the causes of the actions taken in the disciplinary action notice. CC ID 16580 | Establish/Maintain Documentation | Preventive | |
| Include the name of the person responsible for the charges in the disciplinary action notice. CC ID 16579 | Establish/Maintain Documentation | Preventive | |
| Include contact information in the disciplinary action notice. CC ID 16578 | Establish/Maintain Documentation | Preventive | |
Operational and Systems Continuity | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Operational and Systems Continuity CC ID 00731 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain a business continuity program. CC ID 13210 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain system continuity plan strategies. CC ID 00735 | Establish/Maintain Documentation | Preventive | |
| Include damaged site continuity procedures that cover continuing operations in a partially functional primary facility in the continuity plan. CC ID 01374 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain at-risk structure removal or relocation procedures. CC ID 01247 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain physical hazard segregation or removal procedures. CC ID 01248 | Physical and Environmental Protection | Corrective | |
| Include technical preparation considerations for backup operations in the continuity plan. CC ID 01250 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain backup procedures for in scope systems. CC ID 01258 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Systems Continuity | Preventive | |
| Determine which data elements to back up. CC ID 13483 | Data and Information Management | Detective | |
| Document the backup method and backup frequency on a case-by-case basis in the backup procedures. CC ID 01384 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Systems Continuity | Preventive | |
| Establish and maintain off-site electronic media storage facilities. CC ID 00957 | Physical and Environmental Protection | Preventive | |
| Separate the off-site electronic media storage facilities from the primary facility through geographic separation. CC ID 01390 | Testing | Detective | |
| Configure the off-site electronic media storage facilities to utilize timely and effective recovery operations. CC ID 01392 | Configuration | Preventive | |
| Outline explicit mitigation actions for potential off-site electronic media storage facilities accessibility issues for when area-wide disruptions occur or area-wide disasters occur. CC ID 01393 | Establish/Maintain Documentation | Preventive | |
| Review the security of the off-site electronic media storage facilities, as necessary. CC ID 00573 | Systems Continuity | Detective | |
| Store backup media at an off-site electronic media storage facility. CC ID 01332 | Data and Information Management | Preventive | |
| Transport backup media in lockable electronic media storage containers. CC ID 01264 | Data and Information Management | Preventive | |
| Store backup media in a fire-rated container which is not collocated with the operational system. CC ID 14289 | Systems Continuity | Preventive | |
| Identify the access methods for backup media at both the primary facility and the off-site electronic media storage facility. CC ID 01257 | Data and Information Management | Preventive | |
| Store backup vital records in a manner that is accessible for emergency retrieval. CC ID 12765 | Systems Continuity | Preventive | |
| Establish, implement, and maintain security controls to protect offsite data. CC ID 16259 | Data and Information Management | Preventive | |
| Perform backup procedures for in scope systems. CC ID 11692 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Process or Activity | Preventive | |
| Perform full backups in accordance with organizational standards. CC ID 16376 | Data and Information Management | Preventive | |
| Perform incremental backups in accordance with organizational standards. CC ID 16375 | Data and Information Management | Preventive | |
| Back up all records. CC ID 11974 | Systems Continuity | Preventive | |
| Use virtual machine snapshots for full backups and changed block tracking (CBT) for incremental backups. CC ID 16374 | Data and Information Management | Preventive | |
| Document the Recovery Point Objective for triggering backup operations and restoration operations. CC ID 01259 | Establish/Maintain Documentation | Preventive | |
| Encrypt backup data. CC ID 00958 | Configuration | Preventive | |
| Log the execution of each backup. CC ID 00956 | Establish/Maintain Documentation | Preventive | |
| Test backup media for media integrity and information integrity, as necessary. CC ID 01401 | Testing | Detective | |
| Test backup media at the alternate facility in addition to testing at the primary facility. CC ID 06375 | Testing | Detective | |
| Test each restored system for media integrity and information integrity. CC ID 01920 | Testing | Detective | |
| Include stakeholders when testing restored systems, as necessary. CC ID 13066 | Testing | Corrective | |
| Digitally sign disk images, as necessary. CC ID 06814 | Establish/Maintain Documentation | Preventive | |
| Prepare the alternate facility for an emergency offsite relocation. CC ID 00744 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Systems Continuity | Preventive | |
| Include coverage for alternate facilities for all offices in contingency arrangements. CC ID 00746 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain Service Level Agreements for all alternate facilities. CC ID 00745 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Establish/Maintain Documentation | Preventive | |
| Include recovery time in Service Level Agreements for all alternate facilities. CC ID 16331 | Establish/Maintain Documentation | Preventive | |
| Include priority-of-service provisions in Service Level Agreements for all alternate facilities. CC ID 16330 | Establish/Maintain Documentation | Preventive | |
| Include backup media transportation in Service Level Agreements for alternate facilities. CC ID 16329 | Establish/Maintain Documentation | Preventive | |
| Include transportation services in Service Level Agreements for alternate facilities. CC ID 16328 | Establish/Maintain Documentation | Preventive | |
| Include that the shared service provider will not oversubscribe their services in the Service Level Agreement. CC ID 04892 | Establish/Maintain Documentation | Preventive | |
| Include emergency scalability for services, capacity, and capability in the shared service provider's Service Level Agreement. CC ID 04893 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain Memorandums Of Understanding for all alternate facilities. CC ID 11695 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Establish/Maintain Documentation | Preventive | |
| Configure the alternate facility to meet the least needed operational capabilities. CC ID 01395 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Configuration | Preventive | |
| Establish, implement, and maintain logical access controls at alternate facilities. CC ID 13227 | Technical Security | Preventive | |
| Establish, implement, and maintain physical access controls for alternate facilities. CC ID 13226 | Physical and Environmental Protection | Preventive | |
| Notify the primary facilities of any changes at the alternate facilities that could affect the continuity plan. CC ID 13225 | Communicate | Preventive | |
| Protect backup systems and restoration systems at the alternate facility. CC ID 04883 | Systems Continuity | Preventive | |
| Review the alternate facility preparation procedures. CC ID 04884 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Systems Continuity | Detective | |
| Establish, implement, and maintain a business continuity plan testing program. CC ID 14829 | Testing | Preventive | |
| Test the continuity plan, as necessary. CC ID 00755 [Recovery plan procedures supporting system recovery are tested to help meet the entity’s availability commitments and system requirements. A1.3] | Testing | Detective | |
| Include coverage of all major components in the scope of testing the continuity plan. CC ID 12767 | Testing | Preventive | |
| Include third party recovery services in the scope of testing the continuity plan. CC ID 12766 | Testing | Preventive | |
| Validate the emergency communications procedures during continuity plan tests. CC ID 12777 | Testing | Preventive | |
| Include the coordination and interfaces among third parties in the coverage of the scope of testing the continuity plan. CC ID 12769 | Testing | Preventive | |
| Involve senior management, as necessary, when testing the continuity plan. CC ID 13793 | Testing | Detective | |
| Test the continuity plan under conditions that simulate a disaster or disruption. CC ID 00757 | Testing | Detective | |
| Analyze system interdependence during continuity plan tests. CC ID 13082 | Testing | Detective | |
| Validate the evacuation plans during continuity plan tests. CC ID 12760 | Testing | Preventive | |
| Test the continuity plan at the alternate facility. CC ID 01174 | Testing | Detective | |
| Include predefined goals and realistic conditions during off-site testing. CC ID 01175 | Establish/Maintain Documentation | Preventive | |
| Coordinate testing the continuity plan with all applicable business units and critical business functions. CC ID 01388 | Testing | Preventive | |
| Review all third party's continuity plan test results. CC ID 01365 | Testing | Detective | |
| Automate the off-site testing to more thoroughly test the continuity plan. CC ID 01389 | Testing | Detective | |
| Document the continuity plan test results and provide them to interested personnel and affected parties. CC ID 06548 | Actionable Reports or Measurements | Preventive | |
| Approve the continuity plan test results. CC ID 15718 | Systems Continuity | Preventive | |
| Retest the continuity plan after correcting reported deficiencies documented in the continuity plan test results. CC ID 06553 | Testing | Detective | |
| Conduct full recovery and restoration of service testing for high impact systems at the alternate facility. CC ID 01404 | Testing | Detective | |
Operational management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Operational management CC ID 00805 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain a capacity management plan. CC ID 11751 | Establish/Maintain Documentation | Preventive | |
| Align critical Information Technology resource availability planning with capacity planning. CC ID 01618 | Business Processes | Preventive | |
| Limit any effects of a Denial of Service attack. CC ID 06754 [Current processing capacity and usage are maintained, monitored, and evaluated to manage capacity demand and to enable the implementation of additional capacity to help meet the entity’s availability commitments and system requirements. A1.1] | Technical Security | Preventive | |
| Implement network redundancy, as necessary. CC ID 13048 | Systems Continuity | Preventive | |
| Establish, implement, and maintain a Governance, Risk, and Compliance framework. CC ID 01406 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Establish/Maintain Documentation | Preventive | |
| Include enterprise architecture in the Governance, Risk, and Compliance framework. CC ID 13266 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate updates to the Governance, Risk, and Compliance framework to interested personnel and affected parties. CC ID 06955 [{internal users} Changes to the entity’s confidentiality commitments and system requirements are communicated to internal and external users, vendors, and other third parties whose products and services are part of the system. C1.6] | Behavior | Preventive | |
| Establish, implement, and maintain security requirements based on applicable regulations. CC ID 16283 | Establish/Maintain Documentation | Preventive | |
| Acquire resources necessary to support Governance, Risk, and Compliance. CC ID 12861 | Acquisition/Sale of Assets or Services | Preventive | |
| Integrate the use of technology in supporting the Governance, Risk, and Compliance capabilities. CC ID 12915 | Process or Activity | Preventive | |
| Establish, implement, and maintain a prioritized plan for updating the Governance, Risk, and Compliance framework. CC ID 12853 | Establish/Maintain Documentation | Preventive | |
| Evaluate the use of technology in supporting Governance, Risk, and Compliance capabilities. CC ID 12895 | Process or Activity | Preventive | |
| Analyze the effect of the Governance, Risk, and Compliance capability to achieve organizational objectives. CC ID 12809 | Audits and Risk Management | Preventive | |
| Assign accountability for maintaining the Governance, Risk, and Compliance framework. CC ID 12523 | Human Resources Management | Preventive | |
| Assign defining the program for disseminating and communicating the Governance, Risk, and Compliance framework. CC ID 12524 | Human Resources Management | Preventive | |
| Establish, implement, and maintain a compliance policy. CC ID 14807 | Establish/Maintain Documentation | Preventive | |
| Include the standard of conduct and accountability in the compliance policy. CC ID 14813 | Establish/Maintain Documentation | Preventive | |
| Include the scope in the compliance policy. CC ID 14812 | Establish/Maintain Documentation | Preventive | |
| Include roles and responsibilities in the compliance policy. CC ID 14811 | Establish/Maintain Documentation | Preventive | |
| Include a commitment to continual improvement in the compliance policy. CC ID 14810 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the compliance policy to interested personnel and affected parties. CC ID 14809 | Communicate | Preventive | |
| Include management commitment in the compliance policy. CC ID 14808 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a governance policy. CC ID 15587 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the governance policy to all interested personnel and affected parties. CC ID 15625 | Communicate | Preventive | |
| Include a commitment to continuous improvement in the governance policy. CC ID 15595 | Establish/Maintain Documentation | Preventive | |
| Include roles and responsibilities in the governance policy. CC ID 15594 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a positive information control environment. CC ID 00813 | Business Processes | Preventive | |
| Make compliance and governance decisions in a timely manner. CC ID 06490 | Behavior | Preventive | |
| Establish, implement, and maintain an internal control framework. CC ID 00820 | Establish/Maintain Documentation | Preventive | |
| Define the scope for the internal control framework. CC ID 16325 | Business Processes | Preventive | |
| Review the relevance of information supporting internal controls. CC ID 12420 | Business Processes | Detective | |
| Measure policy compliance when reviewing the internal control framework. CC ID 06442 | Actionable Reports or Measurements | Corrective | |
| Assign ownership of the internal control framework to the appropriate organizational role. CC ID 06437 | Establish Roles | Preventive | |
| Assign resources to implement the internal control framework. CC ID 00816 [The entity has established procedures to evaluate the competency of personnel responsible for designing, developing, implementing, operating, maintaining, and monitoring the system affecting [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] and provides resources necessary for personnel to fulfill their responsibilities. CC1.3] | Business Processes | Preventive | |
| Define and assign the roles and responsibilities for interested personnel and affected parties when establishing, implementing, and maintaining the internal control framework. CC ID 07146 | Establish Roles | Preventive | |
| Establish, implement, and maintain a baseline of internal controls. CC ID 12415 | Business Processes | Preventive | |
| Include the business need justification for excluding controls in the baseline of internal controls. CC ID 16129 | Establish/Maintain Documentation | Preventive | |
| Include the implementation status of controls in the baseline of internal controls. CC ID 16128 | Establish/Maintain Documentation | Preventive | |
| Leverage actionable information to support internal controls. CC ID 12414 | Business Processes | Preventive | |
| Include procedures for continuous quality improvement in the internal control framework. CC ID 00819 | Establish/Maintain Documentation | Preventive | |
| Include continuous service account management procedures in the internal control framework. CC ID 13860 | Establish/Maintain Documentation | Preventive | |
| Include threat assessment in the internal control framework. CC ID 01347 | Establish/Maintain Documentation | Preventive | |
| Automate threat assessments, as necessary. CC ID 06877 | Configuration | Preventive | |
| Include vulnerability management and risk assessment in the internal control framework. CC ID 13102 | Establish/Maintain Documentation | Preventive | |
| Automate vulnerability management, as necessary. CC ID 11730 | Configuration | Preventive | |
| Include personnel security procedures in the internal control framework. CC ID 01349 | Establish/Maintain Documentation | Preventive | |
| Include continuous security warning monitoring procedures in the internal control framework. CC ID 01358 | Establish/Maintain Documentation | Preventive | |
| Include incident alert thresholds in the continuous security warning monitoring procedures. CC ID 13205 | Establish/Maintain Documentation | Preventive | |
| Include security information sharing procedures in the internal control framework. CC ID 06489 | Establish/Maintain Documentation | Preventive | |
| Share security information with interested personnel and affected parties. CC ID 11732 | Communicate | Preventive | |
| Evaluate information sharing partners, as necessary. CC ID 12749 | Process or Activity | Preventive | |
| Include security incident response procedures in the internal control framework. CC ID 01359 | Establish/Maintain Documentation | Preventive | |
| Include incident response escalation procedures in the internal control framework. CC ID 11745 | Establish/Maintain Documentation | Preventive | |
| Include continuous user account management procedures in the internal control framework. CC ID 01360 | Establish/Maintain Documentation | Preventive | |
| Include emergency response procedures in the internal control framework. CC ID 06779 | Establish/Maintain Documentation | Detective | |
| Authorize and document all exceptions to the internal control framework. CC ID 06781 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the internal control framework to all interested personnel and affected parties. CC ID 15229 | Communicate | Preventive | |
| Disseminate and communicate the cybersecurity policy to interested personnel and affected parties. CC ID 16835 | Communicate | Preventive | |
| Establish, implement, and maintain a cybersecurity policy. CC ID 16833 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain an information security program. CC ID 00812 | Establish/Maintain Documentation | Preventive | |
| Include physical safeguards in the information security program. CC ID 12375 | Establish/Maintain Documentation | Preventive | |
| Include technical safeguards in the information security program. CC ID 12374 | Establish/Maintain Documentation | Preventive | |
| Include administrative safeguards in the information security program. CC ID 12373 | Establish/Maintain Documentation | Preventive | |
| Include system development in the information security program. CC ID 12389 | Establish/Maintain Documentation | Preventive | |
| Include system maintenance in the information security program. CC ID 12388 | Establish/Maintain Documentation | Preventive | |
| Include system acquisition in the information security program. CC ID 12387 | Establish/Maintain Documentation | Preventive | |
| Include access control in the information security program. CC ID 12386 | Establish/Maintain Documentation | Preventive | |
| Review and approve access controls, as necessary. CC ID 13074 | Process or Activity | Detective | |
| Include operations management in the information security program. CC ID 12385 | Establish/Maintain Documentation | Preventive | |
| Include communication management in the information security program. CC ID 12384 | Establish/Maintain Documentation | Preventive | |
| Include environmental security in the information security program. CC ID 12383 | Establish/Maintain Documentation | Preventive | |
| Include physical security in the information security program. CC ID 12382 | Establish/Maintain Documentation | Preventive | |
| Include human resources security in the information security program. CC ID 12381 | Establish/Maintain Documentation | Preventive | |
| Include asset management in the information security program. CC ID 12380 | Establish/Maintain Documentation | Preventive | |
| Include a continuous monitoring program in the information security program. CC ID 14323 | Establish/Maintain Documentation | Preventive | |
| Include change management procedures in the continuous monitoring plan. CC ID 16227 | Establish/Maintain Documentation | Preventive | |
| include recovery procedures in the continuous monitoring plan. CC ID 16226 | Establish/Maintain Documentation | Preventive | |
| Include mechanisms for decommissioning a system in the continuous monitoring plan. CC ID 16225 | Establish/Maintain Documentation | Preventive | |
| Include mechanisms for appeal and override in the continuous monitoring plan. CC ID 16223 | Establish/Maintain Documentation | Preventive | |
| Include how the information security department is organized in the information security program. CC ID 12379 | Establish/Maintain Documentation | Preventive | |
| Include risk management in the information security program. CC ID 12378 | Establish/Maintain Documentation | Preventive | |
| Include mitigating supply chain risks in the information security program. CC ID 13352 | Establish/Maintain Documentation | Preventive | |
| Provide management direction and support for the information security program. CC ID 11999 | Process or Activity | Preventive | |
| Monitor and review the effectiveness of the information security program. CC ID 12744 | Monitor and Evaluate Occurrences | Preventive | |
| Establish, implement, and maintain an information security policy. CC ID 11740 | Establish/Maintain Documentation | Preventive | |
| Align the information security policy with the organization's risk acceptance level. CC ID 13042 | Business Processes | Preventive | |
| Include business processes in the information security policy. CC ID 16326 | Establish/Maintain Documentation | Preventive | |
| Include the information security strategy in the information security policy. CC ID 16125 | Establish/Maintain Documentation | Preventive | |
| Include a commitment to continuous improvement in the information security policy. CC ID 16123 | Establish/Maintain Documentation | Preventive | |
| Include roles and responsibilities in the information security policy. CC ID 16120 | Establish/Maintain Documentation | Preventive | |
| Include a commitment to the information security requirements in the information security policy. CC ID 13496 | Establish/Maintain Documentation | Preventive | |
| Include information security objectives in the information security policy. CC ID 13493 | Establish/Maintain Documentation | Preventive | |
| Include the use of Cloud Services in the information security policy. CC ID 13146 | Establish/Maintain Documentation | Preventive | |
| Include notification procedures in the information security policy. CC ID 16842 | Establish/Maintain Documentation | Preventive | |
| Approve the information security policy at the organization's management level or higher. CC ID 11737 | Process or Activity | Preventive | |
| Establish, implement, and maintain information security procedures. CC ID 12006 | Business Processes | Preventive | |
| Describe the group activities that protect restricted data in the information security procedures. CC ID 12294 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the information security procedures to all interested personnel and affected parties. CC ID 16303 | Communicate | Preventive | |
| Document the roles and responsibilities for all activities that protect restricted data in the information security procedures. CC ID 12304 | Establish/Maintain Documentation | Preventive | |
| Define thresholds for approving information security activities in the information security program. CC ID 15702 | Process or Activity | Preventive | |
| Assign ownership of the information security program to the appropriate role. CC ID 00814 | Establish Roles | Preventive | |
| Assign the responsibility for establishing, implementing, and maintaining the information security program to the appropriate role. CC ID 11884 | Human Resources Management | Preventive | |
| Assign information security responsibilities to interested personnel and affected parties in the information security program. CC ID 11885 | Establish/Maintain Documentation | Preventive | |
| Assign the responsibility for distributing the information security program to the appropriate role. CC ID 11883 | Human Resources Management | Preventive | |
| Disseminate and communicate the information security policy to interested personnel and affected parties. CC ID 11739 | Communicate | Preventive | |
| Establish, implement, and maintain a social media governance program. CC ID 06536 | Establish/Maintain Documentation | Preventive | |
| Refrain from requiring supervision when users are accessing social media applications. CC ID 14011 | Business Processes | Preventive | |
| Refrain from requiring users to disclose social media account usernames or authenticators. CC ID 14009 | Business Processes | Preventive | |
| Refrain from accepting instant messages from unknown senders. CC ID 12537 | Behavior | Preventive | |
| Include instant messaging, texting, and tweeting in the social media acceptable use policy. CC ID 04578 | Establish/Maintain Documentation | Preventive | |
| Include explicit restrictions in the social media acceptable use policy. CC ID 06655 | Establish/Maintain Documentation | Preventive | |
| Include contributive content sites in the social media acceptable use policy. CC ID 06656 | Establish/Maintain Documentation | Preventive | |
| Perform social network analysis, as necessary. CC ID 14864 | Investigate | Detective | |
| Establish, implement, and maintain operational control procedures. CC ID 00831 | Establish/Maintain Documentation | Preventive | |
| Include assigning and approving operations in operational control procedures. CC ID 06382 | Establish/Maintain Documentation | Preventive | |
| Include startup processes in operational control procedures. CC ID 00833 | Establish/Maintain Documentation | Preventive | |
| Include change control processes in the operational control procedures. CC ID 16793 | Establish/Maintain Documentation | Preventive | |
| Establish and maintain a data processing run manual. CC ID 00832 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a Standard Operating Procedures Manual. CC ID 00826 | Establish/Maintain Documentation | Preventive | |
| Use systems in accordance with the standard operating procedures manual. CC ID 15049 | Process or Activity | Preventive | |
| Include metrics in the standard operating procedures manual. CC ID 14988 | Establish/Maintain Documentation | Preventive | |
| Include maintenance measures in the standard operating procedures manual. CC ID 14986 | Establish/Maintain Documentation | Preventive | |
| Include the expected lifetime of the system in the standard operating procedures manual. CC ID 14984 | Establish/Maintain Documentation | Preventive | |
| Include technical measures used to interpret output in the standard operating procedures manual. CC ID 14982 | Establish/Maintain Documentation | Preventive | |
| Include predetermined changes in the standard operating procedures manual. CC ID 14977 | Establish/Maintain Documentation | Preventive | |
| Include specifications for input data in the standard operating procedures manual. CC ID 14975 | Establish/Maintain Documentation | Preventive | |
| Include risks to health and safety or fundamental rights in the standard operating procedures manual. CC ID 14973 | Establish/Maintain Documentation | Preventive | |
| Include circumstances that may impact the system in the standard operating procedures manual. CC ID 14972 | Establish/Maintain Documentation | Preventive | |
| Include what the system was tested and validated for in the standard operating procedures manual. CC ID 14969 | Establish/Maintain Documentation | Preventive | |
| Include the intended purpose in the standard operating procedures manual. CC ID 14967 | Establish/Maintain Documentation | Preventive | |
| Include information on system performance in the standard operating procedures manual. CC ID 14965 | Establish/Maintain Documentation | Preventive | |
| Include contact details in the standard operating procedures manual. CC ID 14962 | Establish/Maintain Documentation | Preventive | |
| Include information sharing procedures in standard operating procedures. CC ID 12974 | Records Management | Preventive | |
| Establish, implement, and maintain information sharing agreements. CC ID 15645 | Business Processes | Preventive | |
| Provide support for information sharing activities. CC ID 15644 | Process or Activity | Preventive | |
| Adhere to operating procedures as defined in the Standard Operating Procedures Manual. CC ID 06328 | Business Processes | Preventive | |
| Update operating procedures that contribute to user errors. CC ID 06935 | Establish/Maintain Documentation | Corrective | |
| Disseminate and communicate the Standard Operating Procedures Manual to all interested personnel and affected parties. CC ID 12026 [{internal users} {system boundaries} Information regarding the design and operation of the system and its boundaries has been prepared and communicated to authorized internal and external users of the system to permit users to understand their role in the system and the results of system operation. CC2.1 {internal users} {system boundaries} Information regarding the design and operation of the system and its boundaries has been prepared and communicated to authorized internal and external users of the system to permit users to understand their role in the system and the results of system operation. CC2.1] | Communicate | Preventive | |
| Establish, implement, and maintain a job scheduling methodology. CC ID 00834 | Establish/Maintain Documentation | Preventive | |
| Establish and maintain a job schedule exceptions list. CC ID 00835 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a data processing continuity plan. CC ID 00836 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain Voice over Internet Protocol operating procedures. CC ID 04583 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain the Acceptable Use Policy. CC ID 01350 | Establish/Maintain Documentation | Preventive | |
| Include that explicit management authorization must be given for the use of all technologies and their documentation in the Acceptable Use Policy. CC ID 01351 | Establish/Maintain Documentation | Preventive | |
| Include requiring users to protect restricted data in accordance with the Governance, Risk, and Compliance framework in the Acceptable Use Policy. CC ID 11894 | Establish/Maintain Documentation | Preventive | |
| Include Bring Your Own Device agreements in the Acceptable Use Policy. CC ID 15703 | Establish/Maintain Documentation | Preventive | |
| Include the obligations of users in the Bring Your Own Device agreement. CC ID 15708 | Establish/Maintain Documentation | Preventive | |
| Include the rights of the organization in the Bring Your Own Device agreement. CC ID 15707 | Establish/Maintain Documentation | Preventive | |
| Include the circumstances in which the organization may confiscate, audit, or inspect assets in the Bring Your Own Device agreement. CC ID 15706 | Establish/Maintain Documentation | Preventive | |
| Include the circumstances in which the organization may manage assets in the Bring Your Own Device agreement. CC ID 15705 | Establish/Maintain Documentation | Preventive | |
| Include Bring Your Own Device usage in the Acceptable Use Policy. CC ID 12293 | Establish/Maintain Documentation | Preventive | |
| Include a web usage policy in the Acceptable Use Policy. CC ID 16496 | Establish/Maintain Documentation | Preventive | |
| Include Bring Your Own Device security guidelines in the Acceptable Use Policy. CC ID 01352 | Establish/Maintain Documentation | Preventive | |
| Include asset tags in the Acceptable Use Policy. CC ID 01354 | Establish/Maintain Documentation | Preventive | |
| Specify the owner of applicable assets in the Acceptable Use Policy. CC ID 15699 | Establish/Maintain Documentation | Preventive | |
| Include asset use policies in the Acceptable Use Policy. CC ID 01355 | Establish/Maintain Documentation | Preventive | |
| Include authority for access authorization lists for assets in all relevant Acceptable Use Policies. CC ID 11872 | Establish/Maintain Documentation | Preventive | |
| Include access control mechanisms in the Acceptable Use Policy. CC ID 01353 | Establish/Maintain Documentation | Preventive | |
| Include temporary activation of remote access technologies for third parties in the Acceptable Use Policy. CC ID 11892 | Technical Security | Preventive | |
| Include prohibiting the copying or moving of restricted data from its original source onto local hard drives or removable storage media in the Acceptable Use Policy. CC ID 11893 | Establish/Maintain Documentation | Preventive | |
| Include a removable storage media use policy in the Acceptable Use Policy. CC ID 06772 | Data and Information Management | Preventive | |
| Correlate the Acceptable Use Policy with the network security policy. CC ID 01356 | Establish/Maintain Documentation | Preventive | |
| Include appropriate network locations for each technology in the Acceptable Use Policy. CC ID 11881 | Establish/Maintain Documentation | Preventive | |
| Correlate the Acceptable Use Policy with the approved product list. CC ID 01357 | Establish/Maintain Documentation | Preventive | |
| Include facility access and facility use in the Acceptable Use Policy. CC ID 06441 | Establish/Maintain Documentation | Preventive | |
| Include disciplinary actions in the Acceptable Use Policy. CC ID 00296 | Establish/Maintain Documentation | Corrective | |
| Include the usage restrictions of mobile code technologies in the Acceptable Use Policy. CC ID 15311 | Establish/Maintain Documentation | Preventive | |
| Include a software installation policy in the Acceptable Use Policy. CC ID 06749 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Establish/Maintain Documentation | Preventive | |
| Document idle session termination and logout for remote access technologies in the Acceptable Use Policy. CC ID 12472 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the Acceptable Use Policy to all interested personnel and affected parties. CC ID 12431 | Communicate | Preventive | |
| Require interested personnel and affected parties to sign Acceptable Use Policies. CC ID 06661 | Establish/Maintain Documentation | Preventive | |
| Require interested personnel and affected parties to re-sign Acceptable Use Policies, as necessary. CC ID 06663 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain an Intellectual Property Right program. CC ID 00821 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain domain name registration and renewal procedures. CC ID 07075 | Business Processes | Preventive | |
| Establish, implement, and maintain Intellectual Property Rights protection procedures. CC ID 11512 | Establish/Maintain Documentation | Preventive | |
| Protect against circumvention of the organization's Intellectual Property Rights. CC ID 11513 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain an e-mail policy. CC ID 06439 | Establish/Maintain Documentation | Preventive | |
| Include business use of personal e-mail in the e-mail policy. CC ID 14381 | Establish/Maintain Documentation | Preventive | |
| Identify the sender in all electronic messages. CC ID 13996 | Data and Information Management | Preventive | |
| Protect policies, standards, and procedures from unauthorized modification or disclosure. CC ID 10603 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain nondisclosure agreements. CC ID 04536 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate nondisclosure agreements to interested personnel and affected parties. CC ID 16191 | Communicate | Preventive | |
| Require interested personnel and affected parties to sign nondisclosure agreements. CC ID 06667 | Establish/Maintain Documentation | Preventive | |
| Require interested personnel and affected parties to re-sign nondisclosure agreements, as necessary. CC ID 06669 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a use of information agreement. CC ID 06215 | Establish/Maintain Documentation | Preventive | |
| Include use limitations in the use of information agreement. CC ID 06244 | Establish/Maintain Documentation | Preventive | |
| Include disclosure requirements in the use of information agreement. CC ID 11735 | Establish/Maintain Documentation | Preventive | |
| Include information recipients in the use of information agreement. CC ID 06245 | Establish/Maintain Documentation | Preventive | |
| Include reporting out of scope use of information in the use of information agreement. CC ID 06246 | Establish/Maintain Documentation | Preventive | |
| Include disclosure of information in the use of information agreement. CC ID 11830 | Establish/Maintain Documentation | Preventive | |
| Include information security procedures assigned to the information recipient in the use of information agreement. CC ID 07130 | Establish/Maintain Documentation | Preventive | |
| Include information security procedures assigned to the originator in the use of information agreement. CC ID 14418 | Establish/Maintain Documentation | Preventive | |
| Include a do not contact rule for the individuals identified in a data set in the use of information agreement. CC ID 07131 | Establish/Maintain Documentation | Preventive | |
| Include the information recipient's third parties accepting the agreement in the use of information agreement. CC ID 07132 | Establish/Maintain Documentation | Preventive | |
| Implement and comply with the Governance, Risk, and Compliance framework. CC ID 00818 | Business Processes | Preventive | |
| Analyze how policies used to create management boundaries relates to the Governance, Risk, and Compliance approach. CC ID 12821 | Process or Activity | Preventive | |
| Analyze how the organization sets limits in policies relating to the Governance, Risk, and Compliance approach. CC ID 12819 | Process or Activity | Preventive | |
| Analyze how the Board of Directors' and senior management's tone influences the Governance, Risk, and Compliance approach. CC ID 12818 | Process or Activity | Preventive | |
| Analyze the degree to which the governing body is engaged in the Governance, Risk, and Compliance approach. CC ID 12817 | Process or Activity | Preventive | |
| Analyze the Governance, Risk, and Compliance approach. CC ID 12816 | Process or Activity | Preventive | |
| Analyze the organizational culture. CC ID 12899 | Process or Activity | Preventive | |
| Include individual commitment to the organization's Governance, Risk, and Compliance framework in the analysis of the organizational culture. CC ID 12922 | Process or Activity | Detective | |
| Include the organizational climate in the analysis of the organizational culture. CC ID 12921 | Process or Activity | Detective | |
| Include consistency of leadership actions to mission, vision, and values in the analysis of the organizational culture. CC ID 12920 | Process or Activity | Detective | |
| Include employee engagement in the analysis of the organizational culture. CC ID 12914 | Behavior | Preventive | |
| Include contractual relationships with workforce members in the analysis of the organizational culture. CC ID 15674 | Business Processes | Preventive | |
| Include the number of workforce members who are not employees in the analysis of the organizational culture. CC ID 15673 | Business Processes | Preventive | |
| Include the type of work performed by workforce members in the analysis of the organizational culture. CC ID 15675 | Business Processes | Preventive | |
| Include skill development in the analysis of the organizational culture. CC ID 12913 | Behavior | Preventive | |
| Include employee turnover rates in the analysis of the organizational culture. CC ID 12912 | Behavior | Preventive | |
| Include demographic characteristics of employees in the analysis of the organizational culture. CC ID 15671 | Business Processes | Preventive | |
| Include employee loyalty in the analysis of the organizational culture. CC ID 12911 | Behavior | Preventive | |
| Include employee satisfaction in the analysis of the organizational culture. CC ID 12910 | Behavior | Preventive | |
| Establish, implement, and maintain consequences for non-compliance with the organizational compliance framework. CC ID 11747 | Process or Activity | Corrective | |
| Comply with all implemented policies in the organization's compliance framework. CC ID 06384 | Establish/Maintain Documentation | Preventive | |
| Provide assurance to interested personnel and affected parties that the Governance, Risk, and Compliance capability is reliable, effective, efficient, and responsive. CC ID 12788 | Communicate | Preventive | |
| Review systems for compliance with organizational information security policies. CC ID 12004 | Business Processes | Preventive | |
| Disseminate and communicate the Governance, Risk, and Compliance framework to all interested personnel and affected parties. CC ID 00815 [The entity's [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. CC2.2] | Behavior | Preventive | |
| Establish, implement, and maintain an Asset Management program. CC ID 06630 | Business Processes | Preventive | |
| Establish, implement, and maintain a software accountability policy. CC ID 00868 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain software asset management procedures. CC ID 00895 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Establish/Maintain Documentation | Preventive | |
| Prevent users from disabling required software. CC ID 16417 | Technical Security | Preventive | |
| Establish, implement, and maintain software archives procedures. CC ID 00866 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain software distribution procedures. CC ID 00894 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain software documentation management procedures. CC ID 06395 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain software license management procedures. CC ID 06639 | Establish/Maintain Documentation | Preventive | |
| Automate software license monitoring, as necessary. CC ID 07057 | Monitor and Evaluate Occurrences | Preventive | |
| Establish, implement, and maintain a system preventive maintenance program. CC ID 00885 | Establish/Maintain Documentation | Preventive | |
| Perform periodic maintenance according to organizational standards. CC ID 01435 | Behavior | Preventive | |
| Control granting access to appropriate parties performing maintenance on organizational assets. CC ID 11873 | Human Resources Management | Preventive | |
| Identify and authenticate appropriate parties prior to granting access to maintain assets. CC ID 11874 [{internal users} Internal and external users are identified and authenticated when accessing the system components (for example, infrastructure, software, and data) to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.3] | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain a customer service program. CC ID 00846 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain an Incident Management program. CC ID 00853 | Business Processes | Preventive | |
| Include detection procedures in the Incident Management program. CC ID 00588 | Establish/Maintain Documentation | Preventive | |
| Respond to and triage when an incident is detected. CC ID 06942 | Monitor and Evaluate Occurrences | Detective | |
| Document the incident and any relevant evidence in the incident report. CC ID 08659 [[Insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] incidents, including logical and physical security breaches, failures, and identified vulnerabilities, are identified and reported to appropriate personnel and acted on in accordance with established incident response procedures to meet the entity’s commitments and system requirements. CC6.2] | Establish/Maintain Documentation | Detective | |
| Share incident information with interested personnel and affected parties. CC ID 01212 [[Insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] incidents, including logical and physical security breaches, failures, and identified vulnerabilities, are identified and reported to appropriate personnel and acted on in accordance with established incident response procedures to meet the entity’s commitments and system requirements. CC6.2] | Data and Information Management | Corrective | |
| Share data loss event information with the media. CC ID 01759 | Behavior | Corrective | |
| Comply with privacy regulations and civil liberties requirements when sharing data loss event information. CC ID 10036 | Data and Information Management | Preventive | |
| Share data loss event information with interconnected system owners. CC ID 01209 | Establish/Maintain Documentation | Corrective | |
| Notify interested personnel and affected parties of an extortion payment in the event of a cybersecurity event. CC ID 16539 | Communicate | Preventive | |
| Notify interested personnel and affected parties of the reasons for the extortion payment, along with any alternative solutions. CC ID 16538 | Communicate | Preventive | |
| Document the justification for not reporting incidents to interested personnel and affected parties. CC ID 16547 | Establish/Maintain Documentation | Preventive | |
| Report data loss event information to breach notification organizations. CC ID 01210 | Data and Information Management | Corrective | |
| Submit an incident management audit log to the proper authorities for each security breach that affects a predefined number of individuals, as necessary. CC ID 06326 | Log Management | Detective | |
| Report to breach notification organizations the reasons for a delay in sending breach notifications. CC ID 16797 | Communicate | Preventive | |
| Report to breach notification organizations the distribution list to which the organization will send data loss event notifications. CC ID 16782 | Communicate | Preventive | |
| Report to breach notification organizations the time frame in which the organization will send data loss event notifications to interested personnel and affected parties. CC ID 04731 | Behavior | Corrective | |
| Include data loss event notifications in the Incident Response program. CC ID 00364 | Establish/Maintain Documentation | Preventive | |
| Notify interested personnel and affected parties of the privacy breach that affects their personal data. CC ID 00365 [{breach notification} {incident notification} The entity provides notification of breaches and incidents to affected data subjects, regulators, and others consistent with the entity’s privacy commitments and system requirements. P6.7] | Behavior | Corrective | |
| Determine whether or not incident response notifications are necessary during the privacy breach investigation. CC ID 00801 | Behavior | Detective | |
| Delay sending incident response notifications under predetermined conditions. CC ID 00804 | Behavior | Corrective | |
| Include required information in the written request to delay the notification to affected parties. CC ID 16785 | Establish/Maintain Documentation | Preventive | |
| Submit written requests to delay the notification of affected parties. CC ID 16783 | Communicate | Preventive | |
| Revoke the written request to delay the notification. CC ID 16843 | Process or Activity | Preventive | |
| Design the text of the notice for all incident response notifications to be no smaller than 10-point type. CC ID 12985 | Establish/Maintain Documentation | Preventive | |
| Avoid false positive incident response notifications. CC ID 04732 | Behavior | Detective | |
| Establish, implement, and maintain incident response notifications. CC ID 12975 | Establish/Maintain Documentation | Corrective | |
| Refrain from charging for providing incident response notifications. CC ID 13876 | Business Processes | Preventive | |
| Include information required by law in incident response notifications. CC ID 00802 | Establish/Maintain Documentation | Detective | |
| Title breach notifications "Notice of Data Breach". CC ID 12977 | Establish/Maintain Documentation | Preventive | |
| Display titles of incident response notifications clearly and conspicuously. CC ID 12986 | Establish/Maintain Documentation | Preventive | |
| Display headings in incident response notifications clearly and conspicuously. CC ID 12987 | Establish/Maintain Documentation | Preventive | |
| Design the incident response notification to call attention to its nature and significance. CC ID 12984 | Establish/Maintain Documentation | Preventive | |
| Use plain language to write incident response notifications. CC ID 12976 | Establish/Maintain Documentation | Preventive | |
| Include directions for changing the user's authenticator or security questions and answers in the breach notification. CC ID 12983 | Establish/Maintain Documentation | Preventive | |
| Refrain from including restricted information in the incident response notification. CC ID 16806 | Actionable Reports or Measurements | Preventive | |
| Include the affected parties rights in the incident response notification. CC ID 16811 | Establish/Maintain Documentation | Preventive | |
| Include details of the investigation in incident response notifications. CC ID 12296 | Establish/Maintain Documentation | Preventive | |
| Include the issuer's name in incident response notifications. CC ID 12062 | Establish/Maintain Documentation | Preventive | |
| Include a "What Happened" heading in breach notifications. CC ID 12978 | Establish/Maintain Documentation | Preventive | |
| Include a general description of the data loss event in incident response notifications. CC ID 04734 | Establish/Maintain Documentation | Preventive | |
| Include time information in incident response notifications. CC ID 04745 | Establish/Maintain Documentation | Preventive | |
| Include the identification of the data source in incident response notifications. CC ID 12305 | Establish/Maintain Documentation | Preventive | |
| Include a "What Information Was Involved" heading in the breach notification. CC ID 12979 | Establish/Maintain Documentation | Preventive | |
| Include the type of information that was lost in incident response notifications. CC ID 04735 | Establish/Maintain Documentation | Preventive | |
| Include the type of information the organization maintains about the affected parties in incident response notifications. CC ID 04776 | Establish/Maintain Documentation | Preventive | |
| Include a "What We Are Doing" heading in the breach notification. CC ID 12982 | Establish/Maintain Documentation | Preventive | |
| Include what the organization has done to enhance data protection controls in incident response notifications. CC ID 04736 | Establish/Maintain Documentation | Preventive | |
| Include what the organization is offering or has already done to assist affected parties in incident response notifications. CC ID 04737 | Establish/Maintain Documentation | Preventive | |
| Include a "For More Information" heading in breach notifications. CC ID 12981 | Establish/Maintain Documentation | Preventive | |
| Include details of the companies and persons involved in incident response notifications. CC ID 12295 | Establish/Maintain Documentation | Preventive | |
| Include the credit reporting agencies' contact information in incident response notifications. CC ID 04744 | Establish/Maintain Documentation | Preventive | |
| Include the reporting individual's contact information in incident response notifications. CC ID 12297 | Establish/Maintain Documentation | Preventive | |
| Include any consequences in the incident response notifications. CC ID 12604 | Establish/Maintain Documentation | Preventive | |
| Include whether the notification was delayed due to a law enforcement investigation in incident response notifications. CC ID 04746 | Establish/Maintain Documentation | Preventive | |
| Include a "What You Can Do" heading in the breach notification. CC ID 12980 | Establish/Maintain Documentation | Preventive | |
| Include how the affected parties can protect themselves from identity theft in incident response notifications. CC ID 04738 | Establish/Maintain Documentation | Detective | |
| Provide enrollment information for identity theft prevention services or identity theft mitigation services. CC ID 13767 | Communicate | Corrective | |
| Offer identity theft prevention services or identity theft mitigation services at no cost to the affected parties. CC ID 13766 | Business Processes | Corrective | |
| Include contact information in incident response notifications. CC ID 04739 | Establish/Maintain Documentation | Preventive | |
| Include a copy of the incident response notification in breach notifications, as necessary. CC ID 13085 | Communicate | Preventive | |
| Send paper incident response notifications to affected parties, as necessary. CC ID 00366 | Behavior | Corrective | |
| Post the incident response notification on the organization's website. CC ID 16809 | Process or Activity | Preventive | |
| Determine if a substitute incident response notification is permitted if notifying affected parties. CC ID 00803 | Behavior | Corrective | |
| Document the determination for providing a substitute incident response notification. CC ID 16841 | Process or Activity | Preventive | |
| Use a substitute incident response notification to notify interested personnel and affected parties of the privacy breach that affects their personal data. CC ID 00368 | Behavior | Corrective | |
| Telephone incident response notifications to affected parties, as necessary. CC ID 04650 | Behavior | Corrective | |
| Send electronic substitute incident response notifications to affected parties, as necessary. CC ID 04747 | Behavior | Preventive | |
| Include contact information in the substitute incident response notification. CC ID 16776 | Establish/Maintain Documentation | Preventive | |
| Post substitute incident response notifications to the organization's website, as necessary. CC ID 04748 | Establish/Maintain Documentation | Preventive | |
| Send substitute incident response notifications to breach notification organizations, as necessary. CC ID 04750 | Behavior | Preventive | |
| Publish the incident response notification in a general circulation periodical. CC ID 04651 | Behavior | Corrective | |
| Publish the substitute incident response notification in a general circulation periodical, as necessary. CC ID 04769 | Behavior | Preventive | |
| Send electronic incident response notifications to affected parties, as necessary. CC ID 00367 | Behavior | Corrective | |
| Notify interested personnel and affected parties of the privacy breach about any recovered restricted data. CC ID 13347 | Communicate | Corrective | |
| Establish, implement, and maintain incident management audit logs. CC ID 13514 | Records Management | Preventive | |
| Log incidents in the Incident Management audit log. CC ID 00857 [The entity creates and retains a complete, accurate, and timely record of detected or reported unauthorized disclosures of personal information, including breaches, consistent with the entity’s privacy commitments and system requirements. P6.3] | Establish/Maintain Documentation | Preventive | |
| Include who the incident was reported to in the incident management audit log. CC ID 16487 | Log Management | Preventive | |
| Include corrective actions in the incident management audit log. CC ID 16466 | Establish/Maintain Documentation | Preventive | |
| Include the organizational functions affected by disruption in the Incident Management audit log. CC ID 12238 | Log Management | Corrective | |
| Include the organization's business products and services affected by disruptions in the Incident Management audit log. CC ID 12234 | Log Management | Preventive | |
| Provide and display incident management contact information to customers. CC ID 06386 [{internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5 {internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5] | Establish/Maintain Documentation | Corrective | |
| Establish, implement, and maintain a change control program. CC ID 00886 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Establish/Maintain Documentation | Preventive | |
| Include potential consequences of unintended changes in the change control program. CC ID 12243 | Establish/Maintain Documentation | Preventive | |
| Include version control in the change control program. CC ID 13119 | Establish/Maintain Documentation | Preventive | |
| Include service design and transition in the change control program. CC ID 13920 | Establish/Maintain Documentation | Preventive | |
| Separate the production environment from development environment or test environment for the change control process. CC ID 11864 | Maintenance | Preventive | |
| Integrate configuration management procedures into the change control program. CC ID 13646 | Technical Security | Preventive | |
| Establish, implement, and maintain a back-out plan. CC ID 13623 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain back-out procedures for each proposed change in a change request. CC ID 00373 | Establish/Maintain Documentation | Preventive | |
| Approve back-out plans, as necessary. CC ID 13627 | Establish/Maintain Documentation | Corrective | |
| Manage change requests. CC ID 00887 [Change management processes are initiated when deficiencies in the design or operating effectiveness of controls are identified during system operation and are monitored to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.3] | Business Processes | Preventive | |
| Include documentation of the impact level of proposed changes in the change request. CC ID 11942 | Establish/Maintain Documentation | Preventive | |
| Establish and maintain a change request approver list. CC ID 06795 | Establish/Maintain Documentation | Preventive | |
| Document all change requests in change request forms. CC ID 06794 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Establish/Maintain Documentation | Preventive | |
| Test proposed changes prior to their approval. CC ID 00548 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Testing | Detective | |
| Examine all changes to ensure they correspond with the change request. CC ID 12345 | Business Processes | Detective | |
| Approve tested change requests. CC ID 11783 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Data and Information Management | Preventive | |
| Validate the system before implementing approved changes. CC ID 01510 | Systems Design, Build, and Implementation | Preventive | |
| Disseminate and communicate proposed changes to all interested personnel and affected parties. CC ID 06807 [{internal users} System changes that affect internal and external users’ responsibilities or the entity's commitments and system requirements relevant to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] are communicated to those users in a timely manner. CC2.6 {internal users} System changes that affect internal and external users’ responsibilities or the entity's commitments and system requirements relevant to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] are communicated to those users in a timely manner. CC2.6] | Behavior | Preventive | |
| Establish, implement, and maintain emergency change procedures. CC ID 00890 | Establish/Maintain Documentation | Preventive | |
| Perform emergency changes, as necessary. CC ID 12707 | Process or Activity | Preventive | |
| Back up emergency changes after the change has been performed. CC ID 12734 | Process or Activity | Preventive | |
| Log emergency changes after they have been performed. CC ID 12733 | Establish/Maintain Documentation | Preventive | |
| Perform risk assessments prior to approving change requests. CC ID 00888 | Testing | Preventive | |
| Conduct network certifications prior to approving change requests for networks. CC ID 13121 | Process or Activity | Detective | |
| Analyze mitigating controls for vulnerabilities in the network when certifying the network. CC ID 13126 | Investigate | Detective | |
| Collect data about the network environment when certifying the network. CC ID 13125 | Investigate | Detective | |
| Implement changes according to the change control program. CC ID 11776 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4 Change management processes are initiated when deficiencies in the design or operating effectiveness of controls are identified during system operation and are monitored to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.3 Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Business Processes | Preventive | |
| Provide audit trails for all approved changes. CC ID 13120 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a patch management program. CC ID 00896 | Process or Activity | Preventive | |
| Document the sources of all software updates. CC ID 13316 | Establish/Maintain Documentation | Preventive | |
| Implement patch management software, as necessary. CC ID 12094 | Technical Security | Preventive | |
| Include updates and exceptions to hardened images as a part of the patch management program. CC ID 12087 | Technical Security | Preventive | |
| Establish, implement, and maintain a patch management policy. CC ID 16432 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain patch management procedures. CC ID 15224 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a patch log. CC ID 01642 | Establish/Maintain Documentation | Preventive | |
| Review the patch log for missing patches. CC ID 13186 | Technical Security | Detective | |
| Perform a patch test prior to deploying a patch. CC ID 00898 | Testing | Detective | |
| Prioritize deploying patches according to vulnerability risk metrics. CC ID 06796 | Business Processes | Preventive | |
| Deploy software patches in accordance with organizational standards. CC ID 07032 | Configuration | Corrective | |
| Test software patches for any potential compromise of the system's security. CC ID 13175 | Testing | Detective | |
| Patch software. CC ID 11825 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Technical Security | Corrective | |
| Patch the operating system, as necessary. CC ID 11824 | Technical Security | Corrective | |
| Deploy software patches in the disaster recovery environment to mirror those in the production environment. CC ID 13174 | Configuration | Corrective | |
| Remove outdated software after software has been updated. CC ID 11792 | Configuration | Corrective | |
| Update computer firmware, as necessary. CC ID 11755 | Configuration | Corrective | |
| Review changes to computer firmware. CC ID 12226 | Testing | Detective | |
| Certify changes to computer firmware are free of malicious logic. CC ID 12227 | Testing | Detective | |
| Remove outdated computer firmware after the computer firmware has been updated. CC ID 10671 | Configuration | Corrective | |
| Implement cryptographic mechanisms to authenticate software and computer firmware before installation. CC ID 10682 | Technical Security | Detective | |
| Establish, implement, and maintain a software release policy. CC ID 00893 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain traceability documentation. CC ID 16388 | Systems Design, Build, and Implementation | Preventive | |
| Disseminate and communicate software update information to users and regulators. CC ID 06602 | Behavior | Preventive | |
| Allow interested personnel and affected parties to opt out of specific version releases and software updates. CC ID 06809 | Data and Information Management | Preventive | |
| Mitigate the adverse effects of unauthorized changes. CC ID 12244 | Business Processes | Corrective | |
| Establish, implement, and maintain approved change acceptance testing procedures. CC ID 06391 | Establish/Maintain Documentation | Detective | |
| Test the system's operational functionality after implementing approved changes. CC ID 06294 | Testing | Detective | |
| Perform and pass acceptance testing before moving a system back into operation after an approved change has occurred. CC ID 04541 | Testing | Detective | |
| Establish, implement, and maintain a change acceptance testing log. CC ID 06392 | Establish/Maintain Documentation | Corrective | |
| Update associated documentation after the system configuration has been changed. CC ID 00891 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a configuration change log. CC ID 08710 | Configuration | Detective | |
| Document approved configuration deviations. CC ID 08711 | Establish/Maintain Documentation | Corrective | |
Physical and environmental protection | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Physical and environmental protection CC ID 00709 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain a physical security program. CC ID 11757 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a facility physical security program. CC ID 00711 | Establish/Maintain Documentation | Preventive | |
| Identify and document physical access controls for all physical entry points. CC ID 01637 | Establish/Maintain Documentation | Preventive | |
| Control physical access to (and within) the facility. CC ID 01329 [Physical access to facilities housing the system (for example, data centers, backup media storage, and other sensitive locations, as well as sensitive system components within those locations) is restricted to authorized personnel to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.5] | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain physical access procedures. CC ID 13629 | Establish/Maintain Documentation | Preventive | |
| Meet the physical access requirements of disabled individuals, if reasonably possible. CC ID 00419 | Physical and Environmental Protection | Preventive | |
| Secure physical entry points with physical access controls or security guards. CC ID 01640 | Physical and Environmental Protection | Detective | |
| Configure the access control system to grant access only during authorized working hours. CC ID 12325 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain a visitor access permission policy. CC ID 06699 | Establish/Maintain Documentation | Preventive | |
| Escort visitors within the facility, as necessary. CC ID 06417 | Establish/Maintain Documentation | Preventive | |
| Check the visitor's stated identity against a provided government issued identification. CC ID 06701 | Physical and Environmental Protection | Preventive | |
| Authorize visitors before granting entry to physical areas containing restricted data or restricted information. CC ID 01330 | Testing | Preventive | |
| Disseminate and communicate the right of the organization to search visitors while at the facility. CC ID 06702 | Behavior | Preventive | |
| Establish, implement, and maintain procedures for changing a visitor's access requirements. CC ID 12048 | Establish/Maintain Documentation | Preventive | |
| Maintain and review facility access lists of personnel who have been granted authorized entry to (and within) facilities that contain restricted data or restricted information. CC ID 01436 | Establish/Maintain Documentation | Preventive | |
| Change access requirements to organizational assets for personnel and visitors, as necessary. CC ID 12463 | Physical and Environmental Protection | Corrective | |
| Authorize physical access to sensitive areas based on job functions. CC ID 12462 | Establish/Maintain Documentation | Preventive | |
| Escort uncleared personnel who need to work in or access controlled access areas. CC ID 00747 | Monitor and Evaluate Occurrences | Preventive | |
| Establish, implement, and maintain physical identification procedures. CC ID 00713 | Establish/Maintain Documentation | Preventive | |
| Disallow opting out of wearing or displaying identification cards or badges. CC ID 13030 | Human Resources Management | Preventive | |
| Implement physical identification processes. CC ID 13715 | Process or Activity | Preventive | |
| Refrain from using knowledge-based authentication for in-person identity verification. CC ID 13717 | Process or Activity | Preventive | |
| Issue photo identification badges to all employees. CC ID 12326 | Physical and Environmental Protection | Preventive | |
| Implement operational requirements for card readers. CC ID 02225 | Testing | Preventive | |
| Establish, implement, and maintain lost or damaged identification card procedures, as necessary. CC ID 14819 | Establish/Maintain Documentation | Preventive | |
| Document all lost badges in a lost badge list. CC ID 12448 | Establish/Maintain Documentation | Corrective | |
| Report lost badges, stolen badges, and broken badges to the Security Manager. CC ID 12334 | Physical and Environmental Protection | Preventive | |
| Manage constituent identification inside the facility. CC ID 02215 | Behavior | Preventive | |
| Direct each employee to be responsible for their identification card or badge. CC ID 12332 | Human Resources Management | Preventive | |
| Manage visitor identification inside the facility. CC ID 11670 | Physical and Environmental Protection | Preventive | |
| Issue visitor identification badges to all non-employees. CC ID 00543 | Behavior | Preventive | |
| Secure unissued visitor identification badges. CC ID 06712 | Physical and Environmental Protection | Preventive | |
| Retrieve visitor identification badges prior to the exit of a visitor from the facility. CC ID 01331 | Behavior | Preventive | |
| Include name, date of entry, and validity period on disposable identification cards or badges. CC ID 12331 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain identification issuance procedures for identification cards or badges. CC ID 06598 | Establish/Maintain Documentation | Preventive | |
| Record the assigned identification card or badge serial number when issuing an identification card or badge. CC ID 06714 | Process or Activity | Preventive | |
| Include error handling controls in identification issuance procedures. CC ID 13709 | Establish/Maintain Documentation | Preventive | |
| Include an appeal process in the identification issuance procedures. CC ID 15428 | Business Processes | Preventive | |
| Include information security in the identification issuance procedures. CC ID 15425 | Establish/Maintain Documentation | Preventive | |
| Include identity proofing processes in the identification issuance procedures. CC ID 06597 | Process or Activity | Preventive | |
| Establish, implement, and maintain post-issuance update procedures for identification cards or badges. CC ID 15426 | Establish/Maintain Documentation | Preventive | |
| Include an identity registration process in the identification issuance procedures. CC ID 11671 | Establish/Maintain Documentation | Preventive | |
| Restrict access to the badge system to authorized personnel. CC ID 12043 | Physical and Environmental Protection | Preventive | |
| Enforce dual control for badge assignments. CC ID 12328 | Physical and Environmental Protection | Preventive | |
| Enforce dual control for accessing unassigned identification cards or badges. CC ID 12327 | Physical and Environmental Protection | Preventive | |
| Refrain from imprinting the company name or company logo on identification cards or badges. CC ID 12282 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain identification renewal procedures for identification cards or badges. CC ID 06599 | Establish/Maintain Documentation | Preventive | |
| Assign employees the responsibility for controlling their identification badges. CC ID 12333 | Human Resources Management | Preventive | |
| Establish, implement, and maintain identification re-issuing procedures for identification cards or badges. CC ID 06596 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain identification mechanism termination procedures. CC ID 06306 | Establish/Maintain Documentation | Preventive | |
| Prevent tailgating through physical entry points. CC ID 06685 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain an environmental control program. CC ID 00724 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain clean energy standards. CC ID 16285 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain environmental control procedures. CC ID 12246 | Establish/Maintain Documentation | Preventive | |
| Establish and maintain a telecommunications equipment room, as necessary. CC ID 06708 | Configuration | Preventive | |
| Protect power equipment and power cabling from damage or destruction. CC ID 01438 | Physical and Environmental Protection | Preventive | |
| Install and maintain power distribution boards. CC ID 16486 | Systems Design, Build, and Implementation | Preventive | |
| Establish, implement, and maintain a battery room, as necessary. CC ID 06706 | Configuration | Preventive | |
| Establish and maintain a generator room, as necessary. CC ID 06704 | Configuration | Preventive | |
| Place the Uninterruptible Power Supply in the generator room, as necessary. CC ID 11676 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain facility maintenance procedures. CC ID 00710 | Establish/Maintain Documentation | Preventive | |
| Design the Information Technology facility with consideration given to natural disasters and man-made disasters. CC ID 00712 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and Environmental Protection | Preventive | |
| Design the Information Technology facility with a low profile. CC ID 16140 | Physical and Environmental Protection | Preventive | |
| Prohibit signage indicating computer room location and uses. CC ID 06343 | Physical and Environmental Protection | Preventive | |
| Require critical facilities to have adequate room for facility maintenance. CC ID 06361 | Physical and Environmental Protection | Preventive | |
| Require critical facilities to have adequate room for evacuation. CC ID 11686 | Physical and Environmental Protection | Preventive | |
| Build critical facilities according to applicable building codes. CC ID 06366 | Physical and Environmental Protection | Preventive | |
| Build critical facilities with fire resistant materials. CC ID 06365 | Physical and Environmental Protection | Preventive | |
| Build critical facilities with materials that limit electromagnetic interference. CC ID 16131 | Physical and Environmental Protection | Preventive | |
| Build critical facilities with water-resistant materials. CC ID 11679 | Physical and Environmental Protection | Preventive | |
| Monitor operational conditions at unmanned facilities. CC ID 06327 | Physical and Environmental Protection | Preventive | |
| Remotely control operational conditions at unmanned facilities. CC ID 11680 | Technical Security | Preventive | |
| Inspect and maintain the facility and supporting assets. CC ID 06345 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Physical and Environmental Protection | Preventive | |
| Test and inspect assets under full load working conditions. CC ID 06356 | Testing | Detective | |
| Define selection criteria for facility locations. CC ID 06351 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain facility demolition procedures. CC ID 16133 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain work environment requirements. CC ID 06613 | Establish/Maintain Documentation | Preventive | |
| Apply noise-prevention devices to organizational assets, as necessary. CC ID 16141 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain system cleanliness requirements. CC ID 06614 | Establish/Maintain Documentation | Preventive | |
| House system components in areas where the physical damage potential is minimized. CC ID 01623 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain a fire prevention and fire suppression standard. CC ID 06695 | Establish/Maintain Documentation | Preventive | |
| Install and maintain fire protection equipment. CC ID 00728 | Configuration | Preventive | |
| Install and maintain fire suppression systems. CC ID 00729 | Configuration | Preventive | |
| Install and maintain smoke detectors. CC ID 15264 | Physical and Environmental Protection | Preventive | |
| Conduct periodic fire marshal inspections for all organizational facilities. CC ID 04888 | Physical and Environmental Protection | Preventive | |
| Install and maintain fire-retarding divisions such as fire doors in accordance with applicable building codes. CC ID 06362 | Physical and Environmental Protection | Preventive | |
| Conduct fire drills, as necessary. CC ID 13985 | Process or Activity | Preventive | |
| Employ environmental protections. CC ID 12570 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Process or Activity | Preventive | |
| Monitor and review environmental protections. CC ID 12571 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Monitor and Evaluate Occurrences | Detective | |
| Establish, implement, and maintain electromagnetic compatibility requirements for in scope assets. CC ID 16472 | Establish/Maintain Documentation | Preventive | |
| Install and maintain seismic detectors in critical facilities. CC ID 06364 | Physical and Environmental Protection | Detective | |
| Protect physical assets against static electricity, as necessary. CC ID 06363 | Physical and Environmental Protection | Preventive | |
| Install and maintain emergency lighting for use in a power failure. CC ID 01440 | Physical and Environmental Protection | Preventive | |
| Install and maintain lightning protection mechanisms in critical facilities. CC ID 06367 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain pest control systems in organizational facilities. CC ID 16139 | Physical and Environmental Protection | Preventive | |
| Establish, implement, and maintain a Heating Ventilation and Air Conditioning system. CC ID 00727 | Configuration | Preventive | |
| Install and maintain an environment control monitoring system. CC ID 06370 | Monitor and Evaluate Occurrences | Detective | |
| Protect air intakes into the organizational facility. CC ID 02211 | Physical and Environmental Protection | Preventive | |
| Install and maintain dust collection and filtering as a part of the Heating Ventilation and Air Conditioning system. CC ID 06368 | Configuration | Preventive | |
| Install and maintain backup Heating Ventilation and Air Conditioning equipment. CC ID 06369 | Configuration | Preventive | |
| Install and maintain a moisture control system as a part of the climate control system. CC ID 06694 | Configuration | Preventive | |
| Install and maintain hydrogen sensors, as necessary. CC ID 06705 | Configuration | Preventive | |
| Protect physical assets from water damage. CC ID 00730 | Configuration | Preventive | |
| Notify interested personnel and affected parties when water is detected in the vicinity of information systems. CC ID 14252 | Communicate | Preventive | |
| Install and maintain water detection devices. CC ID 11678 | Physical and Environmental Protection | Preventive | |
Privacy protection for information and data | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Privacy protection for information and data CC ID 00008 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain a privacy framework that protects restricted data. CC ID 11850 [Confidential information is protected during the system design, development, testing, implementation, and change processes to meet the entity’s confidentiality commitments and system requirements. C1.1] | Establish/Maintain Documentation | Preventive | |
| Include the roles and responsibilities of the organization's legal counsel in the privacy framework. CC ID 14862 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a personal data transparency program. CC ID 00375 | Data and Information Management | Preventive | |
| Establish and maintain privacy notices, as necessary. CC ID 13443 | Establish/Maintain Documentation | Preventive | |
| Include the purpose of the privacy notice in the privacy notice. CC ID 13526 | Establish/Maintain Documentation | Preventive | |
| Include the processing purpose in the privacy notice. CC ID 16543 | Establish/Maintain Documentation | Preventive | |
| Include contact information in the privacy notice. CC ID 14432 | Establish/Maintain Documentation | Preventive | |
| Include the data subject's choices for data collection, data processing, data disclosure, and data retention in the privacy notice. CC ID 13503 | Establish/Maintain Documentation | Preventive | |
| Include the right to opt out of personal data disclosure in the privacy notice. CC ID 13460 | Establish/Maintain Documentation | Preventive | |
| Include instructions on how to opt out of personal data disclosure in the privacy notice. CC ID 13461 | Establish/Maintain Documentation | Preventive | |
| Include the types of third parties to which personal data is disclosed in the privacy notice. CC ID 13459 | Establish/Maintain Documentation | Preventive | |
| Include the organization's policies, standards, and procedures in the privacy notice. CC ID 13455 | Establish/Maintain Documentation | Preventive | |
| Include the organization's privacy framework in the privacy notice, as necessary. CC ID 13456 | Establish/Maintain Documentation | Preventive | |
| Include the personal data collection categories in the privacy notice. CC ID 13457 | Establish/Maintain Documentation | Preventive | |
| Include disclosure exceptions in the privacy notice. CC ID 13447 | Establish/Maintain Documentation | Preventive | |
| Include the types of personal data disclosed in the privacy notice. CC ID 13446 | Establish/Maintain Documentation | Preventive | |
| Include descriptions of each type of personal data disclosed in the privacy notice. CC ID 13458 | Establish/Maintain Documentation | Preventive | |
| Specify the time frame that notice will be given. CC ID 00385 | Establish/Maintain Documentation | Preventive | |
| Include the information about the appeal process in the privacy notice. CC ID 15312 | Establish/Maintain Documentation | Preventive | |
| Combine privacy notices into a joint notification with suppliers, as necessary. CC ID 13468 | Establish/Maintain Documentation | Preventive | |
| Refrain from delivering privacy notices to data subjects, as necessary. CC ID 13445 | Communicate | Preventive | |
| Deliver privacy notices to data subjects, as necessary. CC ID 13444 | Communicate | Preventive | |
| Deliver a short-form initial notification along with an opt-out notice as an alternate to delivering a privacy notice, as necessary. CC ID 13464 | Establish/Maintain Documentation | Preventive | |
| Update privacy notices, as necessary. CC ID 13474 | Communicate | Preventive | |
| Redeliver privacy notices, as necessary. CC ID 14850 | Communicate | Preventive | |
| Deliver privacy notices to third parties, as necessary. CC ID 13473 | Communicate | Preventive | |
| Obtain acknowledgment of receipt of the privacy notice. CC ID 14435 | Communicate | Preventive | |
| Document any reasons acknowledgment of the privacy notice was not received. CC ID 14434 | Establish/Maintain Documentation | Corrective | |
| Establish and maintain short-form initial notifications of privacy notices that are clear and conspicuous. CC ID 13466 | Establish/Maintain Documentation | Preventive | |
| Include the organization's privacy framework in the short-form initial notification, as necessary. CC ID 13472 | Establish/Maintain Documentation | Preventive | |
| Include the methodology for accessing the privacy notice in the short-form initial notification. CC ID 13471 | Establish/Maintain Documentation | Preventive | |
| Include that the privacy notice is available upon request in the short-form initial notification. CC ID 13470 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain opt-out notices. CC ID 13448 | Establish/Maintain Documentation | Preventive | |
| Include how opt out directions for joint consumers are treated in the opt-out notice. CC ID 13465 | Establish/Maintain Documentation | Preventive | |
| Include the opt out method for data subjects in the opt-out notice. CC ID 13467 | Establish/Maintain Documentation | Preventive | |
| Include the data subject's right to opt out of personal data disclosure in the opt-out notice. CC ID 13463 | Establish/Maintain Documentation | Preventive | |
| Explain the right to opt out in the opt-out notice. CC ID 13462 | Establish/Maintain Documentation | Preventive | |
| Include the organization's right to share personal data in the opt-out notice. CC ID 13450 | Establish/Maintain Documentation | Preventive | |
| Deliver opt-out notices, as necessary. CC ID 13449 | Communicate | Preventive | |
| Include an initial privacy notification when delivering the opt-out notice. CC ID 13453 | Communicate | Preventive | |
| Provide a copy of the organization's privacy program to statutory authorities, as necessary. CC ID 12376 | Communicate | Preventive | |
| Affirm adequate protection of personal data to applicable statutory authorities if the organization is not a member of a privacy program. CC ID 12372 | Communicate | Preventive | |
| Notify statutory authorities of the organization's withdrawal from the privacy program. CC ID 12391 | Communicate | Preventive | |
| Notify statutory authorities about how restricted data will be handled following withdrawal from the privacy program. CC ID 16819 | Data and Information Management | Preventive | |
| Notify statutory authorities concerned with the privacy program if the surviving organization will continue in the privacy program. CC ID 12393 | Communicate | Preventive | |
| Notify data subjects about the organization's external requirements relevant to the privacy program. CC ID 12354 | Communicate | Preventive | |
| Provide the data subject with a notice of participation procedures. CC ID 06241 | Establish/Maintain Documentation | Preventive | |
| Deliver notices to the intended parties. CC ID 06240 | Data and Information Management | Preventive | |
| Notify data subjects about their privacy rights. CC ID 12989 | Communicate | Preventive | |
| Disseminate and communicate the critical third party list with relevance to the privacy program to all interested personnel and affected parties. CC ID 12352 | Communicate | Preventive | |
| Require a data protection impact assessment when profiling the data subject. CC ID 12680 | Process or Activity | Detective | |
| Establish, implement, and maintain adequate openness procedures. CC ID 00377 | Data and Information Management | Preventive | |
| Provide public proof the organization participates in a privacy program. CC ID 12349 | Communicate | Preventive | |
| Publish a description of processing activities in an official register. CC ID 00379 | Establish/Maintain Documentation | Preventive | |
| Establish and maintain a records request manual. CC ID 00381 | Establish/Maintain Documentation | Preventive | |
| Establish and maintain a description of voluntary disclosure and automatic availability of certain records. CC ID 00382 | Establish/Maintain Documentation | Preventive | |
| Register with public bodies and notify the Data Commissioner before processing personal data. CC ID 00383 | Behavior | Preventive | |
| Define what is included in registration notices. CC ID 00386 | Establish/Maintain Documentation | Preventive | |
| Include roles and responsibilities in the registration notice. CC ID 16803 | Establish Roles | Preventive | |
| Include the verification method in the registration notice. CC ID 16798 | Establish/Maintain Documentation | Preventive | |
| Include the statutory authority in the registration notice. CC ID 16799 | Establish/Maintain Documentation | Preventive | |
| Include the address where the file or hardware supporting the data processing is located in the registration notice. CC ID 00387 | Establish/Maintain Documentation | Preventive | |
| Include a purpose specification description in the registration notice. CC ID 00388 | Establish/Maintain Documentation | Preventive | |
| Include information about the dispute resolution body in the registration notice. CC ID 16800 | Establish/Maintain Documentation | Preventive | |
| Include the data subject category being processed in the registration notice. CC ID 00389 | Establish/Maintain Documentation | Preventive | |
| Include the time period for data processing in the registration notice. CC ID 00390 | Establish/Maintain Documentation | Preventive | |
| Include procedures for when the registration notice for processing personal data is insufficient in the registration notice. CC ID 00392 | Establish/Maintain Documentation | Preventive | |
| Provide legal authorities access to personal data, upon request. CC ID 06818 | Data and Information Management | Preventive | |
| Provide the data subject with information about automated decision-making during personal data processing. CC ID 12609 | Process or Activity | Preventive | |
| Provide the data subject with information about obtaining automated decision-making used during personal data processing. CC ID 12618 | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with the name, title, and address of the individual accountable for the organizational policies. CC ID 00394 | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with a copy of any brochures or other information that explain policies, standards, or codes. CC ID 00398 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with contractual requirements requiring the provision of personal data. CC ID 12588 | Process or Activity | Preventive | |
| Document the countries where restricted data may be stored. CC ID 12750 | Data and Information Management | Preventive | |
| Protect the rights of students and their parents or legal representatives. CC ID 00222 | Data and Information Management | Preventive | |
| Refrain from allowing access rights to education records maintained by another educational institution. CC ID 13014 | Technical Security | Preventive | |
| Refrain from allowing students the right to inspect the financial records of their parent or legal representative. CC ID 13025 | Records Management | Preventive | |
| Refrain from allowing students the right to inspect confidential letters and confidential letters of recommendation. CC ID 13019 | Records Management | Preventive | |
| Amend education records within a reasonable period after receiving a record amendment request. CC ID 12998 | Records Management | Corrective | |
| Decide whether to amend education records based on evidence presented during a hearing. CC ID 13020 | Records Management | Corrective | |
| Disseminate and communicate the notification of rights to students and their parent or legal representative. CC ID 12996 | Establish/Maintain Documentation | Preventive | |
| Include the criteria for determining what constitutes a legitimate educational interest in the notification of rights. CC ID 13004 | Establish/Maintain Documentation | Preventive | |
| Include the criteria for determining what constitutes a school official in the notification of rights. CC ID 13003 | Establish/Maintain Documentation | Preventive | |
| Disclose educational data, as necessary. CC ID 00223 | Data and Information Management | Preventive | |
| Grant access to education records in support of educational program audits. CC ID 13032 | Records Management | Preventive | |
| Grant access to education records in support of external requirements. CC ID 13033 | Records Management | Preventive | |
| Disclose statements added to education records, as necessary. CC ID 12990 | Communicate | Preventive | |
| Obtain explicit consent from students or their parent or legal representative prior to using or disclosing educational data. CC ID 00220 | Data and Information Management | Preventive | |
| Disclose education records when written consent is received. CC ID 00224 | Data and Information Management | Preventive | |
| Specify the parties to whom education records may be disclosed in the written consent. CC ID 13002 | Establish/Maintain Documentation | Preventive | |
| Specify the purpose of the disclosure in the written consent. CC ID 13001 | Establish/Maintain Documentation | Preventive | |
| Specify which education records may be disclosed in the written consent. CC ID 13000 | Establish/Maintain Documentation | Preventive | |
| Document the conditions when consent is not required to disclose educational data. CC ID 00225 | Establish/Maintain Documentation | Preventive | |
| Disclose educational data absent consent when disclosure is in connection with a disciplinary proceeding. CC ID 13005 | Communicate | Preventive | |
| Refrain from disclosing disciplinary proceeding results unless the student has violated the institution's rules or policies. CC ID 13023 | Communicate | Preventive | |
| Disclose educational data absent consent when it concerns sex offenders. CC ID 13013 | Communicate | Preventive | |
| Disclose educational data absent consent to other school officials. CC ID 00226 | Data and Information Management | Preventive | |
| Disclose educational data absent consent to another institution's school officials. CC ID 00227 | Data and Information Management | Preventive | |
| Disclose educational data absent consent in connection with financial aid. CC ID 00229 | Data and Information Management | Preventive | |
| Disclose educational data absent consent to organizations conducting studies on tests. CC ID 00230 | Data and Information Management | Preventive | |
| Disclose educational data absent consent to organizations conducting studies if educational data is destroyed when no longer required. CC ID 12995 | Communicate | Preventive | |
| Disclose educational data absent consent to accrediting organizations. CC ID 00231 | Data and Information Management | Preventive | |
| Disclose educational data absent consent to a dependent student's parent or legal representative. CC ID 00232 | Data and Information Management | Preventive | |
| Disclose educational data absent consent in order to comply with a judicial order. CC ID 00233 | Data and Information Management | Preventive | |
| Disclose educational data absent consent for a health and safety emergency. CC ID 00234 | Data and Information Management | Preventive | |
| Disclose educational data absent consent when it is merely directory information. CC ID 00235 | Data and Information Management | Preventive | |
| Disclose educational data absent consent to a crime victim. CC ID 00236 | Data and Information Management | Preventive | |
| Record the health and safety threats of students when disclosing personal data. CC ID 12997 | Establish/Maintain Documentation | Preventive | |
| Refrain from providing information to the data subject, as necessary. CC ID 12625 | Communicate | Preventive | |
| Refrain from providing information to the data subject when it is forbidden by law. CC ID 12651 | Communicate | Preventive | |
| Refrain from providing information to the data subject when it proves impossible due to statistical purposes. CC ID 12645 | Communicate | Preventive | |
| Provide the data subject with information about lifting any restriction of processing, as necessary. CC ID 12634 | Communicate | Preventive | |
| Refrain from providing information to the data subject when it proves impossible due to historical research purposes. CC ID 12633 | Communicate | Preventive | |
| Refrain from providing information to the data subject when it proves impossible due to scientific research purposes. CC ID 12632 | Communicate | Preventive | |
| Refrain from providing information to the data subject when it proves impossible due to archival purposes. CC ID 12631 | Communicate | Preventive | |
| Refrain from providing information to the data subject when providing information involves disproportionate effort. CC ID 12629 | Communicate | Preventive | |
| Refrain from providing information to the data subject when the data subject has the information. CC ID 12628 | Communicate | Preventive | |
| Provide adequate structures, policies, procedures, and mechanisms to support direct access by the data subject to personal data that is provided upon request. CC ID 00393 | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with the data retention period for personal data. CC ID 12587 | Process or Activity | Preventive | |
| Provide the data subject with the criteria used to determine the data retention period for personal data. CC ID 12589 | Process or Activity | Preventive | |
| Provide the data subject with the adequacy decision. CC ID 12586 | Process or Activity | Preventive | |
| Provide the data subject with references to the appropriate safeguards used to protect the privacy of personal data. CC ID 12585 | Process or Activity | Preventive | |
| Provide the data subject with copies of the appropriate safeguards used to protect the privacy of personal data. CC ID 12608 | Process or Activity | Preventive | |
| Provide the data subject with the means of gaining access to personal data held by the organization. CC ID 00396 | Data and Information Management | Preventive | |
| Refrain from requiring the data subject to create an account in order to submit a consumer request. CC ID 13780 | Business Processes | Preventive | |
| Provide the data subject with the data protection officer's contact information. CC ID 12573 | Business Processes | Preventive | |
| Notify the data subject of the right to data portability. CC ID 12603 | Process or Activity | Preventive | |
| Provide the data subject with information about the right to erasure. CC ID 12602 | Process or Activity | Preventive | |
| Provide the data subject with a description of the type of information held by the organization and a general account of its use. CC ID 00397 [The entity provides to the data subjects an accounting of the personal information held and disclosure of a data subject’s personal information, upon the data subject’s request, consistent with the entity’s privacy commitments and system requirements. P6.8] | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with what personal data is made available to related organizations or subsidiaries. CC ID 00399 | Data and Information Management | Preventive | |
| Include individual's names to whom restricted data may be disclosed in the disclosure accounting record. CC ID 13027 | Establish/Maintain Documentation | Preventive | |
| Establish and maintain a disclosure accounting record. CC ID 13022 | Establish/Maintain Documentation | Preventive | |
| Include the official authorities that are allowed to disclose restricted data absent consent in the disclosure accounting record. CC ID 13029 | Establish/Maintain Documentation | Preventive | |
| Include the legitimate interests for accessing restricted data in the disclosure accounting record. CC ID 13028 | Establish/Maintain Documentation | Preventive | |
| Include what information was disclosed and to whom in the disclosure accounting record. CC ID 04680 | Establish/Maintain Documentation | Preventive | |
| Include the personal data the organization refrained from disclosing in the disclosure accounting record. CC ID 13769 | Establish/Maintain Documentation | Preventive | |
| Include the sale of personal data in the disclosure accounting record, as necessary. CC ID 13768 | Establish/Maintain Documentation | Preventive | |
| Include the disclosure date in the disclosure accounting record. CC ID 07133 | Establish/Maintain Documentation | Preventive | |
| Include the disclosure recipient in the disclosure accounting record. CC ID 07134 | Establish/Maintain Documentation | Preventive | |
| Include the disclosure purpose in the disclosure accounting record. CC ID 07135 | Establish/Maintain Documentation | Preventive | |
| Include the frequency, periodicity, or number of disclosures made during the accounting period in the disclosure accounting record. CC ID 07136 | Establish/Maintain Documentation | Preventive | |
| Include the final date of multiple disclosures in the disclosure accounting record. CC ID 07137 | Establish/Maintain Documentation | Preventive | |
| Include how personal data was used for research purposes in the disclosure accounting record. CC ID 07138 | Establish/Maintain Documentation | Preventive | |
| Include the research activity or research protocol in the disclosure accounting record. CC ID 07139 | Establish/Maintain Documentation | Preventive | |
| Include the record selection criteria for research activities in the disclosure accounting record. CC ID 07140 | Establish/Maintain Documentation | Preventive | |
| Include the contact information of the organization that sponsored the research activity in the disclosure accounting record. CC ID 07141 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the disclosure accounting record to interested personnel and affected parties. CC ID 14433 | Communicate | Preventive | |
| Provide shareholders with electronic messages regarding the shareholder meetings. CC ID 04586 | Establish/Maintain Documentation | Preventive | |
| Provide shareholders access to electronic messages via electronic means. CC ID 11855 | Process or Activity | Preventive | |
| Make telephone directory information available to the public. CC ID 08698 | Establish/Maintain Documentation | Preventive | |
| Display warning screens and confirmation screens for all payment transactions. CC ID 06409 | Technical Security | Preventive | |
| Define the acceptable data modifications before presenting the data to a data subject. CC ID 00400 | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with information about the legitimate interests associated with personal data processing. CC ID 12614 | Process or Activity | Preventive | |
| Establish, implement, and maintain a privacy policy. CC ID 06281 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Establish/Maintain Documentation | Preventive | |
| Include the data subject's rights in the privacy policy. CC ID 16355 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a privacy policy model document. CC ID 14720 | Establish/Maintain Documentation | Preventive | |
| Document privacy policies in clearly written and easily understood language. CC ID 00376 | Establish/Maintain Documentation | Detective | |
| Notify interested personnel and affected parties when changes are made to the privacy policy. CC ID 06943 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Behavior | Preventive | |
| Write privacy notices in the official languages required by law. CC ID 16529 | Establish/Maintain Documentation | Preventive | |
| Document the notification of interested personnel and affected parties regarding privacy policy changes. CC ID 06944 | Establish/Maintain Documentation | Preventive | |
| Define what is included in the privacy policy. CC ID 00404 | Establish/Maintain Documentation | Preventive | |
| Define the information being collected in the privacy policy. CC ID 13115 | Establish/Maintain Documentation | Preventive | |
| Define which collection of information is voluntary and which is required in the privacy policy. CC ID 13110 | Establish/Maintain Documentation | Preventive | |
| Include the means by which information is collected in the privacy policy. CC ID 13114 | Establish/Maintain Documentation | Preventive | |
| Remove certification marks of privacy programs the organization is no longer a member of from the privacy policy. CC ID 12368 | Establish/Maintain Documentation | Corrective | |
| Include roles and responsibilities in the privacy policy. CC ID 14669 | Establish/Maintain Documentation | Preventive | |
| Include management commitment in the privacy policy. CC ID 14668 | Establish/Maintain Documentation | Preventive | |
| Include coordination amongst entities in the privacy policy. CC ID 14667 | Establish/Maintain Documentation | Preventive | |
| Include the policy for disclosing personal data of persons who have ceased to be customers in the privacy policy. CC ID 14854 | Establish/Maintain Documentation | Preventive | |
| Include compliance requirements in the privacy policy. CC ID 14666 | Establish/Maintain Documentation | Preventive | |
| Include the consequences of refusing to provide required information in the privacy policy. CC ID 13111 | Establish/Maintain Documentation | Preventive | |
| Remove any privacy programs the organization is not a member of from the privacy policy. CC ID 12367 | Establish/Maintain Documentation | Corrective | |
| Include independent recourse mechanisms in the privacy policy, as necessary. CC ID 12366 | Establish/Maintain Documentation | Preventive | |
| Include the privacy programs the organization is a member of in the privacy policy. CC ID 12365 | Establish/Maintain Documentation | Preventive | |
| Include a complaint form in the privacy policy. CC ID 12364 | Establish/Maintain Documentation | Preventive | |
| Include the address where the files and hardware that support the data processing is located in the privacy policy. CC ID 00405 | Establish/Maintain Documentation | Preventive | |
| Include the processing purpose in the privacy policy. CC ID 00406 | Establish/Maintain Documentation | Preventive | |
| Include an overview of applicable information security controls in the privacy policy, as necessary. CC ID 13117 | Establish/Maintain Documentation | Preventive | |
| Include the data subject categories being processed in the privacy policy. CC ID 00407 | Establish/Maintain Documentation | Preventive | |
| Define the retention period for collected information in the privacy policy. CC ID 13116 | Establish/Maintain Documentation | Preventive | |
| Include the time period for when the data processing will be carried out in the privacy policy. CC ID 00408 | Establish/Maintain Documentation | Preventive | |
| Include other organizations that personal data is being disclosed to in the privacy policy. CC ID 00409 | Establish/Maintain Documentation | Preventive | |
| Include how to gain access to personal data held by the organization in the privacy policy. CC ID 00410 | Establish/Maintain Documentation | Preventive | |
| Include instructions on how to opt-out in the privacy policy. CC ID 00411 | Establish/Maintain Documentation | Preventive | |
| Include the privacy policy's Uniform Resource Locator in the privacy policy. CC ID 12363 | Establish/Maintain Documentation | Preventive | |
| Include instructions on how to disable devices that collect restricted data in the privacy policy. CC ID 15454 | Establish/Maintain Documentation | Preventive | |
| Include a description of devices that collect restricted data in the privacy policy. CC ID 15452 | Establish/Maintain Documentation | Preventive | |
| Define the audit method used to assess the privacy program in the privacy policy. CC ID 12390 | Establish/Maintain Documentation | Preventive | |
| Post the privacy policy in an easily seen location. CC ID 00401 [The entity’s privacy commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. P1.2] | Establish/Maintain Documentation | Preventive | |
| Define who will receive the privacy policy. CC ID 00402 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the privacy policy to interested personnel and affected parties. CC ID 13346 | Communicate | Preventive | |
| Establish, implement, and maintain privacy procedures. CC ID 14665 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the privacy procedures to all interested personnel and affected parties. CC ID 14664 | Communicate | Preventive | |
| Establish, implement, and maintain a privacy plan. CC ID 14672 | Establish/Maintain Documentation | Preventive | |
| Align the enterprise architecture with the privacy plan. CC ID 14705 | Process or Activity | Preventive | |
| Approve the privacy plan. CC ID 14700 | Business Processes | Preventive | |
| Include privacy requirements in the privacy plan. CC ID 14699 | Establish/Maintain Documentation | Preventive | |
| Include the information types in the privacy plan. CC ID 14695 | Establish/Maintain Documentation | Preventive | |
| Include threats in the privacy plan. CC ID 14694 | Establish/Maintain Documentation | Preventive | |
| Include roles and responsibilities in the privacy plan. CC ID 14702 | Establish/Maintain Documentation | Preventive | |
| Include a description of the operational context in the privacy plan. CC ID 14692 | Establish/Maintain Documentation | Preventive | |
| Include risk assessment results in the privacy plan. CC ID 14701 | Establish/Maintain Documentation | Preventive | |
| Include the security categorizations and rationale in the privacy plan. CC ID 14690 | Establish/Maintain Documentation | Preventive | |
| Include security controls in the privacy plan. CC ID 14681 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the privacy plan to interested personnel and affected parties. CC ID 14680 | Communicate | Preventive | |
| Include a description of the operational environment in the privacy plan. CC ID 14679 | Establish/Maintain Documentation | Preventive | |
| Include network diagrams in the privacy plan. CC ID 14678 | Establish/Maintain Documentation | Preventive | |
| Include the results of the privacy risk assessment in the privacy plan. CC ID 14677 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a privacy report. CC ID 14754 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the privacy report to interested personnel and affected parties. CC ID 14761 | Communicate | Preventive | |
| Protect private communications in keeping with compliance requirements. CC ID 14334 | Business Processes | Preventive | |
| Disseminate private communications when required by law. CC ID 14335 | Communicate | Corrective | |
| Establish, implement, and maintain personal data choice and consent program. CC ID 12569 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain data request procedures. CC ID 16546 | Establish/Maintain Documentation | Preventive | |
| Refrain from discriminating against data subjects who have exercised privacy rights. CC ID 13435 | Human Resources Management | Preventive | |
| Refrain from charging a fee to implement an opt-out request. CC ID 13877 | Business Processes | Preventive | |
| Establish and maintain disclosure authorization forms for authorization of consent to use personal data. CC ID 13433 | Establish/Maintain Documentation | Preventive | |
| Include procedures for revoking authorization of consent to use personal data in the disclosure authorization form. CC ID 13438 | Establish/Maintain Documentation | Preventive | |
| Include the identity of the person seeking consent in the disclosure authorization. CC ID 13999 | Establish/Maintain Documentation | Preventive | |
| Include the recipients of the disclosed personal data in the disclosure authorization form. CC ID 13440 | Establish/Maintain Documentation | Preventive | |
| Include the signature of the data subject and the signing date in the disclosure authorization form. CC ID 13439 | Establish/Maintain Documentation | Preventive | |
| Include the identity of the data subject in the disclosure authorization form. CC ID 13436 | Establish/Maintain Documentation | Preventive | |
| Include the types of personal data to be disclosed in the disclosure authorization form. CC ID 13442 | Establish/Maintain Documentation | Preventive | |
| Include how personal data will be used in the disclosure authorization form. CC ID 13441 | Establish/Maintain Documentation | Preventive | |
| Include agreement termination information in the disclosure authorization form. CC ID 13437 | Establish/Maintain Documentation | Preventive | |
| Offer incentives for consumers to opt-in to provide their personal data to the organization. CC ID 13781 | Business Processes | Preventive | |
| Refrain from using coercive financial incentive programs to entice opt-in consent. CC ID 13795 | Business Processes | Preventive | |
| Allow data subjects to opt out and refrain from granting an authorization of consent to use personal data. CC ID 00391 | Data and Information Management | Preventive | |
| Treat an opt-out direction by an individual joint consumer as applying to all associated joint consumers. CC ID 13452 | Business Processes | Preventive | |
| Treat opt-out directions separately for each customer relationship the data subject establishes with the organization. CC ID 13454 | Business Processes | Preventive | |
| Establish, implement, and maintain an opt-out method in accordance with organizational standards. CC ID 16526 | Data and Information Management | Preventive | |
| Comply with opt-out directions by the data subject, unless otherwise directed by compliance requirements. CC ID 13451 | Business Processes | Preventive | |
| Confirm the individual's identity before granting an opt-out request. CC ID 16813 | Process or Activity | Preventive | |
| Highlight the section regarding data subject's consent from other sections in contracts and agreements. CC ID 13988 | Establish/Maintain Documentation | Preventive | |
| Allow consent requests to be provided in any official languages. CC ID 16530 | Business Processes | Preventive | |
| Notify interested personnel and affected parties of the reasons the opt-out request was refused. CC ID 16537 | Communicate | Preventive | |
| Collect and retain disclosure authorizations for each data subject. CC ID 13434 | Records Management | Preventive | |
| Refrain from requiring consent to collect, use, or disclose personal data beyond specified, legitimate reasons in order to receive products and services. CC ID 13605 | Data and Information Management | Preventive | |
| Refrain from obtaining consent through deception. CC ID 13556 | Data and Information Management | Preventive | |
| Give individuals the ability to change the uses of their personal data. CC ID 00469 | Data and Information Management | Preventive | |
| Notify data subjects of the implications of withdrawing consent. CC ID 13551 | Data and Information Management | Preventive | |
| Establish, implement, and maintain a personal data accountability program. CC ID 13432 | Establish/Maintain Documentation | Preventive | |
| Assign ownership of the privacy program to the appropriate organizational role. CC ID 11848 | Human Resources Management | Preventive | |
| Require data controllers to be accountable for their actions. CC ID 00470 | Establish Roles | Preventive | |
| Bind data controllers to secrecy concerning the performance of their duties. CC ID 12610 | Human Resources Management | Preventive | |
| Notify the supervisory authority. CC ID 00472 | Behavior | Preventive | |
| Establish, implement, and maintain approval applications. CC ID 16778 | Establish/Maintain Documentation | Preventive | |
| Define the requirements for approving or denying approval applications. CC ID 16780 | Business Processes | Preventive | |
| Submit approval applications to the supervisory authority. CC ID 16627 | Communicate | Preventive | |
| Include required information in the approval application. CC ID 16628 | Establish/Maintain Documentation | Preventive | |
| Extend the time limit for approving or denying approval applications. CC ID 16779 | Business Processes | Preventive | |
| Approve the approval application unless applicant has been convicted. CC ID 16603 | Process or Activity | Preventive | |
| Provide the supervisory authority with any information requested by the supervisory authority. CC ID 12606 | Process or Activity | Preventive | |
| Notify the supervisory authority of the safeguards employed to protect the data subject's rights. CC ID 12605 | Communicate | Preventive | |
| Include any reasons for delay if notifying the supervisory authority after the time limit. CC ID 12675 | Communicate | Corrective | |
| Cooperate with Data Protection Authorities. CC ID 06870 | Data and Information Management | Preventive | |
| Submit a safe harbor self-certification letter. CC ID 06871 | Establish/Maintain Documentation | Preventive | |
| Refrain from engaging other data processors absent written authorization from the data controller. CC ID 12647 | Human Resources Management | Preventive | |
| Establish, implement, and maintain Binding Corporate Rules for the international transfers of restricted data. CC ID 12584 | Establish/Maintain Documentation | Preventive | |
| Include cooperation mechanisms with the supervisory authority in the Binding Corporate Rules. CC ID 12682 | Establish/Maintain Documentation | Preventive | |
| Include the tasks assigned to the role of data controller in the Binding Corporate Rules. CC ID 12612 | Establish/Maintain Documentation | Preventive | |
| Include data subject's rights in the Binding Corporate Rules. CC ID 12596 | Establish/Maintain Documentation | Preventive | |
| Include the means to exercise the data subject's rights in the Binding Corporate Rules. CC ID 12597 | Establish/Maintain Documentation | Preventive | |
| Include the organizational structure and contact information in the Binding Corporate Rules. CC ID 12595 | Establish/Maintain Documentation | Preventive | |
| Include the acceptance of liability for breaches of the binding corporate rules in the Binding Corporate Rules. CC ID 12594 | Establish/Maintain Documentation | Preventive | |
| Include the mechanisms for reporting legal requirements causing adverse effects on protecting restricted data in the Binding Corporate Rules. CC ID 12620 | Establish/Maintain Documentation | Preventive | |
| Include provisions for providing information on the binding corporate rules to the data subject in the Binding Corporate Rules. CC ID 12593 | Establish/Maintain Documentation | Preventive | |
| Include reporting changes to the binding corporate rules in the Binding Corporate Rules. CC ID 12591 | Establish/Maintain Documentation | Preventive | |
| Include reporting changes of the binding corporate rules to the supervisory authority in the Binding Corporate Rules. CC ID 12592 | Establish/Maintain Documentation | Preventive | |
| Include complaint procedures in the Binding Corporate Rules. CC ID 12613 | Establish/Maintain Documentation | Preventive | |
| Include the data transfers in the Binding Corporate Rules. CC ID 12590 | Establish/Maintain Documentation | Preventive | |
| Include specifying the mechanisms for verifying compliance of the binding corporate rules in the Binding Corporate Rules. CC ID 12662 | Establish/Maintain Documentation | Preventive | |
| Include the identification of the countries in question for the data transfers in the Binding Corporate Rules. CC ID 12601 | Establish/Maintain Documentation | Preventive | |
| Include the type of data subjects affected by the data transfers in the Binding Corporate Rules. CC ID 12600 | Establish/Maintain Documentation | Preventive | |
| Include all pertinent data processing information for data transfers in the Binding Corporate Rules. CC ID 12599 | Establish/Maintain Documentation | Preventive | |
| Include the categories of personal data for data transfers in the Binding Corporate Rules. CC ID 12598 | Establish/Maintain Documentation | Preventive | |
| Include specifying the legally binding nature of the binding corporate rules in the Binding Corporate Rules. CC ID 12627 | Establish/Maintain Documentation | Preventive | |
| Include privacy awareness and training in the Binding Corporate Rules. CC ID 12626 | Establish/Maintain Documentation | Preventive | |
| Notify the data controller of any changes in data processors. CC ID 12648 | Communicate | Preventive | |
| Establish, implement, and maintain Data Processing Contracts. CC ID 12650 | Establish/Maintain Documentation | Preventive | |
| Include the corrective actions to be taken when conditions cannot be met in the Data Processing Contract. CC ID 16812 | Establish/Maintain Documentation | Preventive | |
| Include data processor confidentiality requirements in the Data Processing Contract. CC ID 12685 | Establish/Maintain Documentation | Preventive | |
| Include the stipulation of notifying the data controller of legal requirements prior to processing restricted data unless the law prohibits such information on important grounds of public interest in the Data Processing Contract. CC ID 12687 | Establish/Maintain Documentation | Preventive | |
| Include instructions for processing restricted data in the Data Processing Contract. CC ID 14938 | Establish/Maintain Documentation | Preventive | |
| Include the purpose for processing restricted data in the Data Processing Contract. CC ID 14937 | Establish/Maintain Documentation | Preventive | |
| Include the types of restricted data subject to processing in the Data Processing Contract. CC ID 14936 | Establish/Maintain Documentation | Preventive | |
| Include the duration of processing in the Data Processing Contract. CC ID 14935 | Establish/Maintain Documentation | Preventive | |
| Include personal data transfer procedures in the Data Processing Contract. CC ID 12683 | Establish/Maintain Documentation | Preventive | |
| Include the stipulation of allowing auditing for compliance in the Data Processing Contract. CC ID 12679 | Establish/Maintain Documentation | Preventive | |
| Include the stipulation that the Statement of Compliance will be made available in the Data Processing Contract. CC ID 12678 | Establish/Maintain Documentation | Preventive | |
| Include the stipulation of complying with external requirements in the Data Processing Contract. CC ID 12676 | Establish/Maintain Documentation | Preventive | |
| Include the stipulation that the data processor will respect the conditions for engaging another data processor in the Data Processing Contract. CC ID 12686 | Human Resources Management | Preventive | |
| Include the stipulation that copies of restricted data will be disposed, unless retention is required by law, in the Data Processing Contract. CC ID 12670 | Establish/Maintain Documentation | Preventive | |
| Include the stipulation that personal data will be disposed or returned to the data subject in the Data Processing Contract. CC ID 12669 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a personal data use limitation program. CC ID 13428 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a personal data use purpose specification. CC ID 00093 [The entity limits the use of personal information to the purposes identified in the entity’s privacy commitments and system requirements. P4.1] | Establish/Maintain Documentation | Preventive | |
| Display or print the least amount of personal data necessary. CC ID 04643 | Data and Information Management | Preventive | |
| Redact confidential information from public information, as necessary. CC ID 06872 | Data and Information Management | Preventive | |
| Notify the data subject of the collection purpose. CC ID 00095 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Behavior | Preventive | |
| Refrain from using restricted data collected for research and statistics for other purposes. CC ID 00096 | Data and Information Management | Preventive | |
| Document the law that requires restricted data to be collected. CC ID 00103 | Establish/Maintain Documentation | Preventive | |
| Notify the data subject of the consequences for not providing personal data. CC ID 00104 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1 For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2] | Behavior | Preventive | |
| Notify the data subject of changes to personal data use. CC ID 00105 | Behavior | Preventive | |
| Establish, implement, and maintain data use change of purpose procedures. CC ID 00106 | Establish/Maintain Documentation | Preventive | |
| Document the use of publicly accessible personal data as an acceptable secondary purpose. CC ID 00108 | Establish/Maintain Documentation | Preventive | |
| Document the use of privacy-related data as acceptable if the information being used is publicly available information, the secondary use is marketing, and it is not practical to seek consent from the individual before use. CC ID 00110 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the data subject is not charged to request to opt out of direct marketing communications. CC ID 00111 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the data subject has not requested to opt out of direct marketing communications. CC ID 00112 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the organization highlights the opt out option during each direct marketing communication. CC ID 00113 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the organization displays contact information in each written direct marketing communication. CC ID 00114 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the data subject gives consent. CC ID 00115 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is Individually Identifiable Health Information used for research. CC ID 00116 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is used for statistical research, scholarly research, or scientific research and the data subject is anonymous. CC ID 00117 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the data controller believes the use is necessary to prevent a life-threatening emergency. CC ID 00118 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when required by law. CC ID 00119 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is necessary for public emergencies, public health and safety, or individual emergencies. CC ID 00121 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the primary purpose is directly related to the secondary purpose. CC ID 00123 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary for the enforcement of care and custody. CC ID 15453 | Establish/Maintain Documentation | Preventive | |
| Document the use of data as an acceptable secondary purpose when it is necessary for use in a legal proceeding. CC ID 15451 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary for a law enforcement investigation. CC ID 15449 | Establish/Maintain Documentation | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary to perform a treaty with a foreign government. CC ID 15447 | Establish/Maintain Documentation | Preventive | |
| Obtain the data subject's consent when the personal data use changes. CC ID 11832 | Behavior | Preventive | |
| Document restricted data that is disclosed for an acceptable secondary purpose. CC ID 00124 | Establish/Maintain Documentation | Preventive | |
| Dispose of media and restricted data in a timely manner. CC ID 00125 [The entity disposes of confidential information to meet the entity’s confidentiality commitments and system requirements. C1.8 The entity securely disposes of personal information consistent with the entity’s privacy commitments and system requirements. P4.3] | Data and Information Management | Preventive | |
| Refrain from destroying records being inspected or reviewed. CC ID 13015 | Records Management | Preventive | |
| Notify the data subject after their personal data is disposed, as necessary. CC ID 13502 | Communicate | Preventive | |
| Establish, implement, and maintain data access procedures. CC ID 00414 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Establish/Maintain Documentation | Preventive | |
| Allow data subjects to submit data requests. CC ID 16545 | Process or Activity | Preventive | |
| Provide individuals with information about where their personal data was processed. CC ID 00415 | Data and Information Management | Preventive | |
| Provide individuals with information about the processing purpose of their personal data. CC ID 00416 | Data and Information Management | Preventive | |
| Provide individuals with information about disclosure of their personal data. CC ID 00417 [The entity provides to the data subjects an accounting of the personal information held and disclosure of a data subject’s personal information, upon the data subject’s request, consistent with the entity’s privacy commitments and system requirements. P6.8] | Data and Information Management | Preventive | |
| Allow guardians and legal representatives access to personal data about the individual for whom they are guardians or legal representatives. CC ID 00418 | Data and Information Management | Preventive | |
| Provide assistance to requesters in preparing data access requests. CC ID 13588 | Data and Information Management | Preventive | |
| Require data access requests to be in writing, unless the requester is unable. CC ID 00420 | Establish/Maintain Documentation | Preventive | |
| Define what is to be included in a data access request. CC ID 08699 | Establish/Maintain Documentation | Preventive | |
| Refrain from requiring data subjects having to justify personal data access requests. CC ID 12394 | Business Processes | Preventive | |
| Respond to data access requests in a timely manner. CC ID 00421 | Behavior | Preventive | |
| Delay responding to data access requests, as necessary. CC ID 15504 | Data and Information Management | Preventive | |
| Expedite the processing of data access requests, as necessary. CC ID 15496 | Data and Information Management | Preventive | |
| Notify the individual of the reasons for delays in responding to data access requests. CC ID 00422 | Behavior | Detective | |
| Notify the individual when a cost is imposed which must be paid in advance to gain access. CC ID 00423 | Behavior | Detective | |
| Grant a waiver or reduction of fees for data access under defined conditions. CC ID 15502 | Business Processes | Preventive | |
| Define what is included in a request for a waiver or reduction of fees. CC ID 15522 | Process or Activity | Preventive | |
| Deliver the records described in the personal data access request, as necessary. CC ID 08701 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Establish/Maintain Documentation | Preventive | |
| Provide individuals with an estimate of how much data was withheld from the data access request. CC ID 15503 | Data and Information Management | Preventive | |
| Document the outcome of the personal data access request review procedure. CC ID 00455 | Data and Information Management | Preventive | |
| Establish, implement, and maintain procedures for individuals to be able to modify their personal data, as necessary. CC ID 11811 | Establish/Maintain Documentation | Preventive | |
| Submit personal data removal requests in writing. CC ID 11973 | Records Management | Preventive | |
| Include a liability waiver for any harm caused by the exclusion of personal data in the personal data removal request. CC ID 11975 | Establish/Maintain Documentation | Preventive | |
| Allow authorized individuals to authenticate record entries containing personal data. CC ID 11812 | Records Management | Corrective | |
| Notify third parties of data access requests that relates to the third party. CC ID 08703 | Establish/Maintain Documentation | Preventive | |
| Allow affected third parties to consent or object to a data access request. CC ID 08704 | Process or Activity | Preventive | |
| Establish, implement, and maintain restricted data use limitation procedures. CC ID 00128 | Establish/Maintain Documentation | Preventive | |
| Identify any adverse effects the processing of personal data will have on the data subject. CC ID 15299 | Data and Information Management | Preventive | |
| Disclose de-identified data, as necessary. CC ID 13034 | Communicate | Preventive | |
| Notify the data subject after personal data is used or disclosed. CC ID 06247 | Behavior | Preventive | |
| Refrain from processing restricted data, as necessary. CC ID 12551 | Records Management | Preventive | |
| Refrain from processing restricted data if the restricted data is involved in a legal claim. CC ID 12668 | Process or Activity | Preventive | |
| Refrain from providing information to the data subject when the organization cannot identify the data subject. CC ID 12667 | Process or Activity | Preventive | |
| Refrain from erasing personal data when the data subject consents to retention. CC ID 14326 | Business Processes | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for statistical purposes. CC ID 12656 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for historical research purposes. CC ID 12655 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for scientific research purposes. CC ID 12654 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for exercising freedom of expression. CC ID 12684 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon data subject request when it is used to provide a service. CC ID 13779 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon data subject request when it is being used for incident detection. CC ID 13778 | Process or Activity | Detective | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for archival purposes. CC ID 12653 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is for compliance with a legal obligation. CC ID 12652 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for the public interest. CC ID 12649 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing concerns legal claims. CC ID 12644 | Process or Activity | Preventive | |
| Refrain from processing personal data when it is likely to cause unlawful discrimination or arbitrary discrimination. CC ID 00197 | Data and Information Management | Preventive | |
| Refrain from processing personal data when it is used for behavioral monitoring. CC ID 16528 | Data and Information Management | Preventive | |
| Refrain from processing personal data when it reveals trade union membership. CC ID 12583 | Business Processes | Preventive | |
| Refrain from processing personal data when it concerns an individual's sexual orientation. CC ID 12582 | Business Processes | Preventive | |
| Refrain from processing personal data when it concerns an individual's sex life. CC ID 12581 | Business Processes | Preventive | |
| Refrain from processing personal data when it contains Individually Identifiable Health Information. CC ID 12580 | Business Processes | Preventive | |
| Refrain from processing personal data when biometric data is used for the purpose of identifying an individual. CC ID 12579 | Business Processes | Preventive | |
| Refrain from processing personal data when the genetic data is used for the purpose of identifying individuals. CC ID 12578 | Business Processes | Preventive | |
| Refrain from processing personal data when it reveals philosophical beliefs. CC ID 12577 | Business Processes | Preventive | |
| Refrain from processing personal data when it reveals religious beliefs. CC ID 12576 | Business Processes | Preventive | |
| Refrain from processing personal data when it reveals political opinions. CC ID 12575 | Business Processes | Preventive | |
| Refrain from processing personal data if it reveals ethnic origin. CC ID 12574 | Business Processes | Preventive | |
| Refrain from processing personal data if the data subject opposes the data erasure of personal data. CC ID 12619 | Process or Activity | Preventive | |
| Establish and maintain a record of processing activities when processing restricted data. CC ID 12636 | Establish/Maintain Documentation | Preventive | |
| Refrain from maintaining a record of processing activities if the data processor employs a limited number of persons. CC ID 13378 | Establish/Maintain Documentation | Preventive | |
| Refrain from maintaining a record of processing activities if the personal data relates to criminal records. CC ID 13377 | Establish/Maintain Documentation | Preventive | |
| Refrain from maintaining a record of processing activities if the data being processed is restricted data. CC ID 13376 | Establish/Maintain Documentation | Preventive | |
| Refrain from maintaining a record of processing activities if it could result in a risk to the data subject's rights or data subject's freedom. CC ID 13375 | Establish/Maintain Documentation | Preventive | |
| Include the data protection officer's contact information in the record of processing activities. CC ID 12640 | Records Management | Preventive | |
| Include the data processor's contact information in the record of processing activities. CC ID 12657 | Records Management | Preventive | |
| Include the data processor's representative's contact information in the record of processing activities. CC ID 12658 | Records Management | Preventive | |
| Include a general description of the implemented security measures in the record of processing activities. CC ID 12641 | Records Management | Preventive | |
| Include a description of the data subject categories in the record of processing activities. CC ID 12659 | Records Management | Preventive | |
| Include the purpose of processing restricted data in the record of processing activities. CC ID 12663 | Records Management | Preventive | |
| Include the personal data processing categories in the record of processing activities. CC ID 12661 | Records Management | Preventive | |
| Include the time limits for erasing each data category in the record of processing activities. CC ID 12690 | Records Management | Preventive | |
| Include the data recipient categories to whom restricted data has been or will be disclosed in the record of processing activities. CC ID 12664 | Records Management | Preventive | |
| Include a description of the personal data categories in the record of processing activities. CC ID 12660 | Records Management | Preventive | |
| Include the joint data controller's contact information in the record of processing activities. CC ID 12639 | Records Management | Preventive | |
| Include the data controller's representative's contact information in the record of processing activities. CC ID 12638 | Records Management | Preventive | |
| Include documentation of the transferee's safeguards for transferring restricted data in the record of processing activities. CC ID 12643 | Records Management | Preventive | |
| Include the identification of transferees for transferring restricted data in the record of processing activities. CC ID 12642 | Records Management | Preventive | |
| Include the data controller's contact information in the record of processing activities. CC ID 12637 | Records Management | Preventive | |
| Process restricted data lawfully and carefully. CC ID 00086 | Establish Roles | Preventive | |
| Analyze requirements for processing personal data in contracts. CC ID 12550 | Investigate | Detective | |
| Implement technical controls that limit processing restricted data for specific purposes. CC ID 12646 | Technical Security | Preventive | |
| Process personal data pertaining to a patient's health in order to treat those patients. CC ID 00200 | Data and Information Management | Preventive | |
| Notify the subject of care when a lack of availability of health information systems might have adversely affected their care. CC ID 13990 | Communicate | Corrective | |
| Refrain from disclosing Individually Identifiable Health Information when in violation of territorial or federal law. CC ID 11966 | Records Management | Preventive | |
| Document the conditions for the use or disclosure of Individually Identifiable Health Information by a covered entity to another covered entity. CC ID 00210 | Establish/Maintain Documentation | Preventive | |
| Disclose Individually Identifiable Health Information for a covered entity's own use. CC ID 00211 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information for a healthcare provider's treatment activities by a covered entity. CC ID 00212 | Data and Information Management | Preventive | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is permitted with the consent of the data subject. CC ID 11970 | Records Management | Preventive | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is to support the treatment of the individual. CC ID 11969 | Process or Activity | Preventive | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is permitted by law. CC ID 11976 | Records Management | Preventive | |
| Disclose Individually Identifiable Health Information for payment activities between covered entities or healthcare providers. CC ID 00213 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information for Treatment, Payment, and Health Care Operations activities when both covered entities have a relationship with the data subject. CC ID 00214 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information for Treatment, Payment, and Health Care Operations activities between a covered entity and a participating healthcare provider when the information is collected from the data subject and a third party. CC ID 00215 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information in accordance with agreed upon restrictions. CC ID 06249 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information in accordance with the privacy notice. CC ID 06250 | Data and Information Management | Preventive | |
| Disclose permitted Individually Identifiable Health Information for facility directories. CC ID 06251 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information for cadaveric organ donation purposes, eye donation purposes, or tissue donation purposes. CC ID 06252 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information for medical suitability determinations. CC ID 06253 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information for armed forces personnel appropriately. CC ID 06254 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information in order to provide public benefits by government agencies. CC ID 06255 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information for fundraising. CC ID 06256 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information for research use when the appropriate requirements are included in the approval documentation or waiver documentation. CC ID 06257 | Establish/Maintain Documentation | Preventive | |
| Document the conditions for the disclosure of Individually Identifiable Health Information by an organization providing healthcare services to organizations other than business associates or other covered entities. CC ID 00201 | Establish/Maintain Documentation | Preventive | |
| Disclose Individually Identifiable Health Information when the data subject cannot physically or legally provide consent and the disclosing organization is a healthcare provider. CC ID 00202 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information to provide appropriate treatment to the data subject when the disclosing organization is a healthcare provider. CC ID 00203 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information when it is not contrary to the data subject's wish prior to becoming unable to provide consent and the disclosing organization is a healthcare provider. CC ID 00204 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information that is reasonable or necessary for the disclosure purpose when the disclosing organization is a healthcare provider. CC ID 00205 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information consistent with the law when the disclosing organization is a healthcare provider. CC ID 00206 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the disclosing organization is a healthcare provider. CC ID 00207 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the data subject has provided consent and the disclosing organization is a healthcare provider. CC ID 00208 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the data subject's guardian or representative has provided consent and the disclosing organization is a healthcare provider. CC ID 00209 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information when the disclosing organization is a healthcare provider that supports public health and safety activities. CC ID 06248 | Data and Information Management | Preventive | |
| Disclose Individually Identifiable Health Information in order to report abuse or neglect when the disclosing organization is a healthcare provider. CC ID 06819 | Data and Information Management | Preventive | |
| Document how Individually Identifiable Health Information is used and disclosed when authorization has been granted. CC ID 00216 | Establish/Maintain Documentation | Preventive | |
| Define and implement valid authorization control requirements. CC ID 06258 | Establish/Maintain Documentation | Preventive | |
| Obtain explicit consent for authorization to release Individually Identifiable Health Information. CC ID 00217 | Data and Information Management | Preventive | |
| Obtain explicit consent for authorization to release psychotherapy notes. CC ID 00218 | Data and Information Management | Preventive | |
| Refrain from using Individually Identifiable Health Information to determine eligibility or continued eligibility for credit. CC ID 00219 | Data and Information Management | Preventive | |
| Process personal data after the data subject has granted explicit consent. CC ID 00180 | Data and Information Management | Preventive | |
| Process personal data in order to perform a legal obligation or exercise a legal right. CC ID 00182 | Data and Information Management | Preventive | |
| Process personal data relating to criminal offenses when required by law. CC ID 00237 | Data and Information Management | Preventive | |
| Process personal data in order to prevent personal injury or damage to the data subject's health. CC ID 00183 | Data and Information Management | Preventive | |
| Process personal data in order to prevent personal injury or damage to a third party's health. CC ID 00184 | Data and Information Management | Preventive | |
| Process personal data for statistical purposes or scientific purposes. CC ID 00256 | Data and Information Management | Preventive | |
| Process personal data during legitimate activities with safeguards for the data subject's legal rights. CC ID 00185 | Data and Information Management | Preventive | |
| Process traffic data in a controlled manner. CC ID 00130 | Data and Information Management | Preventive | |
| Process personal data for health insurance, social insurance, state social benefits, social welfare, or child protection. CC ID 00186 | Data and Information Management | Preventive | |
| Process personal data when it is publicly accessible. CC ID 00187 | Data and Information Management | Preventive | |
| Process personal data for direct marketing and other personalized mail programs. CC ID 00188 | Data and Information Management | Preventive | |
| Refrain from processing personal data for marketing or advertising to children. CC ID 14010 | Business Processes | Preventive | |
| Refrain from disseminating and communicating with individuals that have opted out of direct marketing communications. CC ID 13708 | Communicate | Corrective | |
| Process personal data for the purposes of employment. CC ID 16527 | Data and Information Management | Preventive | |
| Process personal data for justice administration, lawsuits, judicial decisions, and investigations. CC ID 00189 | Data and Information Management | Preventive | |
| Process personal data for debt collection or benefit payments. CC ID 00190 | Data and Information Management | Preventive | |
| Process personal data in order to advance the public interest. CC ID 00191 | Data and Information Management | Preventive | |
| Process personal data for surveys, archives, or scientific research. CC ID 00192 | Data and Information Management | Preventive | |
| Process personal data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00193 | Data and Information Management | Preventive | |
| Process personal data for academic purposes or religious purposes. CC ID 00194 | Data and Information Management | Preventive | |
| Process personal data when it is used by a public authority for National Security policy or criminal policy. CC ID 00195 | Data and Information Management | Preventive | |
| Refrain from storing data in newly created files or registers which directly or indirectly reveals the restricted data. CC ID 00196 | Data and Information Management | Preventive | |
| Follow legal obligations while processing personal data. CC ID 04794 | Data and Information Management | Preventive | |
| Start personal data processing only after the needed notifications are submitted. CC ID 04791 | Data and Information Management | Preventive | |
| Process personal data absent consent for specific and well-documented circumstances. CC ID 13537 | Data and Information Management | Preventive | |
| Process personal data absent consent in order to protect the vital interests of the data subject. CC ID 14012 | Process or Activity | Preventive | |
| Process personal data absent consent when the data subject has been notified the personal data may be collected, used, or disclosed. CC ID 13617 | Data and Information Management | Preventive | |
| Process personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13615 | Data and Information Management | Preventive | |
| Process personal data absent consent when the data subject is notified that the business transaction is completed and their information was disclosed. CC ID 13612 | Data and Information Management | Preventive | |
| Process personal data absent consent when the disclosure concerns the data subject's products and services obtained from the organization. CC ID 13611 | Data and Information Management | Preventive | |
| Process personal data absent consent when it is impracticable to obtain consent. CC ID 13580 | Data and Information Management | Preventive | |
| Process personal data absent consent when it is in the data subject's interest and consent cannot be obtained in a timely manner. CC ID 15282 | Data and Information Management | Preventive | |
| Process personal data absent consent to determine whether to proceed with business transactions. CC ID 13587 | Data and Information Management | Preventive | |
| Process personal data absent consent in order to perform a contract. CC ID 13586 | Data and Information Management | Preventive | |
| Process personal data absent consent when the privacy commissioner is notified before the information is used. CC ID 13581 | Data and Information Management | Preventive | |
| Process personal data absent consent to perform obligations in the field of employment law. CC ID 16814 | Data and Information Management | Preventive | |
| Process personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 15294 | Data and Information Management | Preventive | |
| Process personal data absent consent when it is used in a manner to ensure confidentiality. CC ID 13579 | Data and Information Management | Preventive | |
| Process personal data absent consent when it is used for statistical research, scientific research, or scholarly research. CC ID 13578 | Data and Information Management | Preventive | |
| Process personal data absent consent when it is needed by law. CC ID 13577 | Data and Information Management | Preventive | |
| Process personal data for public interests absent consent in order to protect historical records or archival records. CC ID 15296 | Data and Information Management | Preventive | |
| Process personal data absent consent when it is from publicly available information. CC ID 13576 | Data and Information Management | Preventive | |
| Process personal data absent consent to create a credit report. CC ID 15288 | Data and Information Management | Preventive | |
| Process personal data absent consent if its use is consistent with the intended purpose. CC ID 13575 | Data and Information Management | Preventive | |
| Process personal data absent consent to administer a trust fund or benefit plan. CC ID 15291 | Data and Information Management | Preventive | |
| Process personal data absent consent when produced for business purposes. CC ID 13563 | Data and Information Management | Preventive | |
| Process personal data absent consent for handling insurance claims. CC ID 13561 | Data and Information Management | Preventive | |
| Process personal data absent consent when it is necessary for corporate restructuring. CC ID 16533 | Data and Information Management | Preventive | |
| Process personal data absent consent if the information is contained in a witness statement. CC ID 13560 | Data and Information Management | Preventive | |
| Process personal data absent consent for life-threatening emergencies. CC ID 13558 | Data and Information Management | Preventive | |
| Process personal data absent consent for reasonable investigative purposes. CC ID 13557 | Data and Information Management | Preventive | |
| Notify the individual before restricted data is collected, used, or disclosed. CC ID 00132 | Behavior | Preventive | |
| Define security breach notification requirement exceptions. CC ID 04797 | Establish/Maintain Documentation | Preventive | |
| Refrain from disclosing a security breach if an investigation concludes none has occurred. CC ID 13086 | Communicate | Corrective | |
| Refrain from disclosing personal data absent consent of the individual or for defined exceptions. CC ID 11967 | Records Management | Preventive | |
| Notify the data subject when personal data has been inadvertently disclosed. CC ID 13989 | Communicate | Corrective | |
| Disclose restricted data when the data subject has given unambiguous and implicit consent. CC ID 00157 [The entity discloses personal information to third parties with the explicit consent of the data subject to meet the entity’s privacy commitments and system requirements, and such consent is obtained prior to disclosure. P6.1] | Data and Information Management | Preventive | |
| Define what restricted data is not required to be disclosed absent consent. CC ID 00134 | Establish/Maintain Documentation | Preventive | |
| Define the exceptions to disclosure absent consent. CC ID 00135 | Establish/Maintain Documentation | Preventive | |
| Disclose personal data when the data subject has consented and has the ability to opt out. CC ID 00158 | Data and Information Management | Detective | |
| Define opt-out exceptions for disclosing restricted data. CC ID 00159 | Establish/Maintain Documentation | Preventive | |
| Define how a data subject may give consent. CC ID 00160 | Establish/Maintain Documentation | Preventive | |
| Disclose Personal Identification Numbers absent consent in order to update address information. CC ID 04793 | Data and Information Management | Preventive | |
| Disclose personal data absent consent for specific and well-documented circumstances. CC ID 15267 | Communicate | Preventive | |
| Disclose restricted data absent consent when the law does not require consent. CC ID 00136 | Data and Information Management | Preventive | |
| Disclose data absent consent if its disclosure is consistent with the intended purpose. CC ID 15270 | Data and Information Management | Preventive | |
| Disclose restricted data when a relevant connection exists between the data subject and the data controller's operations. CC ID 00137 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if the disclosure with the consent or knowledge of the data subject would compromise the ability to prevent, detect, or suppress fraud. CC ID 13594 | Data and Information Management | Preventive | |
| Disclose personal data absent consent when it is in the data subject's interest and consent cannot be obtained in a timely manner. CC ID 15284 | Data and Information Management | Preventive | |
| Disclose personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13616 | Data and Information Management | Preventive | |
| Disclose personal data absent consent when the data subject is notified that the business transaction is completed and their information was disclosed. CC ID 13613 | Data and Information Management | Preventive | |
| Disclose personal data absent consent when the data subject has been notified the personal data may be collected, used, or disclosed. CC ID 13603 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if disclosure is made a predetermined number of years after the death of the data subject. CC ID 13598 | Data and Information Management | Preventive | |
| Disclose personal data absent consent when disclosure is made a predetermined number of years after the information was created. CC ID 13597 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if the data subject is notified of the disclosure. CC ID 13596 | Data and Information Management | Preventive | |
| Disclose personal data absent consent to detect, suppress, or prevent fraud. CC ID 13592 | Data and Information Management | Preventive | |
| Disclose personal data absent consent to create a credit report. CC ID 15297 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if it is necessary to identify an individual who is injured, ill or deceased. CC ID 13595 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent if the disclosure is to a government institution. CC ID 13583 | Data and Information Management | Preventive | |
| Disclose personal data absent consent for reasonable investigative purposes. CC ID 13593 | Data and Information Management | Preventive | |
| Disclose personal data absent consent to determine whether to proceed with business transactions. CC ID 15285 | Data and Information Management | Preventive | |
| Disclose personal data absent consent for handling insurance claims. CC ID 13585 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if the information is contained in a witness statement. CC ID 13584 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if the data subject is believed to be a victim of financial abuse. CC ID 13555 | Data and Information Management | Preventive | |
| Disclose personal data absent consent for transactions related to the consumer. CC ID 14853 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent to a government institution that has requested the information. CC ID 13582 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 13554 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent when it is for the data controller's legitimate interest or third party's legitimate interest and it prevails over individual rights. CC ID 00138 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if the organization notifies the privacy commissioner before disclosing the information. CC ID 13553 | Data and Information Management | Preventive | |
| Disclose personal data absent consent if it is impracticable to obtain consent. CC ID 13552 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent in order to perform a contract. CC ID 00139 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent in order to assist Telecommunications Ombudsmen in resolving complaints. CC ID 00140 | Data and Information Management | Preventive | |
| Disclose personal data absent consent to administer a trust fund or benefit plan. CC ID 15290 | Data and Information Management | Preventive | |
| Disclose personal data absent consent for research purposes and the data subject is not identified. CC ID 15286 | Data and Information Management | Preventive | |
| Disclose personal data absent consent when the personal data is disclosed by calling an emergency service number. CC ID 00141 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent when the restricted data prevents life-threatening emergencies to third parties. CC ID 00142 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent when the restricted data preserves human life at sea. CC ID 00143 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent in order to process the restricted data for public interests. CC ID 00144 | Data and Information Management | Preventive | |
| Disclose restricted data for public interests absent consent in order to provide social work assistance services. CC ID 00145 | Data and Information Management | Preventive | |
| Disclose restricted data for public interests absent consent if confidentiality is assured and the disclosure is for statistical research, scientific research, or scholarly research. CC ID 00146 | Data and Information Management | Preventive | |
| Disclose restricted data for public interests absent consent in order to protect historical records or archival records. CC ID 00147 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent for public economic interests. CC ID 00148 | Data and Information Management | Preventive | |
| Disclose restricted data for public interests absent consent for National Security reasons. CC ID 00149 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00150 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent when it is publicly accessible. CC ID 00151 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent when it is related to publicly available information. CC ID 00152 | Data and Information Management | Preventive | |
| Disclose publicly accessible restricted data absent consent when the data subject has already published it. CC ID 00153 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent in order to protect the data subject's vital interests. CC ID 00154 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent in order to protect the data subject's vital interests when there is a life-threatening emergency. CC ID 00155 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent when it is for judicial decisions, lawsuits, and investigations. CC ID 00161 | Data and Information Management | Preventive | |
| Disclose restricted data for judicial decisions, lawsuits, and investigations only after the data controller includes a note of the disclosure in the record. CC ID 00162 | Establish/Maintain Documentation | Detective | |
| Disclose restricted data absent consent when it is needed by law. CC ID 00163 | Data and Information Management | Preventive | |
| Disclose personal data required by law absent consent for special cases involving security or law enforcement. CC ID 04796 | Data and Information Management | Preventive | |
| Disclose personal data absent consent when it is being disclosed to the data subject. CC ID 00164 | Data and Information Management | Preventive | |
| Disclose personal data absent consent for direct marketing or other personalized mail programs. CC ID 14855 | Data and Information Management | Preventive | |
| Disclose personal data absent consent in order to collect a debt owed by the data subject. CC ID 00165 | Data and Information Management | Preventive | |
| Disclose personal data absent consent when the data subject or data owner is anonymous. CC ID 00166 | Data and Information Management | Preventive | |
| Disclose restricted data absent consent when the disclosure concerns the individual's products or services obtained from the organization. CC ID 13469 | Communicate | Preventive | |
| Establish, implement, and maintain restricted data retention procedures. CC ID 00167 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain personal data disposition procedures. CC ID 13498 | Establish/Maintain Documentation | Preventive | |
| Capture personal data removal requests. CC ID 13507 | Communicate | Preventive | |
| Remove personal data from records after receiving a personal data removal request. CC ID 11972 | Records Management | Preventive | |
| Refrain from erasing personal data upon receiving a personal data removal request when it is necessary for maintaining information assets. CC ID 13789 | Process or Activity | Preventive | |
| Refrain from erasing personal data upon receiving a personal data removal request when it is necessary to complete a payment transaction. CC ID 13788 | Process or Activity | Preventive | |
| Dispose of personal data removal requests, as necessary. CC ID 13512 | Business Processes | Preventive | |
| Limit the redisclosure and reuse of restricted data. CC ID 00168 | Data and Information Management | Preventive | |
| Refrain from redisclosing or reusing restricted data. CC ID 00169 | Data and Information Management | Preventive | |
| Document the redisclosing restricted data exceptions. CC ID 00170 | Establish/Maintain Documentation | Preventive | |
| Redisclose restricted data when the data subject consents. CC ID 00171 | Data and Information Management | Preventive | |
| Redisclose restricted data when it is for criminal law enforcement. CC ID 00172 | Data and Information Management | Preventive | |
| Redisclose restricted data in order to protect public revenue. CC ID 00173 | Data and Information Management | Preventive | |
| Redisclose restricted data in order to assist a Telecommunications Ombudsman. CC ID 00174 | Data and Information Management | Preventive | |
| Redisclose restricted data in order to prevent a life-threatening emergency. CC ID 00175 | Data and Information Management | Preventive | |
| Redisclose restricted data when it deals with installing, maintaining, operating, or providing access to a Public Telecommunications Network or a telecommunication facility. CC ID 00176 | Data and Information Management | Preventive | |
| Redisclose restricted data in order to preserve human life at sea. CC ID 00177 | Data and Information Management | Preventive | |
| Obtain explicit consent directly from the data subject prior to the use of that person's sensitive data. CC ID 00178 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Data and Information Management | Preventive | |
| Obtain consent from a parent or legal representative in order to use or disclose a child's data. CC ID 00198 | Data and Information Management | Preventive | |
| Obtain opt-in consent from teenagers prior to the collection, use, or disclosure of personal data. CC ID 00199 | Data and Information Management | Preventive | |
| Obtain explicit consent prior to using the data subject's Personal Identification Number. CC ID 00238 | Data and Information Management | Preventive | |
| Process Personal Identification Numbers with consent. CC ID 00239 | Data and Information Management | Preventive | |
| Refrain from requiring individuals to use Personal Identification Numbers as an account number or password. CC ID 00253 | Behavior | Preventive | |
| Obtain consent prior to selling a Personal Identification Number. CC ID 00240 | Data and Information Management | Preventive | |
| Obtain consent prior to displaying a Personal Identification Number. CC ID 00241 | Data and Information Management | Preventive | |
| Refrain from displaying Personal Identification Numbers on government-issued checks or other paperwork. CC ID 00254 | Data and Information Management | Preventive | |
| Refrain from displaying Personal Identification Numbers on identification cards or badges. CC ID 00255 | Data and Information Management | Preventive | |
| Document the conditions to use Personal Identification Numbers absent consent. CC ID 00242 | Establish/Maintain Documentation | Preventive | |
| Use Personal Identification Numbers absent consent for granting credit or collecting a debt. CC ID 00252 | Data and Information Management | Preventive | |
| Use Personal Identification Numbers absent consent for research purposes. CC ID 00247 | Data and Information Management | Preventive | |
| Refrain from requiring consent to use a Personal Identification Number when protecting the public health and safety or an individual's safety in an emergency. CC ID 00244 | Data and Information Management | Preventive | |
| Use Personal Identification Numbers absent consent when a federal law mandates its use. CC ID 00243 | Data and Information Management | Preventive | |
| Allow data subjects the ability to restrict the use and disclosure of personal data. CC ID 06821 [Access to confidential information from outside the boundaries of the system and disclosure of confidential information is restricted to authorized parties to meet the entity’s confidentiality commitments and system requirements. C1.3] | Data and Information Management | Preventive | |
| Establish, implement, and maintain data disclosure procedures. CC ID 00133 | Establish/Maintain Documentation | Preventive | |
| Identify any adverse effects the disclosure of personal data will have on the data subject. CC ID 15298 | Data and Information Management | Preventive | |
| Review personal data disclosure requests. CC ID 07129 | Data and Information Management | Preventive | |
| Notify the data subject of the disclosure purpose. CC ID 15268 | Communicate | Preventive | |
| Establish, implement, and maintain data request denial procedures. CC ID 00434 | Establish/Maintain Documentation | Preventive | |
| Include frivolous requests or vexatious requests as a reason for denial in the personal data request denial procedures. CC ID 00435 | Data and Information Management | Preventive | |
| Include when the required information is unavailable as a reason for denial in the personal data request denial procedures. CC ID 00436 | Data and Information Management | Preventive | |
| Include when the disclosure of personal data constitutes contempt of court or contempt of House of Representatives as a reason for denial in the personal data request denial procedures. CC ID 00437 | Data and Information Management | Preventive | |
| Include disclosing personal data that would identify suppliers or breaches an express promise of privacy or implied promise of privacy as a reason for denial in the personal data request denial procedures. CC ID 00438 | Data and Information Management | Preventive | |
| Include disclosing personal data that would compromise National Security as a reason for denial in the personal data request denial procedures. CC ID 00439 | Data and Information Management | Preventive | |
| Include information that is protected by attorney-client privilege as a reason for denial in the personal data request denial procedures. CC ID 00440 | Data and Information Management | Preventive | |
| Include disclosing personal data that would reveal trade secrets, commercial information, or harmful financial information as a reason for denial in the personal data request denial procedures. CC ID 00441 | Data and Information Management | Preventive | |
| Include disclosing personal data that would threaten an individual's life or an individual's security as a reason for denial in the personal data request denial procedures. CC ID 00442 | Data and Information Management | Preventive | |
| Include disclosing personal data that would have an unreasonable impact on another individual's privacy as a reason for denial in the personal data request denial procedures. CC ID 00443 | Data and Information Management | Preventive | |
| Include disclosing personal data that would threaten facilities, property, transport, or communication systems as a reason for denial in the personal data request denial procedures. CC ID 08702 | Process or Activity | Preventive | |
| Include responding to access requests after the time limit as a reason for denial in the personal data request denial procedures. CC ID 13600 | Data and Information Management | Preventive | |
| Include information that was generated from a formal dispute as a reason for denial in the personal data request denial procedures. CC ID 00444 | Data and Information Management | Preventive | |
| Include personal data that is used solely for scientific research, scholarly research, statistical research, library purposes, museum purposes, or archival purposes as a reason for denial in the personal data request denial procedures. CC ID 00445 | Data and Information Management | Preventive | |
| Include personal data that is for the state's economic interest as a reason for denial in the personal data request denial procedures. CC ID 00446 | Data and Information Management | Detective | |
| Include personal data that is for protecting the civil rights or other's freedoms as a reason for denial in the personal data request denial procedures. CC ID 00447 | Data and Information Management | Preventive | |
| Include disclosing personal data that constitutes a state secret as a reason for denial in the personal data request denial procedures. CC ID 00448 | Data and Information Management | Preventive | |
| Include disclosing personal data that would result in interference with the operation of public functions as a reason for denial in the personal data request denial procedures. CC ID 00449 | Data and Information Management | Preventive | |
| Include disclosing personal data that would interrupt criminal investigation and surveillance or other legal purposes as a reason for denial in the personal data request denial procedures. CC ID 00450 | Data and Information Management | Preventive | |
| Include when a country's laws prevent disclosure as a reason for denial in the personal data request denial procedures. CC ID 00451 | Data and Information Management | Preventive | |
| Include disclosing personal data that would interfere with grievance proceeding or employee security investigations as a reason for denial in the personal data request denial procedures. CC ID 06873 | Data and Information Management | Preventive | |
| Include disclosing personal data that would interfere with commercial acquisitions or reorganizations as a reason for denial in the personal data request denial procedures. CC ID 06874 | Data and Information Management | Preventive | |
| Include if the cost or burden of disclosing the personal data is disproportionate as a reason for denial in the personal data request denial procedures. CC ID 06875 | Data and Information Management | Preventive | |
| Notify interested personnel and affected parties of the reasons the data access request was refused. CC ID 00453 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Data and Information Management | Preventive | |
| Notify the individual of the organization's legal rights to refuse the personal data access request, as necessary. CC ID 13509 | Communicate | Preventive | |
| Notify individuals of their right to challenge a refusal to a data access request. CC ID 00454 | Data and Information Management | Preventive | |
| Include if the record would constitute an action for breach of a duty of confidence as a reason for denial in the personal data request denial procedures. CC ID 08700 | Process or Activity | Preventive | |
| Disseminate and communicate personal data to the individual that it relates to. CC ID 00428 | Data and Information Management | Preventive | |
| Provide personal data to an individual after the individual's identity has been confirmed. CC ID 06876 | Data and Information Management | Preventive | |
| Notify that data subject of any exclusions to requested personal data. CC ID 15271 | Communicate | Preventive | |
| Provide data or records in a reasonable time frame. CC ID 00429 | Data and Information Management | Preventive | |
| Notify individuals of the new time limit for responding to an access request in a notice of extension. CC ID 13599 | Communicate | Preventive | |
| Extend the time limit for providing personal data in order to convert it to an alternative format. CC ID 13591 | Data and Information Management | Preventive | |
| Extend the time limit for providing personal data if the time is impracticable to respond to the access request. CC ID 13590 | Data and Information Management | Preventive | |
| Extend the time limit for providing data if it would unreasonably interfere with the organization's activities. CC ID 13589 | Data and Information Management | Preventive | |
| Provide data at a cost that is not excessive. CC ID 00430 | Data and Information Management | Preventive | |
| Provide records or data in a reasonable manner. CC ID 00431 | Data and Information Management | Preventive | |
| Provide personal data in a form that is intelligible. CC ID 00432 | Data and Information Management | Preventive | |
| Provide restricted data that would threaten the life or security of another individual after that information has been redacted. CC ID 13604 | Data and Information Management | Preventive | |
| Provide restricted data that would reveal confidential commercial information after that information has been redacted. CC ID 13602 | Data and Information Management | Preventive | |
| Remove data pertaining to third parties before giving the requestor access to the information. CC ID 13601 | Data and Information Management | Preventive | |
| Document that a data search was conducted in case the requested data cannot be found. CC ID 06953 | Establish/Maintain Documentation | Preventive | |
| Include cookie management in the privacy framework. CC ID 13809 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain cookie management procedures. CC ID 13810 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a personal data collection program. CC ID 06487 | Establish/Maintain Documentation | Preventive | |
| Identify any adverse effects the collection of personal data will have on the data subject. CC ID 15279 | Data and Information Management | Preventive | |
| Refrain from collecting personal data, as necessary. CC ID 15269 | Data and Information Management | Preventive | |
| Determine the financial impact for the unauthorized disclosure of privacy-related data and privacy-related information. CC ID 06488 | Business Processes | Detective | |
| Establish, implement, and maintain personal data collection limitation boundaries. CC ID 00507 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a personal data use policy. CC ID 00076 | Establish/Maintain Documentation | Preventive | |
| Use personal data for specified purposes. CC ID 11831 | Data and Information Management | Preventive | |
| Post the collection purpose. CC ID 00101 | Establish/Maintain Documentation | Preventive | |
| Obtain the data subject's consent and acknowledgment before collecting data. CC ID 00012 [For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2 For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2] | Data and Information Management | Preventive | |
| Document each individual's personal data collection consent preferences. CC ID 06945 | Establish/Maintain Documentation | Preventive | |
| Provide explicit consent that is clear and unambiguous. CC ID 00181 | Data and Information Management | Preventive | |
| Allow individuals to change their personal data collection consent preferences. CC ID 06946 | Data and Information Management | Preventive | |
| Adhere to each individual's personal data collection consent preferences. CC ID 06947 | Data and Information Management | Preventive | |
| Notify the data subject of the source of collected personal data. CC ID 00083 | Behavior | Preventive | |
| Furnish disclosure of information and usage of information to data subjects when oral consent is given. CC ID 04717 | Data and Information Management | Preventive | |
| Disclose the direct marketing purpose before obtaining consent for collecting information. CC ID 04718 | Data and Information Management | Preventive | |
| Establish and maintain a personal data definition. CC ID 00028 | Establish/Maintain Documentation | Preventive | |
| Include an individual's name in the personal data definition. CC ID 04710 | Data and Information Management | Preventive | |
| Include an individual's name combined with other personal data in the personal data definition. CC ID 04709 | Data and Information Management | Preventive | |
| Include the legal surname of the parent or legal representative prior to marriage in the personal data definition. CC ID 04686 | Data and Information Management | Preventive | |
| Include an individual's signature in the personal data definition. CC ID 04711 | Data and Information Management | Preventive | |
| Include an individual's date of birth in the personal data definition. CC ID 04770 | Data and Information Management | Preventive | |
| Include the number of children in the personal data definition. CC ID 13759 | Establish/Maintain Documentation | Preventive | |
| Include the individual's religion in the personal data definition. CC ID 13765 | Establish/Maintain Documentation | Preventive | |
| Include an individual's physical characteristics or description in the personal data definition. CC ID 04712 | Data and Information Management | Preventive | |
| Include an individual's biometric data in the personal data definition. CC ID 04698 | Data and Information Management | Preventive | |
| Include an individual's photographic image in the personal data definition. CC ID 04779 | Data and Information Management | Preventive | |
| Include an individual's fingerprints in the personal data definition. CC ID 04689 | Data and Information Management | Preventive | |
| Include an individual's address in the personal data definition. CC ID 04687 | Data and Information Management | Preventive | |
| Include an individual's telephone number in the personal data definition. CC ID 04688 | Data and Information Management | Preventive | |
| Include an individual's fax number in the personal data definition. CC ID 07120 | Data and Information Management | Preventive | |
| Include an individual's political party affiliation in the personal data definition. CC ID 13764 | Establish/Maintain Documentation | Preventive | |
| Include an individual's license plate number in the personal data definition. CC ID 13763 | Establish/Maintain Documentation | Preventive | |
| Include an individual's financial account number in the personal data definition. CC ID 04692 | Data and Information Management | Preventive | |
| Include an individual's account balances in the personal data definition. CC ID 13770 | Establish/Maintain Documentation | Preventive | |
| Include stock numbers, bond numbers, and other security certificate numbers in the personal data definition. CC ID 04768 | Data and Information Management | Preventive | |
| Include an individual's electronic identification name or number in the personal data definition. CC ID 04694 | Data and Information Management | Preventive | |
| Include an individual's logon credentials in the personal data definition. CC ID 13771 | Establish/Maintain Documentation | Preventive | |
| Include an individual's Alien Registration Number in the personal data definition. CC ID 04743 | Data and Information Management | Preventive | |
| Include an individual's passport number in the personal data definition. CC ID 04713 | Data and Information Management | Preventive | |
| Include an individual's driver's license number or an individual's state identification card number in the personal data definition. CC ID 04691 | Data and Information Management | Preventive | |
| Include an individual's Social Security Number or Personal Identification Number in the personal data definition. CC ID 04690 | Data and Information Management | Preventive | |
| Include an individual's military identification number in the personal data definition. CC ID 13083 | Establish/Maintain Documentation | Preventive | |
| Include an individual's e-mail address in the personal data definition. CC ID 04696 | Data and Information Management | Preventive | |
| Include electronic signatures in the personal data definition. CC ID 04697 | Data and Information Management | Preventive | |
| Include an individual's payment card information in the personal data definition. CC ID 04751 | Data and Information Management | Preventive | |
| Include an individual's credit card number or an individual's debit card number in the personal data definition. CC ID 04693 | Data and Information Management | Preventive | |
| Include an individual's payment card service code in the personal data definition. CC ID 04753 | Data and Information Management | Preventive | |
| Include an individual's payment card expiration date in the personal data definition. CC ID 04755 | Data and Information Management | Preventive | |
| Include the payment transaction data and transaction authentication data in the personal data definition. CC ID 04825 | Data and Information Management | Preventive | |
| Include an individual's Individually Identifiable Health Information in the personal data definition. CC ID 04700 | Data and Information Management | Preventive | |
| Include an individual's medical history in the personal data definition. CC ID 04701 | Data and Information Management | Preventive | |
| Include an individual's medical treatment in the personal data definition. CC ID 04702 | Data and Information Management | Preventive | |
| Include an individual's medical diagnosis in the personal data definition. CC ID 04703 | Data and Information Management | Preventive | |
| Include an individual's mental condition or an individual's physical condition in the personal data definition. CC ID 04704 | Data and Information Management | Preventive | |
| Include an individual's medical record numbers in the personal data definition. CC ID 07121 | Data and Information Management | Preventive | |
| Include an individual's health insurance information in the personal data definition. CC ID 04705 | Data and Information Management | Preventive | |
| Include an individual's health insurance policy number in the personal data definition. CC ID 04706 | Data and Information Management | Preventive | |
| Include an individual's health insurance application and health insurance claims history (including appeals) in the personal data definition. CC ID 04707 | Data and Information Management | Preventive | |
| Include an individual's education information in the personal data definition. CC ID 04714 | Data and Information Management | Preventive | |
| Include an individual's professional certification numbers or an individual's professional license numbers in the personal data definition. CC ID 07122 | Data and Information Management | Preventive | |
| Include an individual's employment information in the personal data definition. CC ID 04715 | Data and Information Management | Preventive | |
| Include an employer's Taxpayer Identification Number in the personal data definition. CC ID 04767 | Data and Information Management | Preventive | |
| Include an individual's Taxpayer Identification Number in the personal data definition. CC ID 04763 | Data and Information Management | Preventive | |
| Include an individual's employment history in the personal data definition. CC ID 04716 | Data and Information Management | Preventive | |
| Include an individual's place of employment in the personal data definition. CC ID 04765 | Data and Information Management | Preventive | |
| Include an individual's Employee Identification Number in the personal data definition. CC ID 04766 | Data and Information Management | Preventive | |
| Include an individual's property information in the personal data definition. CC ID 04780 | Data and Information Management | Preventive | |
| Include an individual's property title in the personal data definition. CC ID 04781 | Data and Information Management | Preventive | |
| Include an individual's vehicle registration in the personal data definition. CC ID 04782 | Data and Information Management | Preventive | |
| Include hardware asset identification information in the personal data definition. CC ID 07123 | Data and Information Management | Preventive | |
| Include MAC addresses in the personal data definition. CC ID 04778 | Data and Information Management | Preventive | |
| Include Internet Protocol addresses in the personal data definition. CC ID 04777 | Data and Information Management | Preventive | |
| Include asset serial numbers in the personal data definition. CC ID 07124 | Data and Information Management | Preventive | |
| Include Uniform Resource Locators in the personal data definition. CC ID 07125 | Data and Information Management | Preventive | |
| Refrain from including publicly available information in the personal data definition. CC ID 13084 | Establish/Maintain Documentation | Preventive | |
| Define specially restricted data. CC ID 00037 | Data and Information Management | Preventive | |
| Protect an individual's civil rights during personal data collection and personal data processing. CC ID 00079 | Data and Information Management | Preventive | |
| Refrain from compiling data that is likely to give rise to unlawful discrimination or arbitrary discrimination. CC ID 00075 | Data and Information Management | Preventive | |
| Refrain from subjecting an individual to a solely automated decision process that produces legal effects based on the evaluation of certain characteristics. CC ID 00080 | Data and Information Management | Preventive | |
| Implement a nondiscrimination principle. CC ID 00081 | Data and Information Management | Preventive | |
| Include the collection and use of personal data in the nondiscrimination principle. CC ID 11799 | Data and Information Management | Preventive | |
| Preserve each individual's right to human dignity. CC ID 00082 | Data and Information Management | Preventive | |
| Manage Personal Identification Numbers and PIN verification code numbers. CC ID 00058 | Data and Information Management | Preventive | |
| Employ a random number generator to create authenticators. CC ID 13782 | Technical Security | Preventive | |
| Collect Personal Identification Numbers with the individual's consent. CC ID 00059 | Data and Information Management | Preventive | |
| Collect Personal Identification Numbers absent consent when the law mandates. CC ID 00061 | Data and Information Management | Preventive | |
| Collect Personal Identification Numbers absent consent for research purposes. CC ID 00065 | Data and Information Management | Preventive | |
| Collect Personal Identification Numbers absent consent to realize the rights or duties of the data subject or data controller. CC ID 04792 | Data and Information Management | Preventive | |
| Refrain from requiring a Personal Identification Number to purchase goods or services. CC ID 00069 | Behavior | Preventive | |
| Manage health data collection. CC ID 00050 | Data and Information Management | Preventive | |
| Collect Individually Identifiable Health Information to provide health care services. CC ID 00052 | Data and Information Management | Preventive | |
| Collect Individually Identifiable Health Information when the law dictates. CC ID 00053 | Data and Information Management | Preventive | |
| Collect Individually Identifiable Health Information for research. CC ID 00054 | Data and Information Management | Preventive | |
| Remove personal data before disclosing health data. CC ID 00055 | Data and Information Management | Preventive | |
| Give special attention to collecting children's data. CC ID 00038 | Data and Information Management | Preventive | |
| Use simple understandable language to collect information from children. CC ID 00039 | Behavior | Preventive | |
| Notify parents or legal representatives of what information is collected from children. CC ID 00040 | Establish/Maintain Documentation | Preventive | |
| Obtain consent from a parent or legal representative before collecting information from children. CC ID 00041 | Data and Information Management | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to collect online contact information for a one-time only response to a specific request. CC ID 00043 | Data and Information Management | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to request the parent or legal representative's information to obtain consent. CC ID 00044 | Data and Information Management | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to additional requests which do not go beyond the scope of the request. CC ID 00045 | Data and Information Management | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to protect the child's safety. CC ID 00046 | Data and Information Management | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to take liability precautions. CC ID 00047 | Data and Information Management | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to a judicial process. CC ID 00048 | Data and Information Management | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to a request for law enforcement purposes. CC ID 00049 | Data and Information Management | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to protect the website's security or integrity or the online service's security or integrity. CC ID 06199 | Data and Information Management | Preventive | |
| Establish, implement, and maintain a personal data collection policy. CC ID 00029 [The entity collects and maintains accurate, up-to-date, complete, and relevant personal information consistent with the entity’s privacy commitments and system requirements. P7.1] | Establish/Maintain Documentation | Preventive | |
| Collect personal data directly from the data subject. CC ID 00011 | Data and Information Management | Preventive | |
| Create and manage user account aliases to maintain pseudonymity. CC ID 04549 | Data and Information Management | Preventive | |
| Provide unlinkability for users and resources. CC ID 04550 | Data and Information Management | Preventive | |
| Provide unobservability of users and resources. CC ID 04551 | Technical Security | Preventive | |
| Confirm the data quality of personal data collected from third parties. CC ID 13510 | Investigate | Detective | |
| Collect restricted data in a fair and lawful manner. CC ID 00010 [Personal information is collected consistent with the entity’s privacy commitments and system requirements. P3.1] | Data and Information Management | Preventive | |
| Collect restricted data absent consent for specific and well-documented circumstances. CC ID 00013 | Data and Information Management | Preventive | |
| Collect restricted data absent consent when the data collection is in the individual's interests and consent can not be obtained in a timely manner. CC ID 00014 | Data and Information Management | Preventive | |
| Collect restricted data absent consent when consent compromises data accuracy. CC ID 00015 | Data and Information Management | Preventive | |
| Collect personal data absent consent in order to make a disclosure. CC ID 13550 | Data and Information Management | Preventive | |
| Collect personal data absent consent for reasonable investigative purposes. CC ID 11801 | Data and Information Management | Preventive | |
| Collect personal data absent consent if the collection is consistent with the intended purpose. CC ID 13548 | Data and Information Management | Preventive | |
| Collect personal data absent consent when the personal data was produced by the data subject in the course of employment, business, or profession. CC ID 13544 | Data and Information Management | Preventive | |
| Collect personal data absent consent for handling insurance claims. CC ID 13543 | Data and Information Management | Preventive | |
| Collect personal data absent consent when the data subject has authorized the collection through another individual. CC ID 00016 | Data and Information Management | Preventive | |
| Collect personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 15295 | Data and Information Management | Preventive | |
| Collect personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13614 | Data and Information Management | Preventive | |
| Collect personal data absent consent in order to protect the data subject's vital interests. CC ID 15277 | Data and Information Management | Preventive | |
| Collect personal data for public interests absent consent in order to protect historical records or archival records. CC ID 15289 | Data and Information Management | Preventive | |
| Collect personal data absent consent to administer a trust fund or benefit plan. CC ID 15292 | Data and Information Management | Preventive | |
| Collect restricted data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00017 | Data and Information Management | Preventive | |
| Collect personal data absent consent in order to collect a debt owed by the data subject. CC ID 15293 | Data and Information Management | Preventive | |
| Collect personal data absent consent for statistical purposes or research purposes and the data subject is not identified. CC ID 00018 | Data and Information Management | Preventive | |
| Collect restricted data absent consent from publicly available information. CC ID 00019 | Data and Information Management | Preventive | |
| Collect restricted data absent consent when needed by law. CC ID 00020 | Data and Information Management | Preventive | |
| Collect personal data absent consent to create a credit report. CC ID 15287 | Data and Information Management | Preventive | |
| Collect restricted data absent consent when no potential harm can come to the data subject. CC ID 00021 | Data and Information Management | Preventive | |
| Collect personal data absent consent when collecting personal data from the data subject is impossible or the data collection involves a disproportionate effort. CC ID 00022 | Data and Information Management | Preventive | |
| Collect the minimum amount of restricted data necessary. CC ID 00078 | Data and Information Management | Preventive | |
| Collect restricted data in a proper information framework. CC ID 00009 [The entity collects and maintains accurate, up-to-date, complete, and relevant personal information consistent with the entity’s privacy commitments and system requirements. P7.1] | Data and Information Management | Preventive | |
| Collect and record restricted data for specific, explicit, and legitimate purposes. CC ID 00027 | Data and Information Management | Preventive | |
| Collect restricted data when required by law. CC ID 00031 | Data and Information Management | Preventive | |
| Collect restricted data to prevent life-threatening emergencies. CC ID 00032 | Data and Information Management | Preventive | |
| Collect restricted data relating solely to nonprofit organization members or individuals who are in regular contact during the nonprofit organization's activities. CC ID 00034 | Data and Information Management | Preventive | |
| Collect restricted data for legal purposes. CC ID 00036 | Data and Information Management | Preventive | |
| Review the methods for collecting personal data, as necessary. CC ID 13511 | Investigate | Detective | |
| Provide the data subject with information about the data controller during the collection process. CC ID 00023 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the data collector's name and contact information to all interested personnel. CC ID 13760 | Communicate | Preventive | |
| Provide the data subject with the data collector's name and contact information. CC ID 00024 | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with the name of the data collector who will hold the collected restricted data. CC ID 00025 | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with the third party processor's contact information when the data controller is not processing the restricted data. CC ID 00026 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a data handling program. CC ID 13427 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain data handling policies. CC ID 00353 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain data and information confidentiality policies. CC ID 00361 | Establish/Maintain Documentation | Preventive | |
| Prohibit personal data from being sent by e-mail or instant messaging. CC ID 00565 | Data and Information Management | Preventive | |
| Protect electronic messaging information. CC ID 12022 | Technical Security | Preventive | |
| Establish, implement, and maintain record structures to support information confidentiality. CC ID 00360 | Data and Information Management | Preventive | |
| Include passwords, Personal Identification Numbers, and card security codes in the personal data definition. CC ID 04699 | Configuration | Preventive | |
| Refrain from storing data elements containing payment card full magnetic stripe data. CC ID 04757 | Testing | Detective | |
| Store payment card data in secure chips, if possible. CC ID 13065 | Configuration | Preventive | |
| Refrain from storing data elements containing sensitive authentication data after authorization is approved. CC ID 04758 | Configuration | Preventive | |
| Render unrecoverable sensitive authentication data after authorization is approved. CC ID 11952 | Technical Security | Preventive | |
| Automate the disposition process for records that contain "do not store" data or "delete after transaction process" data. CC ID 06083 | Data and Information Management | Preventive | |
| Log the disclosure of personal data. CC ID 06628 [The entity creates and retains a complete, accurate, and timely record of authorized disclosures of personal information consistent with the entity’s privacy commitments and system requirements. P6.2] | Log Management | Preventive | |
| Log the modification of personal data. CC ID 11844 | Log Management | Preventive | |
| Encrypt, truncate, or tokenize data fields, as necessary. CC ID 06850 | Technical Security | Preventive | |
| Implement security measures to protect personal data. CC ID 13606 | Technical Security | Preventive | |
| Implement physical controls to protect personal data. CC ID 00355 | Testing | Preventive | |
| Limit data leakage. CC ID 00356 | Data and Information Management | Preventive | |
| Conduct personal data risk assessments. CC ID 00357 | Testing | Detective | |
| Identify potential red flags to alert the organization before a data leakage has occurred. CC ID 04654 | Monitor and Evaluate Occurrences | Preventive | |
| Establish, implement, and maintain Consumer Reporting Agency notification procedures. CC ID 04851 | Business Processes | Preventive | |
| Establish, implement, and maintain suspicious document procedures. CC ID 04852 | Establish/Maintain Documentation | Detective | |
| Establish, implement, and maintain suspicious personal data procedures. CC ID 04853 | Data and Information Management | Detective | |
| Compare certain personal data such as name, date of birth, address, driver's license, or other identification against personal data on file for the applicant. CC ID 04855 | Data and Information Management | Detective | |
| Establish, implement, and maintain suspicious user account activity procedures. CC ID 04854 | Monitor and Evaluate Occurrences | Detective | |
| Perform an identity check prior to approving an account change request. CC ID 13670 | Investigate | Detective | |
| Use the contact information on file to contact the individual identified in an account change request. CC ID 04857 | Behavior | Detective | |
| Match consumer reports with current accounts on file to ensure account misuse or information misuse has not occurred. CC ID 04873 | Data and Information Management | Detective | |
| Log account access dates and report when dormant accounts suddenly exhibit unusual activity. CC ID 04874 | Log Management | Detective | |
| Report fraudulent account activity, unauthorized transactions, or discrepancies with current accounts. CC ID 04875 | Monitor and Evaluate Occurrences | Corrective | |
| Log dates for account name changes or address changes. CC ID 04876 | Log Management | Detective | |
| Review accounts that are changed for additional user requests. CC ID 11846 | Monitor and Evaluate Occurrences | Detective | |
| Send change notices for change of address requests to the old address and the new address. CC ID 04877 | Data and Information Management | Detective | |
| Acquire enough insurance to cover the liability for damages due to data leakage. CC ID 06408 | Acquisition/Sale of Assets or Services | Preventive | |
| Search the Internet for evidence of data leakage. CC ID 10419 | Process or Activity | Detective | |
| Alert appropriate personnel when data leakage is detected. CC ID 14715 | Process or Activity | Preventive | |
| Review monitored websites for data leakage. CC ID 10593 | Monitor and Evaluate Occurrences | Detective | |
| Take appropriate action when a data leakage is discovered. CC ID 14716 | Process or Activity | Corrective | |
| Include text about data ownership in the data handling policy. CC ID 15720 | Data and Information Management | Preventive | |
| Establish, implement, and maintain a telephone systems usage policy. CC ID 15170 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain call metadata controls. CC ID 04790 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain de-identifying and re-identifying procedures. CC ID 07126 | Data and Information Management | Preventive | |
| Use de-identifying code and re-identifying code that is not derived from or related to information about the data subject. CC ID 07127 | Data and Information Management | Preventive | |
| Store de-identifying code and re-identifying code separately. CC ID 16535 | Data and Information Management | Preventive | |
| Prevent the disclosure of de-identifying code and re-identifying code. CC ID 07128 | Data and Information Management | Preventive | |
| Disseminate and communicate the data handling policy to all interested personnel and affected parties. CC ID 15465 | Communicate | Preventive | |
| Establish, implement, and maintain data handling procedures. CC ID 11756 | Establish/Maintain Documentation | Preventive | |
| Define personal data that falls under breach notification rules. CC ID 00800 | Establish/Maintain Documentation | Preventive | |
| Include data elements that contain an individual's name combined with account numbers or other identifying information as personal data that falls under the breach notification rules. CC ID 04662 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's legal surname prior to marriage as personal data that falls under the breach notification rules. CC ID 04669 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's date of birth as personal data that falls under the breach notification rules. CC ID 04771 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's address as personal data that falls under the breach notification rules. CC ID 04671 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's telephone number as personal data that falls under the breach notification rules. CC ID 04672 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's fingerprints as personal data that falls under the breach notification rules. CC ID 04670 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's Social Security Number or Personal Identification Number as personal data that falls under the breach notification rules. CC ID 04656 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's driver's license number or an individual's state identification card number as personal data that falls under the breach notification rules. CC ID 04657 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's passport number as personal data that falls under the breach notification rules. CC ID 04774 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's Alien Registration Number as personal data that falls under the breach notification rules. CC ID 04775 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's Taxpayer Identification Number as personal data that falls under the breach notification rules. CC ID 04764 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's financial account number as personal data that falls under the breach notification rules. CC ID 04658 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's financial account number with associated password or password hint as personal data that falls under the breach notification rules. CC ID 04660 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's electronic identification name or number as personal data that falls under the breach notification rules. CC ID 04663 | Data and Information Management | Preventive | |
| Include data elements that contain electronic signatures as personal data that falls under the breach notification rules. CC ID 04666 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's biometric data as personal data that falls under the breach notification rules. CC ID 04667 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's account number, password, or password hint as personal data that falls under the breach notification rules. CC ID 04668 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's payment card information as personal data that falls under the breach notification rules. CC ID 04752 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's credit card number or an individual's debit card number as personal data that falls under the breach notification rules. CC ID 04659 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's payment card service code as personal data that falls under the breach notification rules. CC ID 04754 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's payment card expiration date as personal data that falls under the breach notification rules. CC ID 04756 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's payment card full magnetic stripe data as personal data that falls under the breach notification rules. CC ID 04759 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's payment card security codes (Card Authentication Value 2/Card Validation Code Value 2/Card Verification Value 2/Card Identification Number) as personal data that falls under the breach notification rules. CC ID 04760 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's payment card associated password or password hint as personal data that falls under the breach notification rules. CC ID 04661 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's Individually Identifiable Health Information as personal data that falls under the breach notification rules. CC ID 04673 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's medical history as personal data that falls under the breach notification rules. CC ID 04674 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's medical treatment as personal data that falls under the breach notification rules. CC ID 04675 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's medical diagnosis as personal data that falls under the breach notification rules. CC ID 04676 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's mental condition or physical condition as personal data that falls under the breach notification rules. CC ID 04682 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's health insurance information as personal data that falls under the breach notification rules. CC ID 04681 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's health insurance policy number as personal data that falls under the breach notification rules. CC ID 04683 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's health insurance application and health insurance claims history (including appeals) as personal data that falls under the breach notification rules. CC ID 04684 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's employment information as personal data that falls under the breach notification rules. CC ID 04772 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's Employee Identification Number as personal data that falls under the breach notification rules. CC ID 04773 | Data and Information Management | Preventive | |
| Include data elements that contain an individual's place of employment as personal data that falls under the breach notification rules. CC ID 04788 | Data and Information Management | Preventive | |
| Define an out of scope privacy breach. CC ID 04677 | Establish/Maintain Documentation | Preventive | |
| Include personal data that is publicly available information as an out of scope privacy breach. CC ID 04678 | Business Processes | Preventive | |
| Include personal data that is encrypted or redacted as an out of scope privacy breach. CC ID 04679 | Monitor and Evaluate Occurrences | Preventive | |
| Include cryptographic keys not being accessed during a privacy breach as an out of scope privacy breach. CC ID 04761 | Monitor and Evaluate Occurrences | Preventive | |
| Include any personal data that is on an encrypted mobile device as an out of scope privacy breach, if the encryption keys were not accessed and the mobile device was recovered. CC ID 04762 | Monitor and Evaluate Occurrences | Preventive | |
| Conduct internal data processing audits. CC ID 00374 | Testing | Detective | |
| Disseminate and communicate the data handling procedures to all interested personnel and affected parties. CC ID 15466 | Communicate | Preventive | |
| Establish, implement, and maintain a personal data transfer program. CC ID 00307 | Establish/Maintain Documentation | Preventive | |
| Obtain consent from an individual prior to transferring personal data. CC ID 06948 | Data and Information Management | Preventive | |
| Include procedures for transferring personal data from one data controller to another data controller in the personal data transfer program. CC ID 00351 | Establish/Maintain Documentation | Preventive | |
| Refrain from requiring independent recourse mechanisms when transferring personal data from one data controller to another data controller. CC ID 12528 | Business Processes | Preventive | |
| Notify data subjects when their personal data is transferred. CC ID 00352 | Behavior | Preventive | |
| Include procedures for transferring personal data to third parties in the personal data transfer program. CC ID 00333 | Establish/Maintain Documentation | Preventive | |
| Notify data subjects of the geographic locations of the third parties when transferring personal data to third parties. CC ID 14414 | Communicate | Preventive | |
| Provide an adequate data protection level by the transferee prior to transferring personal data to another country. CC ID 00314 | Data and Information Management | Preventive | |
| Refrain from restricting personal data transfers to member states of the European Union. CC ID 00312 | Data and Information Management | Preventive | |
| Prohibit the transfer of personal data when security is inadequate. CC ID 00345 | Data and Information Management | Preventive | |
| Meet the use of limitation exceptions in order to transfer personal data. CC ID 00346 | Data and Information Management | Preventive | |
| Refrain from transferring past the first transfer. CC ID 00347 | Data and Information Management | Preventive | |
| Document transfer disagreements by the data subject in writing. CC ID 00348 | Establish/Maintain Documentation | Preventive | |
| Allow the data subject the right to object to the personal data transfer. CC ID 00349 | Data and Information Management | Preventive | |
| Authorize the transfer of restricted data in accordance with organizational standards. CC ID 16428 | Records Management | Preventive | |
| Follow the instructions of the data transferrer. CC ID 00334 | Behavior | Preventive | |
| Define the personal data transfer exceptions for transferring personal data to another country when adequate protection level standards are not met. CC ID 00315 | Establish/Maintain Documentation | Preventive | |
| Include publicly available information as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00316 | Data and Information Management | Preventive | |
| Include transfer agreements between data controllers and third parties when it is for the data subject's interest as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00317 | Data and Information Management | Preventive | |
| Include personal data for the health field and for treatment as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00318 | Data and Information Management | Preventive | |
| Include personal data for journalistic purposes or private purposes as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00319 | Data and Information Management | Preventive | |
| Include personal data for important public interest as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00320 | Data and Information Management | Preventive | |
| Include consent by the data subject as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00321 | Data and Information Management | Preventive | |
| Include personal data used for a contract as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00322 | Data and Information Management | Preventive | |
| Include personal data for protecting the data subject or the data subject's interests, such as saving his/her life or providing healthcare as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00323 | Data and Information Management | Preventive | |
| Include personal data that is necessary to fulfill international law obligations as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00324 | Data and Information Management | Preventive | |
| Include personal data used for legal investigations as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00325 | Data and Information Management | Preventive | |
| Include personal data that is authorized by a legislative act as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00326 | Data and Information Management | Preventive | |
| Require transferees to implement adequate data protection levels for the personal data. CC ID 00335 | Data and Information Management | Preventive | |
| Refrain from requiring a contract between the data controller and trusted third parties when personal information is transferred. CC ID 12527 | Business Processes | Preventive | |
| Define the personal data transfer exceptions for transferring personal data to another organization when adequate protection level standards are not met. CC ID 00336 | Establish/Maintain Documentation | Preventive | |
| Include personal data that is publicly available information as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00337 | Data and Information Management | Preventive | |
| Include personal data that is used for journalistic purposes or private purposes as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00338 | Data and Information Management | Preventive | |
| Include personal data that is used for important public interest as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00339 | Data and Information Management | Preventive | |
| Include consent by the data subject as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00340 | Data and Information Management | Preventive | |
| Include personal data that is used for a contract as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00341 | Data and Information Management | Preventive | |
| Include personal data that is used for protecting the data subject or the data subject's interests, such as providing healthcare or saving his/her life as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00342 | Data and Information Management | Preventive | |
| Include personal data that is used for a legal investigation as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00343 | Data and Information Management | Preventive | |
| Include personal data that is authorized by a legislative act as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00344 | Data and Information Management | Preventive | |
| Notify data subjects about organizational liability when transferring personal data to third parties. CC ID 12353 | Communicate | Preventive | |
| Notify the data subject of any personal data changes during the personal data transfer. CC ID 00350 | Behavior | Preventive | |
| Establish, implement, and maintain Internet interactivity data transfer procedures. CC ID 06949 | Establish/Maintain Documentation | Preventive | |
| Obtain consent prior to storing cookies on an individual's browser. CC ID 06950 | Data and Information Management | Preventive | |
| Obtain consent prior to downloading software to an individual's computer. CC ID 06951 | Data and Information Management | Preventive | |
| Refrain from installing software on an individual's computer unless acting in accordance with a court order. CC ID 14000 | Process or Activity | Preventive | |
| Remove or uninstall software from an individual's computer, as necessary. CC ID 13998 | Process or Activity | Preventive | |
| Remove or uninstall software from an individual's computer when consent is revoked. CC ID 13997 | Process or Activity | Preventive | |
| Obtain consent prior to tracking Internet traffic patterns or browsing history of an individual. CC ID 06961 | Data and Information Management | Preventive | |
| Establish, implement, and maintain a privacy impact assessment. CC ID 13712 | Establish/Maintain Documentation | Preventive | |
| Include the individuals with whom information is shared in the privacy impact assessment. CC ID 15520 | Establish/Maintain Documentation | Preventive | |
| Include how to grant consent in the privacy impact assessment. CC ID 15519 | Establish/Maintain Documentation | Preventive | |
| Include the opportunities for individuals to consent to using their information in the privacy impact assessment. CC ID 15518 | Establish/Maintain Documentation | Preventive | |
| Include the opportunities for opting out of information collection in the privacy impact assessment. CC ID 15517 | Establish/Maintain Documentation | Preventive | |
| Include data handling procedures in the privacy impact assessment. CC ID 15516 | Establish/Maintain Documentation | Preventive | |
| Include the intended use of information in the privacy impact assessment. CC ID 15515 | Establish/Maintain Documentation | Preventive | |
| Include the reason information is being collected in the privacy impact assessment. CC ID 15514 | Establish/Maintain Documentation | Preventive | |
| Include the type of information to be collected in the privacy impact assessment. CC ID 15513 | Business Processes | Preventive | |
| Disseminate and communicate the results of the Privacy Impact Assessment to interested personnel and affected parties. CC ID 15458 | Communicate | Preventive | |
| Review compliance with the organization's privacy objectives. CC ID 13490 | Human Resources Management | Detective | |
| Develop remedies and sanctions for privacy policy violations. CC ID 00474 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Data and Information Management | Preventive | |
| Define the behaviors and actions that are included in privacy rights violations. CC ID 14852 | Behavior | Preventive | |
| Implement procedures to file privacy rights violation complaints. CC ID 00476 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Data and Information Management | Corrective | |
| File privacy rights violation complaints in writing. CC ID 00477 | Establish/Maintain Documentation | Corrective | |
| Include the acts or omissions that are in violation of privacy rights in the privacy rights violation complaint. CC ID 14360 | Establish/Maintain Documentation | Corrective | |
| Include the individual's name who is the subject of the complaint in the privacy rights violation complaint. CC ID 14359 | Establish/Maintain Documentation | Preventive | |
| Provide assistance to data subjects for filing privacy rights violation complaints. CC ID 00478 | Behavior | Corrective | |
| Refrain from charging a fee to file a privacy rights violation complaint. CC ID 16807 | Business Processes | Preventive | |
| File privacy rights violation complaints inside the mandate stipulated from the refusal. CC ID 00479 | Behavior | Corrective | |
| Change or destroy any personal data that is incorrect. CC ID 00462 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Data and Information Management | Corrective | |
| Notify the data subject of changes made to personal data as the result of a dispute. CC ID 00463 | Behavior | Corrective | |
| Refrain from updating personal data on a regular basis, unless it is necessary for the purposes it was collected. CC ID 13610 | Data and Information Management | Preventive | |
| Escalate the appeal process to change personal data when the data controller fails to make changes to the disputed data. CC ID 00465 | Data and Information Management | Corrective | |
| Establish, implement, and maintain a privacy dispute resolution program. CC ID 12526 | Establish/Maintain Documentation | Preventive | |
| Include potential remedies in the privacy dispute resolution program. CC ID 12531 | Establish/Maintain Documentation | Preventive | |
| Provide the data subject with the name, title, and address to whom complaints are forwarded. CC ID 00395 | Establish/Maintain Documentation | Preventive | |
| Include the time frames in which privacy rights violation complaints are processed in the privacy dispute resolution program. CC ID 12529 | Establish/Maintain Documentation | Preventive | |
| Document unresolved challenges. CC ID 13568 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain an accuracy resolution policy. CC ID 00460 | Establish/Maintain Documentation | Preventive | |
| Notify individuals of their right to challenge personal data. CC ID 00457 | Data and Information Management | Preventive | |
| Notify individuals of their right to object to personal data for legitimate reasons. CC ID 00458 | Data and Information Management | Preventive | |
| Terminate an individual's restriction agreement under specific circumstances. CC ID 06260 | Configuration | Preventive | |
| Notify individuals of their ability to challenge personal behavioral assessments on record. CC ID 04798 | Human Resources Management | Preventive | |
| Notify individuals of their ability to object to personal data processing, absent cost. CC ID 00459 | Data and Information Management | Preventive | |
| Investigate the disputed accuracy of personal data. CC ID 00461 | Data and Information Management | Preventive | |
| Notify the data subject of which and why disputed changes were not made to personal data. CC ID 00466 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Behavior | Corrective | |
| Notify entities to whom personal data was transferred that the personal data is wrong, along with the corrections. CC ID 00467 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Behavior | Corrective | |
| Notify third parties of unresolved challenges. CC ID 13559 | Communicate | Preventive | |
| Document disagreements as to whether personal data is complete and accurate. CC ID 06952 | Establish/Maintain Documentation | Preventive | |
| Include the change to the personal data that the data subject requested and the reason the organization refused to make the change in the statement of disagreement. CC ID 06954 | Establish/Maintain Documentation | Preventive | |
| Order the cessation of data processing when a violation of the privacy policy is detected. CC ID 00475 | Data and Information Management | Corrective | |
| Investigate privacy rights violation complaints. CC ID 00480 | Behavior | Detective | |
| Cooperate with authorities during a privacy rights violation complaint investigation. CC ID 14364 | Business Processes | Corrective | |
| Notify respondents after a privacy rights violation complaint investigation begins. CC ID 00491 | Behavior | Detective | |
| Include the allegations against the organization in the notice of investigation. CC ID 13031 | Establish/Maintain Documentation | Preventive | |
| Investigate privacy rights violation complaints in private. CC ID 00492 | Behavior | Detective | |
| Make appropriate inquiries and obtain appropriate information regarding privacy rights violation complaints. CC ID 00493 | Behavior | Detective | |
| Allow the complainant to appear before the commissioner and make a submission, orally or in writing, about the privacy rights violation complaint investigation prior to an adverse decision to the complainant is reached. CC ID 00494 | Behavior | Detective | |
| Refer privacy rights violation complaints to the Privacy Commissioner under certain conditions. CC ID 00481 | Behavior | Preventive | |
| Determine not to investigate privacy rights violation complaints under certain conditions. CC ID 00482 | Behavior | Preventive | |
| Refrain from investigating a privacy rights violation complaint when the act or practice does not interfere with an individual's privacy. CC ID 00483 | Behavior | Preventive | |
| Refrain from investigating a privacy rights violation complaint when the complaint is created outside the stipulated time frame after the complainant became aware of it. CC ID 00484 | Behavior | Preventive | |
| Refrain from investigating a privacy rights violation complaint when the complaint is frivolous, vexatious, misconceived, or lacking in substance. CC ID 00485 | Behavior | Preventive | |
| Refrain from investigating a privacy rights violation complaint if the act or practice is subject to an application under another commonwealth law, state law, or territory law, and the complaint was or is being dealt with adequately under the law. CC ID 00486 | Behavior | Preventive | |
| Defer privacy rights violation complaint investigations under certain conditions. CC ID 00487 | Behavior | Preventive | |
| Defer privacy rights violation complaint investigations when the respondent has made an application for a determination. CC ID 00488 | Behavior | Preventive | |
| Defer privacy rights violation complaint investigations when the Privacy Commissioner believes the data subject's interests would not be affected if the investigation or further investigation were deferred until the application was disposed of. CC ID 00489 | Behavior | Preventive | |
| Notify respondents after a privacy rights violation complaint investigation has been resolved. CC ID 13513 | Communicate | Corrective | |
| Create an investigative report in regards to a privacy rights violation complaint. CC ID 00495 | Establish/Maintain Documentation | Corrective | |
| Respond to an investigative report in regards to a privacy rights violation complaint. CC ID 00496 | Behavior | Corrective | |
| Define the available administrative remedies in regards to a privacy rights violation complaint. CC ID 00497 | Establish/Maintain Documentation | Detective | |
| Order the organization to change to be in compliance with applicable law. CC ID 00499 [Compliance with the entity’s privacy commitments and system requirements by vendors and others third parties whose products and services are part of the system and who have access to personal information processed by the system is assessed on a periodic and as-needed basis and corrective action is taken, if necessary. P6.5 Compliance with the entity’s confidentiality commitments and system requirements by vendors and others third parties whose products and services are part of the system is assessed on a periodic and as-needed basis, and corrective action is taken, if necessary. C1.5] | Behavior | Corrective | |
| Order the organization to publish a notice with the corrections or actions taken. CC ID 00500 | Behavior | Corrective | |
| Award damages based on applicable law. CC ID 00501 | Behavior | Corrective | |
| Destroy personal data that breaches privacy after the privacy breach has been detected. CC ID 00503 | Data and Information Management | Corrective | |
| Define the organization's liability based on the applicable law. CC ID 00504 | Establish/Maintain Documentation | Preventive | |
| Define the sanctions and fines available for privacy rights violations based on applicable law. CC ID 00505 | Establish/Maintain Documentation | Preventive | |
| Define the appeal process based on the applicable law. CC ID 00506 | Establish/Maintain Documentation | Preventive | |
| Define the fee structure for the appeal process. CC ID 16532 | Process or Activity | Preventive | |
| Define the time requirements for the appeal process. CC ID 16531 | Process or Activity | Preventive | |
| Disseminate and communicate instructions for the appeal process to interested personnel and affected parties. CC ID 16544 | Communicate | Preventive | |
| Disseminate and communicate a written explanation of the reasons for appeal decisions to interested personnel and affected parties. CC ID 16542 | Communicate | Preventive | |
| Provide notice of proposed penalties. CC ID 06216 | Establish/Maintain Documentation | Preventive | |
| Notify the public and other agencies after a penalty becomes final. CC ID 06217 | Behavior | Preventive | |
| Refrain from subjecting individuals to retaliation or intimidation after a complaint is created. CC ID 06218 | Testing | Detective | |
Records management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Records management CC ID 00902 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain records management policies. CC ID 00903 | Establish/Maintain Documentation | Preventive | |
| Define each system's preservation requirements for records and logs. CC ID 00904 | Establish/Maintain Documentation | Detective | |
| Establish, implement, and maintain a data retention program. CC ID 00906 | Establish/Maintain Documentation | Detective | |
| Maintain continued integrity for all stored data and stored records. CC ID 00969 [Data is stored and maintained completely, accurately, and in a timely manner for its specified life span to meet the entity’s processing integrity commitments and system requirements. PI1.4] | Testing | Detective | |
| Determine how long to keep records and logs before disposing them. CC ID 11661 | Process or Activity | Preventive | |
| Retain records in accordance with applicable requirements. CC ID 00968 [The entity retains confidential information to meet the entity’s confidentiality commitments and system requirements. C1.7 The entity retains personal information consistent with the entity’s privacy commitments and system requirements. P4.2 System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5] | Records Management | Preventive | |
| Establish, implement, and maintain records management procedures. CC ID 11619 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain data accuracy controls. CC ID 00921 [System inputs are measured and recorded completely, accurately, and timely to meet the entity’s processing integrity commitments and system requirements. PI1.2] | Monitor and Evaluate Occurrences | Detective | |
| Establish, implement, and maintain data completeness controls. CC ID 11649 [System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5 Data is processed completely, accurately, and timely as authorized to meet the entity’s processing integrity commitments and system requirements. PI1.3] | Process or Activity | Preventive | |
| Establish, implement, and maintain data processing integrity controls. CC ID 00923 [Procedures exist to prevent, or detect and correct, processing errors to meet the entity’s processing integrity commitments and system requirements. PI1.1 Modification of data, other than routine transaction processing, is authorized and processed to meet with the entity’s processing integrity commitments and system requirements. PI1.6] | Establish Roles | Preventive | |
| Compare each record's data input to its final form. CC ID 11813 | Records Management | Detective | |
| Sanitize user input in accordance with organizational standards. CC ID 16856 | Process or Activity | Preventive | |
| Establish, implement, and maintain Automated Data Processing validation checks and editing checks. CC ID 00924 | Data and Information Management | Preventive | |
| Establish, implement, and maintain Automated Data Processing error handling procedures. CC ID 00925 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain Automated Data Processing error handling reporting. CC ID 11659 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain output distribution procedures. CC ID 00927 [System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5] | Establish/Maintain Documentation | Preventive | |
| Include printed output in output distribution procedures. CC ID 13477 | Establish/Maintain Documentation | Preventive | |
Systems design, build, and implementation | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Systems design, build, and implementation CC ID 00989 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain a System Development Life Cycle program. CC ID 11823 [The entity’s commitments and system requirements, as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], are addressed during the system development lifecycle, including the authorization, design, acquisition, implementation, configuration, testing, modification, approval, and maintenance of system components. CC7.1] | Systems Design, Build, and Implementation | Preventive | |
| Include management commitment to secure development in the System Development Life Cycle program. CC ID 16386 | Establish/Maintain Documentation | Preventive | |
| Perform a feasibility study for product requests. CC ID 06895 | Acquisition/Sale of Assets or Services | Preventive | |
| Prioritize opportunities to improve the product and service lifecycle process. CC ID 06898 | Acquisition/Sale of Assets or Services | Preventive | |
| Assign senior management to approve the cost benefit analysis in the feasibility study. CC ID 13069 | Human Resources Management | Preventive | |
| Update the system design, build, and implementation methodology to incorporate emerging standards. CC ID 07045 | Establish/Maintain Documentation | Preventive | |
| Include information security throughout the system development life cycle. CC ID 12042 | Systems Design, Build, and Implementation | Preventive | |
| Protect confidential information during the system development life cycle program. CC ID 13479 | Data and Information Management | Preventive | |
| Disseminate and communicate the System Development Life Cycle program to all interested personnel and affected parties. CC ID 15469 | Communicate | Preventive | |
| Initiate the System Development Life Cycle planning phase. CC ID 06266 | Systems Design, Build, and Implementation | Preventive | |
| Establish, implement, and maintain system design principles and system design guidelines. CC ID 01057 | Establish/Maintain Documentation | Preventive | |
| Define and assign the system development project team roles and responsibilities. CC ID 01061 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish Roles | Preventive | |
| Disseminate and communicate system development roles and responsibilities to interested personnel and affected parties. CC ID 01062 | Establish Roles | Preventive | |
| Disseminate and communicate system development roles and responsibilities to business unit leaders. CC ID 01063 | Establish Roles | Preventive | |
| Restrict system architects from being assigned as Administrators. CC ID 01064 | Testing | Detective | |
| Restrict the development team from having access to the production environment. CC ID 01066 | Testing | Detective | |
| Establish and maintain System Development Life Cycle documentation. CC ID 12079 | Systems Design, Build, and Implementation | Preventive | |
| Define and document organizational structures for the System Development Life Cycle program. CC ID 12549 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system and network monitoring reporting lines in the System Development Life Cycle documentation. CC ID 12562 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system maintenance authorities in the System Development Life Cycle documentation. CC ID 12566 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system development reporting lines in the System Development Life Cycle documentation. CC ID 12559 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system design reporting lines in the System Development Life Cycle documentation. CC ID 12558 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system development authorities in the System Development Life Cycle documentation. CC ID 12564 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system design authorities in the System Development Life Cycle documentation. CC ID 12572 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system and network monitoring authorities in the System Development Life Cycle documentation. CC ID 12568 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system operation authorities in the System Development Life Cycle documentation. CC ID 12567 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system maintenance responsibilities in the System Development Life Cycle documentation. CC ID 12556 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system implementation authorities in the System Development Life Cycle documentation. CC ID 12565 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system and network monitoring responsibilities in the System Development Life Cycle documentation. CC ID 12557 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system operation responsibilities in the System Development Life Cycle documentation. CC ID 12563 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system maintenance reporting lines in the System Development Life Cycle documentation. CC ID 12555 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system operation reporting lines in the System Development Life Cycle documentation. CC ID 12561 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Include system implementation reporting lines in the System Development Life Cycle documentation. CC ID 12560 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Define and document organizational structures for system and network monitoring. CC ID 12554 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Define and document organizational structures for systems operations. CC ID 12553 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Establish/Maintain Documentation | Preventive | |
| Initiate the System Development Life Cycle development phase or System Development Life Cycle build phase. CC ID 06267 | Systems Design, Build, and Implementation | Preventive | |
| Develop new products based on secure coding techniques. CC ID 11733 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Systems Design, Build, and Implementation | Preventive | |
| Establish and maintain a coding manual for secure coding techniques. CC ID 11863 | Establish/Maintain Documentation | Preventive | |
| Protect applications from insufficient anti-automation through secure coding techniques in source code. CC ID 16854 | Technical Security | Preventive | |
| Protect applications from improper access control through secure coding techniques in source code. CC ID 11959 | Technical Security | Preventive | |
| Protect applications from improper error handling through secure coding techniques in source code. CC ID 11937 | Technical Security | Preventive | |
| Protect applications from insecure communications through secure coding techniques in source code. CC ID 11936 | Technical Security | Preventive | |
| Protect applications from attacks on business logic through secure coding techniques in source code. CC ID 15472 | Systems Design, Build, and Implementation | Preventive | |
| Protect applications from XML external entities through secure coding techniques in source code. CC ID 14806 | Technical Security | Preventive | |
| Protect applications from insecure deserialization through secure coding techniques in source code. CC ID 14805 | Technical Security | Preventive | |
| Refrain from hard-coding security parameters in source code. CC ID 14917 | Systems Design, Build, and Implementation | Preventive | |
| Refrain from hard-coding usernames in source code. CC ID 06561 | Technical Security | Preventive | |
| Refrain from hard-coding authenticators in source code. CC ID 11829 | Technical Security | Preventive | |
| Refrain from hard-coding cryptographic keys in source code. CC ID 12307 | Technical Security | Preventive | |
| Protect applications from injection flaws through secure coding techniques in source code. CC ID 11944 | Technical Security | Preventive | |
| Protect applications from attacks on data and data structures through secure coding techniques in source code. CC ID 15482 | Systems Design, Build, and Implementation | Preventive | |
| Control user account management through secure coding techniques in source code. CC ID 11909 | Technical Security | Preventive | |
| Restrict direct access of databases to the database administrator through secure coding techniques in source code. CC ID 11933 | Technical Security | Preventive | |
| Protect applications from buffer overflows through secure coding techniques in source code. CC ID 11943 | Technical Security | Preventive | |
| Protect applications from cross-site scripting through secure coding techniques in source code. CC ID 11899 | Process or Activity | Preventive | |
| Protect against coding vulnerabilities through secure coding techniques in source code. CC ID 11897 | Process or Activity | Preventive | |
| Protect applications from broken authentication and session management through secure coding techniques in source code. CC ID 11896 | Process or Activity | Preventive | |
| Protect applications from insecure cryptographic storage through secure coding techniques in source code. CC ID 11935 | Technical Security | Preventive | |
| Protect applications from cross-site request forgery through secure coding techniques in source code. CC ID 11895 | Process or Activity | Preventive | |
| Protect databases from unauthorized database management actions through secure coding techniques in source code. CC ID 12049 | Technical Security | Preventive | |
| Refrain from displaying error messages to end users through secure coding techniques in source code. CC ID 12166 | Systems Design, Build, and Implementation | Preventive | |
| Configure software development tools in accordance with organizational standards. CC ID 16387 | Configuration | Preventive | |
| Address known coding vulnerabilities as a part of secure coding techniques. CC ID 12493 | Systems Design, Build, and Implementation | Corrective | |
| Standardize Application Programming Interfaces. CC ID 12167 | Technical Security | Preventive | |
| Include all confidentiality, integrity, and availability functions in the system design specification. CC ID 04556 | Establish/Maintain Documentation | Preventive | |
| Include the relationships and dependencies between modules in the system design specification. CC ID 04559 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain a security policy model document. CC ID 04560 | Establish/Maintain Documentation | Preventive | |
Technical security | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Technical security CC ID 00508 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain an access control program. CC ID 11702 [{internal users} Logical access controls support: identification and authentication of authorized internal and external users; CC5.1(1)] | Establish/Maintain Documentation | Preventive | |
| Include instructions to change authenticators as often as necessary in the access control program. CC ID 11931 | Establish/Maintain Documentation | Preventive | |
| Include guidance for how users should protect their authentication credentials in the access control program. CC ID 11929 | Establish/Maintain Documentation | Preventive | |
| Include guidance on selecting authentication credentials in the access control program. CC ID 11928 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain access control policies. CC ID 00512 | Establish/Maintain Documentation | Preventive | |
| Include compliance requirements in the access control policy. CC ID 14006 | Establish/Maintain Documentation | Preventive | |
| Include coordination amongst entities in the access control policy. CC ID 14005 | Establish/Maintain Documentation | Preventive | |
| Include management commitment in the access control policy. CC ID 14004 | Establish/Maintain Documentation | Preventive | |
| Include roles and responsibilities in the access control policy. CC ID 14003 | Establish/Maintain Documentation | Preventive | |
| Include the scope in the access control policy. CC ID 14002 | Establish/Maintain Documentation | Preventive | |
| Include the purpose in the access control policy. CC ID 14001 | Establish/Maintain Documentation | Preventive | |
| Document the business need justification for user accounts. CC ID 15490 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain an instant messaging and chat system usage policy. CC ID 11815 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the access control policies to all interested personnel and affected parties. CC ID 10061 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain an access rights management plan. CC ID 00513 | Establish/Maintain Documentation | Preventive | |
| Implement safeguards to protect access credentials from unauthorized access. CC ID 16433 | Technical Security | Preventive | |
| Inventory all user accounts. CC ID 13732 | Establish/Maintain Documentation | Preventive | |
| Identify information system users. CC ID 12081 | Technical Security | Detective | |
| Review user accounts. CC ID 00525 | Technical Security | Detective | |
| Match user accounts to authorized parties. CC ID 12126 | Configuration | Detective | |
| Identify and authenticate processes running on information systems that act on behalf of users. CC ID 12082 | Technical Security | Detective | |
| Establish and maintain contact information for user accounts, as necessary. CC ID 15418 | Data and Information Management | Preventive | |
| Review shared accounts. CC ID 11840 | Technical Security | Detective | |
| Control access rights to organizational assets. CC ID 00004 [{internal users} Logical access controls support: restriction of authorized internal and external user access to system components, or portions thereof, authorized by management, including hardware, data, software, mobile devices, output, and offline elements; and CC5.1(2) {internal users} Logical access controls support: restriction of authorized internal and external user access to system components, or portions thereof, authorized by management, including hardware, data, software, mobile devices, output, and offline elements; and CC5.1(2) Access to data, software, functions, and other IT resources is authorized and is modified or removed based on roles, responsibilities, or the system design and changes to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.4 Access to data, software, functions, and other IT resources is authorized and is modified or removed based on roles, responsibilities, or the system design and changes to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.4 {internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2 {internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2] | Technical Security | Preventive | |
| Configure access control lists in accordance with organizational standards. CC ID 16465 | Configuration | Preventive | |
| Add all devices requiring access control to the Access Control List. CC ID 06264 | Establish/Maintain Documentation | Preventive | |
| Generate but refrain from storing authenticators or Personal Identification Numbers for systems involved in high risk activities. CC ID 06835 | Technical Security | Preventive | |
| Disallow application IDs from running as privileged users. CC ID 10050 | Configuration | Detective | |
| Define roles for information systems. CC ID 12454 | Human Resources Management | Preventive | |
| Define access needs for each role assigned to an information system. CC ID 12455 | Human Resources Management | Preventive | |
| Define access needs for each system component of an information system. CC ID 12456 | Technical Security | Preventive | |
| Define the level of privilege required for each system component of an information system. CC ID 12457 | Technical Security | Preventive | |
| Establish access rights based on least privilege. CC ID 01411 | Technical Security | Preventive | |
| Assign user permissions based on job responsibilities. CC ID 00538 | Technical Security | Preventive | |
| Assign user privileges after they have management sign off. CC ID 00542 | Technical Security | Preventive | |
| Separate processing domains to segregate user privileges and enhance information flow control. CC ID 06767 | Configuration | Preventive | |
| Establish, implement, and maintain lockout procedures or lockout mechanisms to be triggered after a predetermined number of consecutive logon attempts. CC ID 01412 | Technical Security | Preventive | |
| Configure the lockout procedure to disregard failed logon attempts after the user is authenticated. CC ID 13822 | Configuration | Preventive | |
| Notify the user when an authentication is attempted using an expired authenticator. CC ID 13818 | Communicate | Corrective | |
| Disallow unlocking user accounts absent system administrator approval. CC ID 01413 | Technical Security | Preventive | |
| Establish, implement, and maintain session lock capabilities. CC ID 01417 | Configuration | Preventive | |
| Limit concurrent sessions according to account type. CC ID 01416 | Configuration | Preventive | |
| Establish session authenticity through Transport Layer Security. CC ID 01627 | Technical Security | Preventive | |
| Configure the "tlsverify" argument to organizational standards. CC ID 14460 | Configuration | Preventive | |
| Configure the "tlscacert" argument to organizational standards. CC ID 14521 | Configuration | Preventive | |
| Configure the "tlscert" argument to organizational standards. CC ID 14520 | Configuration | Preventive | |
| Configure the "tlskey" argument to organizational standards. CC ID 14519 | Configuration | Preventive | |
| Enable access control for objects and users on each system. CC ID 04553 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7 {internal users} Internal and external users are identified and authenticated when accessing the system components (for example, infrastructure, software, and data) to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.3] | Configuration | Preventive | |
| Include all system components in the access control system. CC ID 11939 | Technical Security | Preventive | |
| Set access control for objects and users to "deny all" unless explicitly authorized. CC ID 06301 | Process or Activity | Preventive | |
| Enable access control for objects and users to match restrictions set by the system's security classification. CC ID 04850 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Technical Security | Preventive | |
| Enable attribute-based access control for objects and users on information systems. CC ID 16351 | Technical Security | Preventive | |
| Enable role-based access control for objects and users on information systems. CC ID 12458 | Technical Security | Preventive | |
| Include the objects and users subject to access control in the security policy. CC ID 11836 | Establish/Maintain Documentation | Preventive | |
| Assign Information System access authorizations if implementing segregation of duties. CC ID 06323 | Establish Roles | Preventive | |
| Enforce access restrictions for change control. CC ID 01428 | Technical Security | Preventive | |
| Enforce access restrictions for restricted data. CC ID 01921 [Confidential information within the boundaries of the system is protected against unauthorized access, use, and disclosure during input, processing, retention, output, and disposition to meet the entity’s confidentiality commitments and system requirements. C1.2] | Data and Information Management | Preventive | |
| Permit a limited set of user actions absent identification and authentication. CC ID 04849 | Technical Security | Preventive | |
| Perform a risk assessment prior to activating third party access to the organization's critical systems. CC ID 06455 | Testing | Detective | |
| Activate third party maintenance accounts and user identifiers, as necessary. CC ID 04262 | Technical Security | Preventive | |
| Establish, implement, and maintain a system use agreement for each information system. CC ID 06500 | Establish/Maintain Documentation | Preventive | |
| Accept and sign the system use agreement before data or system access is enabled. CC ID 06501 | Establish/Maintain Documentation | Preventive | |
| Display a logon banner and appropriate logon message before granting access to the system. CC ID 06770 | Technical Security | Preventive | |
| Display previous logon information in the logon banner. CC ID 01415 | Configuration | Preventive | |
| Document actions that can be performed on an information system absent identification and authentication of the user. CC ID 06771 | Establish/Maintain Documentation | Preventive | |
| Use automatic equipment identification as a method of connection authentication absent an individual's identification and authentication. CC ID 06964 | Technical Security | Preventive | |
| Control user privileges. CC ID 11665 | Technical Security | Preventive | |
| Review all user privileges, as necessary. CC ID 06784 | Technical Security | Preventive | |
| Revoke asset access when a personnel status change occurs or an individual is terminated. CC ID 00516 | Behavior | Corrective | |
| Encrypt files and move them to a secure file server when a user account is disabled. CC ID 07065 | Configuration | Preventive | |
| Review and update accounts and access rights when notified of personnel status changes. CC ID 00788 | Behavior | Corrective | |
| Change authenticators after personnel status changes. CC ID 12284 | Human Resources Management | Preventive | |
| Review each user's access capabilities when their role changes. CC ID 00524 | Technical Security | Preventive | |
| Establish and maintain a Digital Rights Management program. CC ID 07093 | Establish/Maintain Documentation | Preventive | |
| Enable products restricted by Digital Rights Management to be used while offline. CC ID 07094 | Technical Security | Preventive | |
| Establish, implement, and maintain User Access Management procedures. CC ID 00514 [{internal users} Logical access controls support: identification and authentication of authorized internal and external users; CC5.1(1)] | Technical Security | Preventive | |
| Establish, implement, and maintain an authority for access authorization list. CC ID 06782 | Establish/Maintain Documentation | Preventive | |
| Review and approve logical access to all assets based upon organizational policies. CC ID 06641 | Technical Security | Preventive | |
| Control the addition and modification of user identifiers, user credentials, or other authenticators. CC ID 00515 | Technical Security | Preventive | |
| Assign roles and responsibilities for administering user account management. CC ID 11900 | Human Resources Management | Preventive | |
| Automate access control methods, as necessary. CC ID 11838 | Technical Security | Preventive | |
| Automate Access Control Systems, as necessary. CC ID 06854 | Technical Security | Preventive | |
| Refrain from storing logon credentials for third party applications. CC ID 13690 | Technical Security | Preventive | |
| Refrain from allowing user access to identifiers and authenticators used by applications. CC ID 10048 | Technical Security | Preventive | |
| Notify interested personnel when user accounts are added or deleted. CC ID 14327 | Communicate | Detective | |
| Remove inactive user accounts, as necessary. CC ID 00517 | Technical Security | Corrective | |
| Remove temporary user accounts, as necessary. CC ID 11839 | Technical Security | Corrective | |
| Establish, implement, and maintain a password policy. CC ID 16346 | Establish/Maintain Documentation | Preventive | |
| Enforce the password policy. CC ID 16347 | Technical Security | Preventive | |
| Disseminate and communicate the password policies and password procedures to all users who have access to restricted data or restricted information. CC ID 00518 | Establish/Maintain Documentation | Preventive | |
| Limit superuser accounts to designated System Administrators. CC ID 06766 | Configuration | Preventive | |
| Enforce usage restrictions for superuser accounts. CC ID 07064 | Technical Security | Preventive | |
| Establish, implement, and maintain user accounts in accordance with the organizational Governance, Risk, and Compliance framework. CC ID 00526 | Technical Security | Preventive | |
| Protect and manage biometric systems and biometric data. CC ID 01261 | Technical Security | Preventive | |
| Establish, implement, and maintain biometric collection procedures. CC ID 15419 | Establish/Maintain Documentation | Preventive | |
| Document the business need justification for authentication data storage. CC ID 06325 | Establish/Maintain Documentation | Preventive | |
| Establish, implement, and maintain access control procedures. CC ID 11663 [Logical access security software, infrastructure, and architectures have been implemented to support CC5.1] | Establish/Maintain Documentation | Preventive | |
| Implement out-of-band authentication, as necessary. CC ID 10606 | Technical Security | Corrective | |
| Grant access to authorized personnel or systems. CC ID 12186 | Configuration | Preventive | |
| Document approving and granting access in the access control log. CC ID 06786 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the access control log to interested personnel and affected parties. CC ID 16442 | Communicate | Preventive | |
| Include the user identifiers of all personnel who are authorized to access a system in the system record. CC ID 15171 | Establish/Maintain Documentation | Preventive | |
| Include identity information of all personnel who are authorized to access a system in the system record. CC ID 16406 | Establish/Maintain Documentation | Preventive | |
| Include the date and time that access was reviewed in the system record. CC ID 16416 | Data and Information Management | Preventive | |
| Include the date and time that access rights were changed in the system record. CC ID 16415 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the access control procedures to all interested personnel and affected parties. CC ID 14123 | Communicate | Corrective | |
| Establish, implement, and maintain an identification and authentication policy. CC ID 14033 | Establish/Maintain Documentation | Preventive | |
| Include the purpose in the identification and authentication policy. CC ID 14234 | Establish/Maintain Documentation | Preventive | |
| Include the scope in the identification and authentication policy. CC ID 14232 | Establish/Maintain Documentation | Preventive | |
| Include roles and responsibilities in the identification and authentication policy. CC ID 14230 | Establish/Maintain Documentation | Preventive | |
| Include management commitment in the identification and authentication policy. CC ID 14229 | Establish/Maintain Documentation | Preventive | |
| Include coordination amongst entities in the identification and authentication policy. CC ID 14227 | Establish/Maintain Documentation | Preventive | |
| Include compliance requirements in the identification and authentication policy. CC ID 14225 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the identification and authentication policy to interested personnel and affected parties. CC ID 14197 | Communicate | Preventive | |
| Establish, implement, and maintain identification and authentication procedures. CC ID 14053 | Establish/Maintain Documentation | Preventive | |
| Disseminate and communicate the identification and authentication procedures to interested personnel and affected parties. CC ID 14223 | Communicate | Preventive | |
| Include digital identification procedures in the access control program. CC ID 11841 | Technical Security | Preventive | |
| Employ unique identifiers. CC ID 01273 | Testing | Detective | |
| Disseminate and communicate user identifiers and authenticators using secure communication protocols. CC ID 06791 | Data and Information Management | Preventive | |
| Include instructions to refrain from using previously used authenticators in the access control program. CC ID 11930 | Establish/Maintain Documentation | Preventive | |
| Disallow the use of Personal Identification Numbers as user identifiers. CC ID 06785 | Technical Security | Preventive | |
| Define the activation requirements for identification cards or badges. CC ID 06583 | Process or Activity | Preventive | |
| Require multiple forms of personal identification prior to issuing user identifiers. CC ID 08712 | Human Resources Management | Preventive | |
| Authenticate user identities before unlocking an account. CC ID 11837 | Testing | Detective | |
| Authenticate user identities before manually resetting an authenticator. CC ID 04567 | Testing | Detective | |
| Require proper authentication for user identifiers. CC ID 11785 | Technical Security | Preventive | |
| Assign authenticators to user accounts. CC ID 06855 | Configuration | Preventive | |
| Assign authentication mechanisms for user account authentication. CC ID 06856 | Configuration | Preventive | |
| Refrain from allowing individuals to share authentication mechanisms. CC ID 11932 | Technical Security | Preventive | |
| Establish and maintain a memorized secret list. CC ID 13791 | Establish/Maintain Documentation | Preventive | |
| Limit account credential reuse as a part of digital identification procedures. CC ID 12357 | Configuration | Preventive | |
| Refrain from assigning authentication mechanisms for shared accounts. CC ID 11910 | Technical Security | Preventive | |
| Use biometric authentication for identification and authentication, as necessary. CC ID 06857 | Establish Roles | Preventive | |
| Employ live scans to verify biometric authentication. CC ID 06847 | Technical Security | Preventive | |
| Identify the user when enrolling them in the biometric system. CC ID 06882 | Testing | Detective | |
| Disallow self-enrollment of biometric information. CC ID 11834 | Process or Activity | Preventive | |
| Tune the biometric identification equipment, as necessary. CC ID 07077 | Configuration | Corrective | |
| Notify a user when an authenticator for a user account is changed. CC ID 13820 | Communicate | Preventive | |
| Identify and control all network access controls. CC ID 00529 | Technical Security | Preventive | |
| Establish, implement, and maintain a Boundary Defense program. CC ID 00544 | Establish/Maintain Documentation | Preventive | |
| Configure network access and control points to protect restricted data or restricted information. CC ID 01284 | Configuration | Preventive | |
| Configure firewalls to perform dynamic packet filtering. CC ID 01288 | Testing | Detective | |
| Restrict outbound network traffic from systems that contain restricted data or restricted information. CC ID 01295 [Access to confidential information from outside the boundaries of the system and disclosure of confidential information is restricted to authorized parties to meet the entity’s confidentiality commitments and system requirements. C1.3] | Data and Information Management | Preventive | |
| Manage the use of encryption controls and cryptographic controls. CC ID 00570 | Technical Security | Preventive | |
| Use strong data encryption to transmit in scope data or in scope information, as necessary. CC ID 00564 | Technical Security | Preventive | |
| Establish trusted paths to transmit restricted data or restricted information over public networks or wireless networks. CC ID 00568 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Technical Security | Preventive | |
| Establish, implement, and maintain a malicious code protection program. CC ID 00574 | Establish/Maintain Documentation | Preventive | |
| Install security and protection software, as necessary. CC ID 00575 [Controls have been implemented to prevent or detect and act upon the introduction of unauthorized or malicious software to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.8 Logical access security measures have been implemented to protect against [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] threats from sources outside the boundaries of the system to meet the entity’s commitments and system requirements. CC5.6] | Configuration | Preventive | |
| Install and maintain container security solutions. CC ID 16178 | Technical Security | Preventive | |
Third Party and supply chain oversight | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | TYPE | CLASS | |
|---|---|---|---|
| Third Party and supply chain oversight CC ID 08807 | IT Impact Zone | IT Impact Zone | |
| Establish, implement, and maintain a supply chain management program. CC ID 11742 | Establish/Maintain Documentation | Preventive | |
| Formalize client and third party relationships with contracts or nondisclosure agreements. CC ID 00794 | Process or Activity | Detective | |
| Include text that organizations must meet organizational compliance requirements in third party contracts. CC ID 06506 | Establish/Maintain Documentation | Preventive | |
| Include compliance with the organization's incident response policy and incident notification policy in third party contracts. CC ID 06515 | Establish/Maintain Documentation | Preventive | |
| Include text about the expected actions to be taken in case of a breach of contract in third party contracts. CC ID 06504 [The entity obtains commitments from vendors and other third parties that may have access to personal information processed by the system, to notify the entity in the event of actual or suspected unauthorized disclosures of personal information. Such notifications are reported to appropriate personnel and acted on to meet the entity's established incident response procedures, privacy commitments, and system requirements. P6.6] | Establish/Maintain Documentation | Preventive | |
| Include compliance with the organization's privacy policy in third party contracts. CC ID 06518 [The entity’s privacy commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. P1.2] | Establish/Maintain Documentation | Preventive | |
| Include third party acknowledgment of their data protection responsibilities in third party contracts. CC ID 01364 [The entity obtains confidentiality commitments that are consistent with the entity’s confidentiality system requirements from vendors and other third parties whose products and services are part of the system and have access to confidential information. C1.4] | Testing | Detective | |
| Include auditing third party security controls and compliance controls in third party contracts. CC ID 01366 | Testing | Detective | |
| Include responding to privacy rights violation complaints in third party contracts. CC ID 12432 | Establish/Maintain Documentation | Preventive | |
| Establish the third party's service continuity. CC ID 00797 | Testing | Detective | |
| Determine the adequacy of a third party's alternate site preparations. CC ID 06879 | Testing | Detective | |
| Employ access controls that meet the organization's compliance requirements on third party systems with access to the organization's restricted data. CC ID 04264 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Data and Information Management | Detective | |
| Maintain the third party's compliance framework to be equivalent to that of the organization's compliance requirements. CC ID 06087 [The entity obtains privacy commitments from vendors and other third parties whose products and services are part of the system and who have access to personal information processed by the system that are consistent with the entity’s privacy commitments and system requirements. P6.4] | Testing | Detective | |
| Conduct all parts of the supply chain due diligence process. CC ID 08854 | Business Processes | Preventive | |
| Assess third parties' compliance environment during due diligence. CC ID 13134 | Process or Activity | Detective | |
| Request attestation of compliance from third parties. CC ID 12067 | Establish/Maintain Documentation | Detective | |
| Assess third parties' compliance with the organization's third party security policies during due diligence. CC ID 12075 [Compliance with the entity’s privacy commitments and system requirements by vendors and others third parties whose products and services are part of the system and who have access to personal information processed by the system is assessed on a periodic and as-needed basis and corrective action is taken, if necessary. P6.5 Compliance with the entity’s confidentiality commitments and system requirements by vendors and others third parties whose products and services are part of the system is assessed on a periodic and as-needed basis, and corrective action is taken, if necessary. C1.5] | Business Processes | Detective | |
Common Controls andEach Common Control is assigned a meta-data type to help you determine the objective of the Control and associated Authority Document mandates aligned with it. These types include behavioral controls, process controls, records management, technical security, configuration management, etc. They are provided as another tool to dissect the Authority Document’s mandates and assign them effectively within your organization.
Acquisition/Sale of Assets or Services | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Acquire resources necessary to support Governance, Risk, and Compliance. CC ID 12861 | Operational management | Preventive | |
| Perform a feasibility study for product requests. CC ID 06895 | Systems design, build, and implementation | Preventive | |
| Prioritize opportunities to improve the product and service lifecycle process. CC ID 06898 | Systems design, build, and implementation | Preventive | |
| Acquire enough insurance to cover the liability for damages due to data leakage. CC ID 06408 | Privacy protection for information and data | Preventive | |
Actionable Reports or Measurements | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Monitor and report on the status of mitigation actions in the corrective action plan. CC ID 15250 | Audits and risk management | Corrective | |
| Assess the potential level of business impact risk associated with natural disasters. CC ID 06470 | Audits and risk management | Detective | |
| Document the continuity plan test results and provide them to interested personnel and affected parties. CC ID 06548 | Operational and Systems Continuity | Preventive | |
| Measure policy compliance when reviewing the internal control framework. CC ID 06442 | Operational management | Corrective | |
| Refrain from including restricted information in the incident response notification. CC ID 16806 | Operational management | Preventive | |
Audits and Risk Management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Audit in scope audit items and compliance documents. CC ID 06730 | Audits and risk management | Preventive | |
| Review incident management audit logs to determine the effectiveness of in scope controls. CC ID 12157 | Audits and risk management | Detective | |
| Review audit reports to determine the effectiveness of in scope controls. CC ID 12156 | Audits and risk management | Detective | |
| Observe processes to determine the effectiveness of in scope controls. CC ID 12155 | Audits and risk management | Detective | |
| Interview stakeholders to determine the effectiveness of in scope controls. CC ID 12154 | Audits and risk management | Detective | |
| Review policies and procedures to determine the effectiveness of in scope controls. CC ID 12144 | Audits and risk management | Detective | |
| Evaluate personnel status changes to determine the effectiveness of in scope controls. CC ID 16556 | Audits and risk management | Detective | |
| Determine whether individuals performing a control have the appropriate staff qualifications, staff clearances, and staff competencies. CC ID 16555 | Audits and risk management | Detective | |
| Review management's response to issues raised in past audit reports. CC ID 01149 | Audits and risk management | Detective | |
| Review the risk to the audit function when the audit personnel status changes. CC ID 01153 | Audits and risk management | Preventive | |
| Correlate the business impact of identified risks in the risk assessment report. CC ID 00686 | Audits and risk management | Preventive | |
| Analyze and quantify the risks to in scope systems and information. CC ID 00701 [The entity analyzes the significance of risks associated with the identified threats, CC3.1(2) Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Audits and risk management | Preventive | |
| Establish and maintain a Risk Scoping and Measurement Definitions Document. CC ID 00703 | Audits and risk management | Preventive | |
| Identify the material risks in the risk assessment report. CC ID 06482 | Audits and risk management | Preventive | |
| Assess the potential level of business impact risk associated with each business process. CC ID 06463 | Audits and risk management | Detective | |
| Assess the potential level of business impact risk associated with the business environment. CC ID 06464 | Audits and risk management | Detective | |
| Assess the potential level of business impact risk associated with business information of in scope systems. CC ID 06465 | Audits and risk management | Detective | |
| Assess the potential business impact risk of in scope systems caused by deliberate threats to their confidentiality, integrity, and availability. CC ID 06466 | Audits and risk management | Detective | |
| Assess the potential level of business impact risk caused by accidental threats to the confidentiality, integrity and availability of critical systems. CC ID 06467 | Audits and risk management | Detective | |
| Assess the potential level of business impact risk associated with reputational damage. CC ID 15335 | Audits and risk management | Detective | |
| Assess the potential level of business impact risk associated with insider threats. CC ID 06468 | Audits and risk management | Detective | |
| Assess the potential level of business impact risk associated with external entities. CC ID 06469 | Audits and risk management | Detective | |
| Assess the potential level of business impact risk associated with control weaknesses. CC ID 06471 | Audits and risk management | Detective | |
| Prioritize and select controls based on the risk assessment findings. CC ID 00707 | Audits and risk management | Preventive | |
| Prioritize and categorize the effects of opportunities, threats and requirements on control activities. CC ID 12822 | Audits and risk management | Preventive | |
| Develop key indicators to inform management on the effectiveness of risk control measures. CC ID 12946 | Audits and risk management | Preventive | |
| Analyze the effect of the Governance, Risk, and Compliance capability to achieve organizational objectives. CC ID 12809 | Operational management | Preventive | |
Behavior | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Notify the interested personnel and affected parties before the storage unit will reach maximum capacity. CC ID 06773 | Monitoring and measurement | Detective | |
| Carry out disciplinary actions when a compliance violation is detected. CC ID 06675 | Monitoring and measurement | Corrective | |
| Disseminate and communicate the risk acceptance level in the risk treatment plan to all interested personnel and affected parties. CC ID 06849 | Audits and risk management | Preventive | |
| Revoke asset access when a personnel status change occurs or an individual is terminated. CC ID 00516 | Technical security | Corrective | |
| Review and update accounts and access rights when notified of personnel status changes. CC ID 00788 | Technical security | Corrective | |
| Disseminate and communicate the right of the organization to search visitors while at the facility. CC ID 06702 | Physical and environmental protection | Preventive | |
| Manage constituent identification inside the facility. CC ID 02215 | Physical and environmental protection | Preventive | |
| Issue visitor identification badges to all non-employees. CC ID 00543 | Physical and environmental protection | Preventive | |
| Retrieve visitor identification badges prior to the exit of a visitor from the facility. CC ID 01331 | Physical and environmental protection | Preventive | |
| Train all personnel and third parties, as necessary. CC ID 00785 | Human Resources management | Preventive | |
| Disseminate and communicate the security awareness program to all interested personnel and affected parties. CC ID 00823 | Human Resources management | Preventive | |
| Train all personnel and third parties on how to recognize and report security incidents. CC ID 01211 [{internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5 {internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5] | Human Resources management | Preventive | |
| Include limitations on referrals for products and services in the Code of Conduct. CC ID 16719 | Human Resources management | Preventive | |
| Implement a sanctions process for personnel who fail to comply to the organizational compliance program. CC ID 01442 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Human Resources management | Corrective | |
| Take disciplinary actions against individuals who violate the Code of Conduct. CC ID 06435 | Human Resources management | Preventive | |
| Disseminate and communicate updates to the Governance, Risk, and Compliance framework to interested personnel and affected parties. CC ID 06955 [{internal users} Changes to the entity’s confidentiality commitments and system requirements are communicated to internal and external users, vendors, and other third parties whose products and services are part of the system. C1.6] | Operational management | Preventive | |
| Make compliance and governance decisions in a timely manner. CC ID 06490 | Operational management | Preventive | |
| Refrain from accepting instant messages from unknown senders. CC ID 12537 | Operational management | Preventive | |
| Include employee engagement in the analysis of the organizational culture. CC ID 12914 | Operational management | Preventive | |
| Include skill development in the analysis of the organizational culture. CC ID 12913 | Operational management | Preventive | |
| Include employee turnover rates in the analysis of the organizational culture. CC ID 12912 | Operational management | Preventive | |
| Include employee loyalty in the analysis of the organizational culture. CC ID 12911 | Operational management | Preventive | |
| Include employee satisfaction in the analysis of the organizational culture. CC ID 12910 | Operational management | Preventive | |
| Disseminate and communicate the Governance, Risk, and Compliance framework to all interested personnel and affected parties. CC ID 00815 [The entity's [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. CC2.2] | Operational management | Preventive | |
| Perform periodic maintenance according to organizational standards. CC ID 01435 | Operational management | Preventive | |
| Share data loss event information with the media. CC ID 01759 | Operational management | Corrective | |
| Report to breach notification organizations the time frame in which the organization will send data loss event notifications to interested personnel and affected parties. CC ID 04731 | Operational management | Corrective | |
| Notify interested personnel and affected parties of the privacy breach that affects their personal data. CC ID 00365 [{breach notification} {incident notification} The entity provides notification of breaches and incidents to affected data subjects, regulators, and others consistent with the entity’s privacy commitments and system requirements. P6.7] | Operational management | Corrective | |
| Determine whether or not incident response notifications are necessary during the privacy breach investigation. CC ID 00801 | Operational management | Detective | |
| Delay sending incident response notifications under predetermined conditions. CC ID 00804 | Operational management | Corrective | |
| Avoid false positive incident response notifications. CC ID 04732 | Operational management | Detective | |
| Send paper incident response notifications to affected parties, as necessary. CC ID 00366 | Operational management | Corrective | |
| Determine if a substitute incident response notification is permitted if notifying affected parties. CC ID 00803 | Operational management | Corrective | |
| Use a substitute incident response notification to notify interested personnel and affected parties of the privacy breach that affects their personal data. CC ID 00368 | Operational management | Corrective | |
| Telephone incident response notifications to affected parties, as necessary. CC ID 04650 | Operational management | Corrective | |
| Send electronic substitute incident response notifications to affected parties, as necessary. CC ID 04747 | Operational management | Preventive | |
| Send substitute incident response notifications to breach notification organizations, as necessary. CC ID 04750 | Operational management | Preventive | |
| Publish the incident response notification in a general circulation periodical. CC ID 04651 | Operational management | Corrective | |
| Publish the substitute incident response notification in a general circulation periodical, as necessary. CC ID 04769 | Operational management | Preventive | |
| Send electronic incident response notifications to affected parties, as necessary. CC ID 00367 | Operational management | Corrective | |
| Disseminate and communicate proposed changes to all interested personnel and affected parties. CC ID 06807 [{internal users} System changes that affect internal and external users’ responsibilities or the entity's commitments and system requirements relevant to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] are communicated to those users in a timely manner. CC2.6 {internal users} System changes that affect internal and external users’ responsibilities or the entity's commitments and system requirements relevant to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] are communicated to those users in a timely manner. CC2.6] | Operational management | Preventive | |
| Disseminate and communicate software update information to users and regulators. CC ID 06602 | Operational management | Preventive | |
| Register with public bodies and notify the Data Commissioner before processing personal data. CC ID 00383 | Privacy protection for information and data | Preventive | |
| Notify interested personnel and affected parties when changes are made to the privacy policy. CC ID 06943 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Privacy protection for information and data | Preventive | |
| Notify the supervisory authority. CC ID 00472 | Privacy protection for information and data | Preventive | |
| Notify the data subject of the collection purpose. CC ID 00095 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Privacy protection for information and data | Preventive | |
| Notify the data subject of the consequences for not providing personal data. CC ID 00104 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1 For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2] | Privacy protection for information and data | Preventive | |
| Notify the data subject of changes to personal data use. CC ID 00105 | Privacy protection for information and data | Preventive | |
| Obtain the data subject's consent when the personal data use changes. CC ID 11832 | Privacy protection for information and data | Preventive | |
| Respond to data access requests in a timely manner. CC ID 00421 | Privacy protection for information and data | Preventive | |
| Notify the individual of the reasons for delays in responding to data access requests. CC ID 00422 | Privacy protection for information and data | Detective | |
| Notify the individual when a cost is imposed which must be paid in advance to gain access. CC ID 00423 | Privacy protection for information and data | Detective | |
| Notify the data subject after personal data is used or disclosed. CC ID 06247 | Privacy protection for information and data | Preventive | |
| Notify the individual before restricted data is collected, used, or disclosed. CC ID 00132 | Privacy protection for information and data | Preventive | |
| Refrain from requiring individuals to use Personal Identification Numbers as an account number or password. CC ID 00253 | Privacy protection for information and data | Preventive | |
| Notify the data subject of the source of collected personal data. CC ID 00083 | Privacy protection for information and data | Preventive | |
| Refrain from requiring a Personal Identification Number to purchase goods or services. CC ID 00069 | Privacy protection for information and data | Preventive | |
| Use simple understandable language to collect information from children. CC ID 00039 | Privacy protection for information and data | Preventive | |
| Use the contact information on file to contact the individual identified in an account change request. CC ID 04857 | Privacy protection for information and data | Detective | |
| Notify data subjects when their personal data is transferred. CC ID 00352 | Privacy protection for information and data | Preventive | |
| Follow the instructions of the data transferrer. CC ID 00334 | Privacy protection for information and data | Preventive | |
| Notify the data subject of any personal data changes during the personal data transfer. CC ID 00350 | Privacy protection for information and data | Preventive | |
| Define the behaviors and actions that are included in privacy rights violations. CC ID 14852 | Privacy protection for information and data | Preventive | |
| Provide assistance to data subjects for filing privacy rights violation complaints. CC ID 00478 | Privacy protection for information and data | Corrective | |
| File privacy rights violation complaints inside the mandate stipulated from the refusal. CC ID 00479 | Privacy protection for information and data | Corrective | |
| Notify the data subject of changes made to personal data as the result of a dispute. CC ID 00463 | Privacy protection for information and data | Corrective | |
| Notify the data subject of which and why disputed changes were not made to personal data. CC ID 00466 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Privacy protection for information and data | Corrective | |
| Notify entities to whom personal data was transferred that the personal data is wrong, along with the corrections. CC ID 00467 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Privacy protection for information and data | Corrective | |
| Investigate privacy rights violation complaints. CC ID 00480 | Privacy protection for information and data | Detective | |
| Notify respondents after a privacy rights violation complaint investigation begins. CC ID 00491 | Privacy protection for information and data | Detective | |
| Investigate privacy rights violation complaints in private. CC ID 00492 | Privacy protection for information and data | Detective | |
| Make appropriate inquiries and obtain appropriate information regarding privacy rights violation complaints. CC ID 00493 | Privacy protection for information and data | Detective | |
| Allow the complainant to appear before the commissioner and make a submission, orally or in writing, about the privacy rights violation complaint investigation prior to an adverse decision to the complainant is reached. CC ID 00494 | Privacy protection for information and data | Detective | |
| Refer privacy rights violation complaints to the Privacy Commissioner under certain conditions. CC ID 00481 | Privacy protection for information and data | Preventive | |
| Determine not to investigate privacy rights violation complaints under certain conditions. CC ID 00482 | Privacy protection for information and data | Preventive | |
| Refrain from investigating a privacy rights violation complaint when the act or practice does not interfere with an individual's privacy. CC ID 00483 | Privacy protection for information and data | Preventive | |
| Refrain from investigating a privacy rights violation complaint when the complaint is created outside the stipulated time frame after the complainant became aware of it. CC ID 00484 | Privacy protection for information and data | Preventive | |
| Refrain from investigating a privacy rights violation complaint when the complaint is frivolous, vexatious, misconceived, or lacking in substance. CC ID 00485 | Privacy protection for information and data | Preventive | |
| Refrain from investigating a privacy rights violation complaint if the act or practice is subject to an application under another commonwealth law, state law, or territory law, and the complaint was or is being dealt with adequately under the law. CC ID 00486 | Privacy protection for information and data | Preventive | |
| Defer privacy rights violation complaint investigations under certain conditions. CC ID 00487 | Privacy protection for information and data | Preventive | |
| Defer privacy rights violation complaint investigations when the respondent has made an application for a determination. CC ID 00488 | Privacy protection for information and data | Preventive | |
| Defer privacy rights violation complaint investigations when the Privacy Commissioner believes the data subject's interests would not be affected if the investigation or further investigation were deferred until the application was disposed of. CC ID 00489 | Privacy protection for information and data | Preventive | |
| Respond to an investigative report in regards to a privacy rights violation complaint. CC ID 00496 | Privacy protection for information and data | Corrective | |
| Order the organization to change to be in compliance with applicable law. CC ID 00499 [Compliance with the entity’s privacy commitments and system requirements by vendors and others third parties whose products and services are part of the system and who have access to personal information processed by the system is assessed on a periodic and as-needed basis and corrective action is taken, if necessary. P6.5 Compliance with the entity’s confidentiality commitments and system requirements by vendors and others third parties whose products and services are part of the system is assessed on a periodic and as-needed basis, and corrective action is taken, if necessary. C1.5] | Privacy protection for information and data | Corrective | |
| Order the organization to publish a notice with the corrections or actions taken. CC ID 00500 | Privacy protection for information and data | Corrective | |
| Award damages based on applicable law. CC ID 00501 | Privacy protection for information and data | Corrective | |
| Notify the public and other agencies after a penalty becomes final. CC ID 06217 | Privacy protection for information and data | Preventive | |
Business Processes | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Identify threats that could affect achieving organizational objectives. CC ID 12827 | Leadership and high level objectives | Preventive | |
| Review the organization's approach to managing information security, as necessary. CC ID 12005 | Leadership and high level objectives | Preventive | |
| Align enforcement reviews for non-compliance with organizational risk tolerance. CC ID 13063 | Monitoring and measurement | Detective | |
| Accept the attestation engagement when all preconditions are met. CC ID 13933 | Audits and risk management | Preventive | |
| Include an appeal process in the identification issuance procedures. CC ID 15428 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain performance reviews. CC ID 14777 | Human Resources management | Detective | |
| Conduct staff performance reviews, as necessary. CC ID 07205 [The entity has established procedures to evaluate the competency of personnel responsible for designing, developing, implementing, operating, maintaining, and monitoring the system affecting [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] and provides resources necessary for personnel to fulfill their responsibilities. CC1.3] | Human Resources management | Detective | |
| Align critical Information Technology resource availability planning with capacity planning. CC ID 01618 | Operational management | Preventive | |
| Establish, implement, and maintain a positive information control environment. CC ID 00813 | Operational management | Preventive | |
| Define the scope for the internal control framework. CC ID 16325 | Operational management | Preventive | |
| Review the relevance of information supporting internal controls. CC ID 12420 | Operational management | Detective | |
| Assign resources to implement the internal control framework. CC ID 00816 [The entity has established procedures to evaluate the competency of personnel responsible for designing, developing, implementing, operating, maintaining, and monitoring the system affecting [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] and provides resources necessary for personnel to fulfill their responsibilities. CC1.3] | Operational management | Preventive | |
| Establish, implement, and maintain a baseline of internal controls. CC ID 12415 | Operational management | Preventive | |
| Leverage actionable information to support internal controls. CC ID 12414 | Operational management | Preventive | |
| Align the information security policy with the organization's risk acceptance level. CC ID 13042 | Operational management | Preventive | |
| Establish, implement, and maintain information security procedures. CC ID 12006 | Operational management | Preventive | |
| Refrain from requiring supervision when users are accessing social media applications. CC ID 14011 | Operational management | Preventive | |
| Refrain from requiring users to disclose social media account usernames or authenticators. CC ID 14009 | Operational management | Preventive | |
| Establish, implement, and maintain information sharing agreements. CC ID 15645 | Operational management | Preventive | |
| Adhere to operating procedures as defined in the Standard Operating Procedures Manual. CC ID 06328 | Operational management | Preventive | |
| Establish, implement, and maintain domain name registration and renewal procedures. CC ID 07075 | Operational management | Preventive | |
| Implement and comply with the Governance, Risk, and Compliance framework. CC ID 00818 | Operational management | Preventive | |
| Include contractual relationships with workforce members in the analysis of the organizational culture. CC ID 15674 | Operational management | Preventive | |
| Include the number of workforce members who are not employees in the analysis of the organizational culture. CC ID 15673 | Operational management | Preventive | |
| Include the type of work performed by workforce members in the analysis of the organizational culture. CC ID 15675 | Operational management | Preventive | |
| Include demographic characteristics of employees in the analysis of the organizational culture. CC ID 15671 | Operational management | Preventive | |
| Review systems for compliance with organizational information security policies. CC ID 12004 | Operational management | Preventive | |
| Establish, implement, and maintain an Asset Management program. CC ID 06630 | Operational management | Preventive | |
| Establish, implement, and maintain an Incident Management program. CC ID 00853 | Operational management | Preventive | |
| Refrain from charging for providing incident response notifications. CC ID 13876 | Operational management | Preventive | |
| Offer identity theft prevention services or identity theft mitigation services at no cost to the affected parties. CC ID 13766 | Operational management | Corrective | |
| Manage change requests. CC ID 00887 [Change management processes are initiated when deficiencies in the design or operating effectiveness of controls are identified during system operation and are monitored to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.3] | Operational management | Preventive | |
| Examine all changes to ensure they correspond with the change request. CC ID 12345 | Operational management | Detective | |
| Implement changes according to the change control program. CC ID 11776 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4 Change management processes are initiated when deficiencies in the design or operating effectiveness of controls are identified during system operation and are monitored to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.3 Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Preventive | |
| Prioritize deploying patches according to vulnerability risk metrics. CC ID 06796 | Operational management | Preventive | |
| Mitigate the adverse effects of unauthorized changes. CC ID 12244 | Operational management | Corrective | |
| Refrain from requiring the data subject to create an account in order to submit a consumer request. CC ID 13780 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the data protection officer's contact information. CC ID 12573 | Privacy protection for information and data | Preventive | |
| Approve the privacy plan. CC ID 14700 | Privacy protection for information and data | Preventive | |
| Protect private communications in keeping with compliance requirements. CC ID 14334 | Privacy protection for information and data | Preventive | |
| Refrain from charging a fee to implement an opt-out request. CC ID 13877 | Privacy protection for information and data | Preventive | |
| Offer incentives for consumers to opt-in to provide their personal data to the organization. CC ID 13781 | Privacy protection for information and data | Preventive | |
| Refrain from using coercive financial incentive programs to entice opt-in consent. CC ID 13795 | Privacy protection for information and data | Preventive | |
| Treat an opt-out direction by an individual joint consumer as applying to all associated joint consumers. CC ID 13452 | Privacy protection for information and data | Preventive | |
| Treat opt-out directions separately for each customer relationship the data subject establishes with the organization. CC ID 13454 | Privacy protection for information and data | Preventive | |
| Comply with opt-out directions by the data subject, unless otherwise directed by compliance requirements. CC ID 13451 | Privacy protection for information and data | Preventive | |
| Allow consent requests to be provided in any official languages. CC ID 16530 | Privacy protection for information and data | Preventive | |
| Define the requirements for approving or denying approval applications. CC ID 16780 | Privacy protection for information and data | Preventive | |
| Extend the time limit for approving or denying approval applications. CC ID 16779 | Privacy protection for information and data | Preventive | |
| Refrain from requiring data subjects having to justify personal data access requests. CC ID 12394 | Privacy protection for information and data | Preventive | |
| Grant a waiver or reduction of fees for data access under defined conditions. CC ID 15502 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data when the data subject consents to retention. CC ID 14326 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it reveals trade union membership. CC ID 12583 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it concerns an individual's sexual orientation. CC ID 12582 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it concerns an individual's sex life. CC ID 12581 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it contains Individually Identifiable Health Information. CC ID 12580 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when biometric data is used for the purpose of identifying an individual. CC ID 12579 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when the genetic data is used for the purpose of identifying individuals. CC ID 12578 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it reveals philosophical beliefs. CC ID 12577 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it reveals religious beliefs. CC ID 12576 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it reveals political opinions. CC ID 12575 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data if it reveals ethnic origin. CC ID 12574 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data for marketing or advertising to children. CC ID 14010 | Privacy protection for information and data | Preventive | |
| Dispose of personal data removal requests, as necessary. CC ID 13512 | Privacy protection for information and data | Preventive | |
| Determine the financial impact for the unauthorized disclosure of privacy-related data and privacy-related information. CC ID 06488 | Privacy protection for information and data | Detective | |
| Establish, implement, and maintain Consumer Reporting Agency notification procedures. CC ID 04851 | Privacy protection for information and data | Preventive | |
| Include personal data that is publicly available information as an out of scope privacy breach. CC ID 04678 | Privacy protection for information and data | Preventive | |
| Refrain from requiring independent recourse mechanisms when transferring personal data from one data controller to another data controller. CC ID 12528 | Privacy protection for information and data | Preventive | |
| Refrain from requiring a contract between the data controller and trusted third parties when personal information is transferred. CC ID 12527 | Privacy protection for information and data | Preventive | |
| Include the type of information to be collected in the privacy impact assessment. CC ID 15513 | Privacy protection for information and data | Preventive | |
| Refrain from charging a fee to file a privacy rights violation complaint. CC ID 16807 | Privacy protection for information and data | Preventive | |
| Cooperate with authorities during a privacy rights violation complaint investigation. CC ID 14364 | Privacy protection for information and data | Corrective | |
| Conduct all parts of the supply chain due diligence process. CC ID 08854 | Third Party and supply chain oversight | Preventive | |
| Assess third parties' compliance with the organization's third party security policies during due diligence. CC ID 12075 [Compliance with the entity’s privacy commitments and system requirements by vendors and others third parties whose products and services are part of the system and who have access to personal information processed by the system is assessed on a periodic and as-needed basis and corrective action is taken, if necessary. P6.5 Compliance with the entity’s confidentiality commitments and system requirements by vendors and others third parties whose products and services are part of the system is assessed on a periodic and as-needed basis, and corrective action is taken, if necessary. C1.5] | Third Party and supply chain oversight | Detective | |
Communicate | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Report errors and faults to the appropriate personnel, as necessary. CC ID 14296 | Monitoring and measurement | Corrective | |
| Disseminate and communicate the disciplinary action notice to interested personnel and affected parties. CC ID 16585 | Monitoring and measurement | Preventive | |
| Notify the user when an authentication is attempted using an expired authenticator. CC ID 13818 | Technical security | Corrective | |
| Notify interested personnel when user accounts are added or deleted. CC ID 14327 | Technical security | Detective | |
| Disseminate and communicate the access control log to interested personnel and affected parties. CC ID 16442 | Technical security | Preventive | |
| Disseminate and communicate the access control procedures to all interested personnel and affected parties. CC ID 14123 | Technical security | Corrective | |
| Disseminate and communicate the identification and authentication policy to interested personnel and affected parties. CC ID 14197 | Technical security | Preventive | |
| Disseminate and communicate the identification and authentication procedures to interested personnel and affected parties. CC ID 14223 | Technical security | Preventive | |
| Notify a user when an authenticator for a user account is changed. CC ID 13820 | Technical security | Preventive | |
| Notify interested personnel and affected parties when water is detected in the vicinity of information systems. CC ID 14252 | Physical and environmental protection | Preventive | |
| Notify the primary facilities of any changes at the alternate facilities that could affect the continuity plan. CC ID 13225 | Operational and Systems Continuity | Preventive | |
| Disseminate and communicate screening results to interested personnel and affected parties. CC ID 16445 | Human Resources management | Preventive | |
| Notify designated personnel when a formal personnel sanctions process is initiated. CC ID 10632 | Human Resources management | Preventive | |
| Disseminate and communicate the compliance policy to interested personnel and affected parties. CC ID 14809 | Operational management | Preventive | |
| Disseminate and communicate the governance policy to all interested personnel and affected parties. CC ID 15625 | Operational management | Preventive | |
| Share security information with interested personnel and affected parties. CC ID 11732 | Operational management | Preventive | |
| Disseminate and communicate the internal control framework to all interested personnel and affected parties. CC ID 15229 | Operational management | Preventive | |
| Disseminate and communicate the cybersecurity policy to interested personnel and affected parties. CC ID 16835 | Operational management | Preventive | |
| Disseminate and communicate the information security procedures to all interested personnel and affected parties. CC ID 16303 | Operational management | Preventive | |
| Disseminate and communicate the information security policy to interested personnel and affected parties. CC ID 11739 | Operational management | Preventive | |
| Disseminate and communicate the Standard Operating Procedures Manual to all interested personnel and affected parties. CC ID 12026 [{internal users} {system boundaries} Information regarding the design and operation of the system and its boundaries has been prepared and communicated to authorized internal and external users of the system to permit users to understand their role in the system and the results of system operation. CC2.1 {internal users} {system boundaries} Information regarding the design and operation of the system and its boundaries has been prepared and communicated to authorized internal and external users of the system to permit users to understand their role in the system and the results of system operation. CC2.1] | Operational management | Preventive | |
| Disseminate and communicate the Acceptable Use Policy to all interested personnel and affected parties. CC ID 12431 | Operational management | Preventive | |
| Disseminate and communicate nondisclosure agreements to interested personnel and affected parties. CC ID 16191 | Operational management | Preventive | |
| Provide assurance to interested personnel and affected parties that the Governance, Risk, and Compliance capability is reliable, effective, efficient, and responsive. CC ID 12788 | Operational management | Preventive | |
| Notify interested personnel and affected parties of an extortion payment in the event of a cybersecurity event. CC ID 16539 | Operational management | Preventive | |
| Notify interested personnel and affected parties of the reasons for the extortion payment, along with any alternative solutions. CC ID 16538 | Operational management | Preventive | |
| Report to breach notification organizations the reasons for a delay in sending breach notifications. CC ID 16797 | Operational management | Preventive | |
| Report to breach notification organizations the distribution list to which the organization will send data loss event notifications. CC ID 16782 | Operational management | Preventive | |
| Submit written requests to delay the notification of affected parties. CC ID 16783 | Operational management | Preventive | |
| Provide enrollment information for identity theft prevention services or identity theft mitigation services. CC ID 13767 | Operational management | Corrective | |
| Include a copy of the incident response notification in breach notifications, as necessary. CC ID 13085 | Operational management | Preventive | |
| Notify interested personnel and affected parties of the privacy breach about any recovered restricted data. CC ID 13347 | Operational management | Corrective | |
| Disseminate and communicate the System Development Life Cycle program to all interested personnel and affected parties. CC ID 15469 | Systems design, build, and implementation | Preventive | |
| Refrain from delivering privacy notices to data subjects, as necessary. CC ID 13445 | Privacy protection for information and data | Preventive | |
| Deliver privacy notices to data subjects, as necessary. CC ID 13444 | Privacy protection for information and data | Preventive | |
| Update privacy notices, as necessary. CC ID 13474 | Privacy protection for information and data | Preventive | |
| Redeliver privacy notices, as necessary. CC ID 14850 | Privacy protection for information and data | Preventive | |
| Deliver privacy notices to third parties, as necessary. CC ID 13473 | Privacy protection for information and data | Preventive | |
| Obtain acknowledgment of receipt of the privacy notice. CC ID 14435 | Privacy protection for information and data | Preventive | |
| Deliver opt-out notices, as necessary. CC ID 13449 | Privacy protection for information and data | Preventive | |
| Include an initial privacy notification when delivering the opt-out notice. CC ID 13453 | Privacy protection for information and data | Preventive | |
| Provide a copy of the organization's privacy program to statutory authorities, as necessary. CC ID 12376 | Privacy protection for information and data | Preventive | |
| Affirm adequate protection of personal data to applicable statutory authorities if the organization is not a member of a privacy program. CC ID 12372 | Privacy protection for information and data | Preventive | |
| Notify statutory authorities of the organization's withdrawal from the privacy program. CC ID 12391 | Privacy protection for information and data | Preventive | |
| Notify statutory authorities concerned with the privacy program if the surviving organization will continue in the privacy program. CC ID 12393 | Privacy protection for information and data | Preventive | |
| Notify data subjects about the organization's external requirements relevant to the privacy program. CC ID 12354 | Privacy protection for information and data | Preventive | |
| Notify data subjects about their privacy rights. CC ID 12989 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the critical third party list with relevance to the privacy program to all interested personnel and affected parties. CC ID 12352 | Privacy protection for information and data | Preventive | |
| Provide public proof the organization participates in a privacy program. CC ID 12349 | Privacy protection for information and data | Preventive | |
| Disclose statements added to education records, as necessary. CC ID 12990 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent when disclosure is in connection with a disciplinary proceeding. CC ID 13005 | Privacy protection for information and data | Preventive | |
| Refrain from disclosing disciplinary proceeding results unless the student has violated the institution's rules or policies. CC ID 13023 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent when it concerns sex offenders. CC ID 13013 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent to organizations conducting studies if educational data is destroyed when no longer required. CC ID 12995 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject, as necessary. CC ID 12625 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject when it is forbidden by law. CC ID 12651 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject when it proves impossible due to statistical purposes. CC ID 12645 | Privacy protection for information and data | Preventive | |
| Provide the data subject with information about lifting any restriction of processing, as necessary. CC ID 12634 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject when it proves impossible due to historical research purposes. CC ID 12633 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject when it proves impossible due to scientific research purposes. CC ID 12632 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject when it proves impossible due to archival purposes. CC ID 12631 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject when providing information involves disproportionate effort. CC ID 12629 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject when the data subject has the information. CC ID 12628 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the disclosure accounting record to interested personnel and affected parties. CC ID 14433 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the privacy policy to interested personnel and affected parties. CC ID 13346 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the privacy procedures to all interested personnel and affected parties. CC ID 14664 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the privacy plan to interested personnel and affected parties. CC ID 14680 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the privacy report to interested personnel and affected parties. CC ID 14761 | Privacy protection for information and data | Preventive | |
| Disseminate private communications when required by law. CC ID 14335 | Privacy protection for information and data | Corrective | |
| Notify interested personnel and affected parties of the reasons the opt-out request was refused. CC ID 16537 | Privacy protection for information and data | Preventive | |
| Submit approval applications to the supervisory authority. CC ID 16627 | Privacy protection for information and data | Preventive | |
| Notify the supervisory authority of the safeguards employed to protect the data subject's rights. CC ID 12605 | Privacy protection for information and data | Preventive | |
| Include any reasons for delay if notifying the supervisory authority after the time limit. CC ID 12675 | Privacy protection for information and data | Corrective | |
| Notify the data controller of any changes in data processors. CC ID 12648 | Privacy protection for information and data | Preventive | |
| Notify the data subject after their personal data is disposed, as necessary. CC ID 13502 | Privacy protection for information and data | Preventive | |
| Disclose de-identified data, as necessary. CC ID 13034 | Privacy protection for information and data | Preventive | |
| Notify the subject of care when a lack of availability of health information systems might have adversely affected their care. CC ID 13990 | Privacy protection for information and data | Corrective | |
| Refrain from disseminating and communicating with individuals that have opted out of direct marketing communications. CC ID 13708 | Privacy protection for information and data | Corrective | |
| Refrain from disclosing a security breach if an investigation concludes none has occurred. CC ID 13086 | Privacy protection for information and data | Corrective | |
| Notify the data subject when personal data has been inadvertently disclosed. CC ID 13989 | Privacy protection for information and data | Corrective | |
| Disclose personal data absent consent for specific and well-documented circumstances. CC ID 15267 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when the disclosure concerns the individual's products or services obtained from the organization. CC ID 13469 | Privacy protection for information and data | Preventive | |
| Capture personal data removal requests. CC ID 13507 | Privacy protection for information and data | Preventive | |
| Notify the data subject of the disclosure purpose. CC ID 15268 | Privacy protection for information and data | Preventive | |
| Notify the individual of the organization's legal rights to refuse the personal data access request, as necessary. CC ID 13509 | Privacy protection for information and data | Preventive | |
| Notify that data subject of any exclusions to requested personal data. CC ID 15271 | Privacy protection for information and data | Preventive | |
| Notify individuals of the new time limit for responding to an access request in a notice of extension. CC ID 13599 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the data collector's name and contact information to all interested personnel. CC ID 13760 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the data handling policy to all interested personnel and affected parties. CC ID 15465 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the data handling procedures to all interested personnel and affected parties. CC ID 15466 | Privacy protection for information and data | Preventive | |
| Notify data subjects of the geographic locations of the third parties when transferring personal data to third parties. CC ID 14414 | Privacy protection for information and data | Preventive | |
| Notify data subjects about organizational liability when transferring personal data to third parties. CC ID 12353 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the results of the Privacy Impact Assessment to interested personnel and affected parties. CC ID 15458 | Privacy protection for information and data | Preventive | |
| Notify third parties of unresolved challenges. CC ID 13559 | Privacy protection for information and data | Preventive | |
| Notify respondents after a privacy rights violation complaint investigation has been resolved. CC ID 13513 | Privacy protection for information and data | Corrective | |
| Disseminate and communicate instructions for the appeal process to interested personnel and affected parties. CC ID 16544 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate a written explanation of the reasons for appeal decisions to interested personnel and affected parties. CC ID 16542 | Privacy protection for information and data | Preventive | |
Configuration | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Match user accounts to authorized parties. CC ID 12126 | Technical security | Detective | |
| Configure access control lists in accordance with organizational standards. CC ID 16465 | Technical security | Preventive | |
| Disallow application IDs from running as privileged users. CC ID 10050 | Technical security | Detective | |
| Separate processing domains to segregate user privileges and enhance information flow control. CC ID 06767 | Technical security | Preventive | |
| Configure the lockout procedure to disregard failed logon attempts after the user is authenticated. CC ID 13822 | Technical security | Preventive | |
| Establish, implement, and maintain session lock capabilities. CC ID 01417 | Technical security | Preventive | |
| Limit concurrent sessions according to account type. CC ID 01416 | Technical security | Preventive | |
| Configure the "tlsverify" argument to organizational standards. CC ID 14460 | Technical security | Preventive | |
| Configure the "tlscacert" argument to organizational standards. CC ID 14521 | Technical security | Preventive | |
| Configure the "tlscert" argument to organizational standards. CC ID 14520 | Technical security | Preventive | |
| Configure the "tlskey" argument to organizational standards. CC ID 14519 | Technical security | Preventive | |
| Enable access control for objects and users on each system. CC ID 04553 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7 {internal users} Internal and external users are identified and authenticated when accessing the system components (for example, infrastructure, software, and data) to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.3] | Technical security | Preventive | |
| Display previous logon information in the logon banner. CC ID 01415 | Technical security | Preventive | |
| Encrypt files and move them to a secure file server when a user account is disabled. CC ID 07065 | Technical security | Preventive | |
| Limit superuser accounts to designated System Administrators. CC ID 06766 | Technical security | Preventive | |
| Grant access to authorized personnel or systems. CC ID 12186 | Technical security | Preventive | |
| Assign authenticators to user accounts. CC ID 06855 | Technical security | Preventive | |
| Assign authentication mechanisms for user account authentication. CC ID 06856 | Technical security | Preventive | |
| Limit account credential reuse as a part of digital identification procedures. CC ID 12357 | Technical security | Preventive | |
| Tune the biometric identification equipment, as necessary. CC ID 07077 | Technical security | Corrective | |
| Configure network access and control points to protect restricted data or restricted information. CC ID 01284 | Technical security | Preventive | |
| Install security and protection software, as necessary. CC ID 00575 [Controls have been implemented to prevent or detect and act upon the introduction of unauthorized or malicious software to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.8 Logical access security measures have been implemented to protect against [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] threats from sources outside the boundaries of the system to meet the entity’s commitments and system requirements. CC5.6] | Technical security | Preventive | |
| Establish and maintain a telecommunications equipment room, as necessary. CC ID 06708 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain a battery room, as necessary. CC ID 06706 | Physical and environmental protection | Preventive | |
| Establish and maintain a generator room, as necessary. CC ID 06704 | Physical and environmental protection | Preventive | |
| Install and maintain fire protection equipment. CC ID 00728 | Physical and environmental protection | Preventive | |
| Install and maintain fire suppression systems. CC ID 00729 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain a Heating Ventilation and Air Conditioning system. CC ID 00727 | Physical and environmental protection | Preventive | |
| Install and maintain dust collection and filtering as a part of the Heating Ventilation and Air Conditioning system. CC ID 06368 | Physical and environmental protection | Preventive | |
| Install and maintain backup Heating Ventilation and Air Conditioning equipment. CC ID 06369 | Physical and environmental protection | Preventive | |
| Install and maintain a moisture control system as a part of the climate control system. CC ID 06694 | Physical and environmental protection | Preventive | |
| Install and maintain hydrogen sensors, as necessary. CC ID 06705 | Physical and environmental protection | Preventive | |
| Protect physical assets from water damage. CC ID 00730 | Physical and environmental protection | Preventive | |
| Configure the off-site electronic media storage facilities to utilize timely and effective recovery operations. CC ID 01392 | Operational and Systems Continuity | Preventive | |
| Encrypt backup data. CC ID 00958 | Operational and Systems Continuity | Preventive | |
| Configure the alternate facility to meet the least needed operational capabilities. CC ID 01395 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Preventive | |
| Automate threat assessments, as necessary. CC ID 06877 | Operational management | Preventive | |
| Automate vulnerability management, as necessary. CC ID 11730 | Operational management | Preventive | |
| Deploy software patches in accordance with organizational standards. CC ID 07032 | Operational management | Corrective | |
| Deploy software patches in the disaster recovery environment to mirror those in the production environment. CC ID 13174 | Operational management | Corrective | |
| Remove outdated software after software has been updated. CC ID 11792 | Operational management | Corrective | |
| Update computer firmware, as necessary. CC ID 11755 | Operational management | Corrective | |
| Remove outdated computer firmware after the computer firmware has been updated. CC ID 10671 | Operational management | Corrective | |
| Establish, implement, and maintain a configuration change log. CC ID 08710 | Operational management | Detective | |
| Configure software development tools in accordance with organizational standards. CC ID 16387 | Systems design, build, and implementation | Preventive | |
| Include passwords, Personal Identification Numbers, and card security codes in the personal data definition. CC ID 04699 | Privacy protection for information and data | Preventive | |
| Store payment card data in secure chips, if possible. CC ID 13065 | Privacy protection for information and data | Preventive | |
| Refrain from storing data elements containing sensitive authentication data after authorization is approved. CC ID 04758 | Privacy protection for information and data | Preventive | |
| Terminate an individual's restriction agreement under specific circumstances. CC ID 06260 | Privacy protection for information and data | Preventive | |
Data and Information Management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Establish and maintain contact information for user accounts, as necessary. CC ID 15418 | Technical security | Preventive | |
| Enforce access restrictions for restricted data. CC ID 01921 [Confidential information within the boundaries of the system is protected against unauthorized access, use, and disclosure during input, processing, retention, output, and disposition to meet the entity’s confidentiality commitments and system requirements. C1.2] | Technical security | Preventive | |
| Include the date and time that access was reviewed in the system record. CC ID 16416 | Technical security | Preventive | |
| Disseminate and communicate user identifiers and authenticators using secure communication protocols. CC ID 06791 | Technical security | Preventive | |
| Restrict outbound network traffic from systems that contain restricted data or restricted information. CC ID 01295 [Access to confidential information from outside the boundaries of the system and disclosure of confidential information is restricted to authorized parties to meet the entity’s confidentiality commitments and system requirements. C1.3] | Technical security | Preventive | |
| Determine which data elements to back up. CC ID 13483 | Operational and Systems Continuity | Detective | |
| Store backup media at an off-site electronic media storage facility. CC ID 01332 | Operational and Systems Continuity | Preventive | |
| Transport backup media in lockable electronic media storage containers. CC ID 01264 | Operational and Systems Continuity | Preventive | |
| Identify the access methods for backup media at both the primary facility and the off-site electronic media storage facility. CC ID 01257 | Operational and Systems Continuity | Preventive | |
| Establish, implement, and maintain security controls to protect offsite data. CC ID 16259 | Operational and Systems Continuity | Preventive | |
| Perform full backups in accordance with organizational standards. CC ID 16376 | Operational and Systems Continuity | Preventive | |
| Perform incremental backups in accordance with organizational standards. CC ID 16375 | Operational and Systems Continuity | Preventive | |
| Use virtual machine snapshots for full backups and changed block tracking (CBT) for incremental backups. CC ID 16374 | Operational and Systems Continuity | Preventive | |
| Include a removable storage media use policy in the Acceptable Use Policy. CC ID 06772 | Operational management | Preventive | |
| Identify the sender in all electronic messages. CC ID 13996 | Operational management | Preventive | |
| Share incident information with interested personnel and affected parties. CC ID 01212 [[Insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] incidents, including logical and physical security breaches, failures, and identified vulnerabilities, are identified and reported to appropriate personnel and acted on in accordance with established incident response procedures to meet the entity’s commitments and system requirements. CC6.2] | Operational management | Corrective | |
| Comply with privacy regulations and civil liberties requirements when sharing data loss event information. CC ID 10036 | Operational management | Preventive | |
| Report data loss event information to breach notification organizations. CC ID 01210 | Operational management | Corrective | |
| Approve tested change requests. CC ID 11783 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Preventive | |
| Allow interested personnel and affected parties to opt out of specific version releases and software updates. CC ID 06809 | Operational management | Preventive | |
| Establish, implement, and maintain Automated Data Processing validation checks and editing checks. CC ID 00924 | Records management | Preventive | |
| Protect confidential information during the system development life cycle program. CC ID 13479 | Systems design, build, and implementation | Preventive | |
| Establish, implement, and maintain a personal data transparency program. CC ID 00375 | Privacy protection for information and data | Preventive | |
| Notify statutory authorities about how restricted data will be handled following withdrawal from the privacy program. CC ID 16819 | Privacy protection for information and data | Preventive | |
| Deliver notices to the intended parties. CC ID 06240 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain adequate openness procedures. CC ID 00377 | Privacy protection for information and data | Preventive | |
| Provide legal authorities access to personal data, upon request. CC ID 06818 | Privacy protection for information and data | Preventive | |
| Document the countries where restricted data may be stored. CC ID 12750 | Privacy protection for information and data | Preventive | |
| Protect the rights of students and their parents or legal representatives. CC ID 00222 | Privacy protection for information and data | Preventive | |
| Disclose educational data, as necessary. CC ID 00223 | Privacy protection for information and data | Preventive | |
| Obtain explicit consent from students or their parent or legal representative prior to using or disclosing educational data. CC ID 00220 | Privacy protection for information and data | Preventive | |
| Disclose education records when written consent is received. CC ID 00224 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent to other school officials. CC ID 00226 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent to another institution's school officials. CC ID 00227 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent in connection with financial aid. CC ID 00229 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent to organizations conducting studies on tests. CC ID 00230 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent to accrediting organizations. CC ID 00231 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent to a dependent student's parent or legal representative. CC ID 00232 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent in order to comply with a judicial order. CC ID 00233 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent for a health and safety emergency. CC ID 00234 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent when it is merely directory information. CC ID 00235 | Privacy protection for information and data | Preventive | |
| Disclose educational data absent consent to a crime victim. CC ID 00236 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the means of gaining access to personal data held by the organization. CC ID 00396 | Privacy protection for information and data | Preventive | |
| Provide the data subject with what personal data is made available to related organizations or subsidiaries. CC ID 00399 | Privacy protection for information and data | Preventive | |
| Allow data subjects to opt out and refrain from granting an authorization of consent to use personal data. CC ID 00391 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain an opt-out method in accordance with organizational standards. CC ID 16526 | Privacy protection for information and data | Preventive | |
| Refrain from requiring consent to collect, use, or disclose personal data beyond specified, legitimate reasons in order to receive products and services. CC ID 13605 | Privacy protection for information and data | Preventive | |
| Refrain from obtaining consent through deception. CC ID 13556 | Privacy protection for information and data | Preventive | |
| Give individuals the ability to change the uses of their personal data. CC ID 00469 | Privacy protection for information and data | Preventive | |
| Notify data subjects of the implications of withdrawing consent. CC ID 13551 | Privacy protection for information and data | Preventive | |
| Cooperate with Data Protection Authorities. CC ID 06870 | Privacy protection for information and data | Preventive | |
| Display or print the least amount of personal data necessary. CC ID 04643 | Privacy protection for information and data | Preventive | |
| Redact confidential information from public information, as necessary. CC ID 06872 | Privacy protection for information and data | Preventive | |
| Refrain from using restricted data collected for research and statistics for other purposes. CC ID 00096 | Privacy protection for information and data | Preventive | |
| Dispose of media and restricted data in a timely manner. CC ID 00125 [The entity disposes of confidential information to meet the entity’s confidentiality commitments and system requirements. C1.8 The entity securely disposes of personal information consistent with the entity’s privacy commitments and system requirements. P4.3] | Privacy protection for information and data | Preventive | |
| Provide individuals with information about where their personal data was processed. CC ID 00415 | Privacy protection for information and data | Preventive | |
| Provide individuals with information about the processing purpose of their personal data. CC ID 00416 | Privacy protection for information and data | Preventive | |
| Provide individuals with information about disclosure of their personal data. CC ID 00417 [The entity provides to the data subjects an accounting of the personal information held and disclosure of a data subject’s personal information, upon the data subject’s request, consistent with the entity’s privacy commitments and system requirements. P6.8] | Privacy protection for information and data | Preventive | |
| Allow guardians and legal representatives access to personal data about the individual for whom they are guardians or legal representatives. CC ID 00418 | Privacy protection for information and data | Preventive | |
| Provide assistance to requesters in preparing data access requests. CC ID 13588 | Privacy protection for information and data | Preventive | |
| Delay responding to data access requests, as necessary. CC ID 15504 | Privacy protection for information and data | Preventive | |
| Expedite the processing of data access requests, as necessary. CC ID 15496 | Privacy protection for information and data | Preventive | |
| Provide individuals with an estimate of how much data was withheld from the data access request. CC ID 15503 | Privacy protection for information and data | Preventive | |
| Document the outcome of the personal data access request review procedure. CC ID 00455 | Privacy protection for information and data | Preventive | |
| Identify any adverse effects the processing of personal data will have on the data subject. CC ID 15299 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it is likely to cause unlawful discrimination or arbitrary discrimination. CC ID 00197 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data when it is used for behavioral monitoring. CC ID 16528 | Privacy protection for information and data | Preventive | |
| Process personal data pertaining to a patient's health in order to treat those patients. CC ID 00200 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for a covered entity's own use. CC ID 00211 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for a healthcare provider's treatment activities by a covered entity. CC ID 00212 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for payment activities between covered entities or healthcare providers. CC ID 00213 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for Treatment, Payment, and Health Care Operations activities when both covered entities have a relationship with the data subject. CC ID 00214 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for Treatment, Payment, and Health Care Operations activities between a covered entity and a participating healthcare provider when the information is collected from the data subject and a third party. CC ID 00215 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information in accordance with agreed upon restrictions. CC ID 06249 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information in accordance with the privacy notice. CC ID 06250 | Privacy protection for information and data | Preventive | |
| Disclose permitted Individually Identifiable Health Information for facility directories. CC ID 06251 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for cadaveric organ donation purposes, eye donation purposes, or tissue donation purposes. CC ID 06252 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for medical suitability determinations. CC ID 06253 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for armed forces personnel appropriately. CC ID 06254 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information in order to provide public benefits by government agencies. CC ID 06255 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for fundraising. CC ID 06256 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information when the data subject cannot physically or legally provide consent and the disclosing organization is a healthcare provider. CC ID 00202 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information to provide appropriate treatment to the data subject when the disclosing organization is a healthcare provider. CC ID 00203 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information when it is not contrary to the data subject's wish prior to becoming unable to provide consent and the disclosing organization is a healthcare provider. CC ID 00204 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information that is reasonable or necessary for the disclosure purpose when the disclosing organization is a healthcare provider. CC ID 00205 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information consistent with the law when the disclosing organization is a healthcare provider. CC ID 00206 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the disclosing organization is a healthcare provider. CC ID 00207 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the data subject has provided consent and the disclosing organization is a healthcare provider. CC ID 00208 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the data subject's guardian or representative has provided consent and the disclosing organization is a healthcare provider. CC ID 00209 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information when the disclosing organization is a healthcare provider that supports public health and safety activities. CC ID 06248 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information in order to report abuse or neglect when the disclosing organization is a healthcare provider. CC ID 06819 | Privacy protection for information and data | Preventive | |
| Obtain explicit consent for authorization to release Individually Identifiable Health Information. CC ID 00217 | Privacy protection for information and data | Preventive | |
| Obtain explicit consent for authorization to release psychotherapy notes. CC ID 00218 | Privacy protection for information and data | Preventive | |
| Refrain from using Individually Identifiable Health Information to determine eligibility or continued eligibility for credit. CC ID 00219 | Privacy protection for information and data | Preventive | |
| Process personal data after the data subject has granted explicit consent. CC ID 00180 | Privacy protection for information and data | Preventive | |
| Process personal data in order to perform a legal obligation or exercise a legal right. CC ID 00182 | Privacy protection for information and data | Preventive | |
| Process personal data relating to criminal offenses when required by law. CC ID 00237 | Privacy protection for information and data | Preventive | |
| Process personal data in order to prevent personal injury or damage to the data subject's health. CC ID 00183 | Privacy protection for information and data | Preventive | |
| Process personal data in order to prevent personal injury or damage to a third party's health. CC ID 00184 | Privacy protection for information and data | Preventive | |
| Process personal data for statistical purposes or scientific purposes. CC ID 00256 | Privacy protection for information and data | Preventive | |
| Process personal data during legitimate activities with safeguards for the data subject's legal rights. CC ID 00185 | Privacy protection for information and data | Preventive | |
| Process traffic data in a controlled manner. CC ID 00130 | Privacy protection for information and data | Preventive | |
| Process personal data for health insurance, social insurance, state social benefits, social welfare, or child protection. CC ID 00186 | Privacy protection for information and data | Preventive | |
| Process personal data when it is publicly accessible. CC ID 00187 | Privacy protection for information and data | Preventive | |
| Process personal data for direct marketing and other personalized mail programs. CC ID 00188 | Privacy protection for information and data | Preventive | |
| Process personal data for the purposes of employment. CC ID 16527 | Privacy protection for information and data | Preventive | |
| Process personal data for justice administration, lawsuits, judicial decisions, and investigations. CC ID 00189 | Privacy protection for information and data | Preventive | |
| Process personal data for debt collection or benefit payments. CC ID 00190 | Privacy protection for information and data | Preventive | |
| Process personal data in order to advance the public interest. CC ID 00191 | Privacy protection for information and data | Preventive | |
| Process personal data for surveys, archives, or scientific research. CC ID 00192 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00193 | Privacy protection for information and data | Preventive | |
| Process personal data for academic purposes or religious purposes. CC ID 00194 | Privacy protection for information and data | Preventive | |
| Process personal data when it is used by a public authority for National Security policy or criminal policy. CC ID 00195 | Privacy protection for information and data | Preventive | |
| Refrain from storing data in newly created files or registers which directly or indirectly reveals the restricted data. CC ID 00196 | Privacy protection for information and data | Preventive | |
| Follow legal obligations while processing personal data. CC ID 04794 | Privacy protection for information and data | Preventive | |
| Start personal data processing only after the needed notifications are submitted. CC ID 04791 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent for specific and well-documented circumstances. CC ID 13537 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when the data subject has been notified the personal data may be collected, used, or disclosed. CC ID 13617 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13615 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when the data subject is notified that the business transaction is completed and their information was disclosed. CC ID 13612 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when the disclosure concerns the data subject's products and services obtained from the organization. CC ID 13611 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when it is impracticable to obtain consent. CC ID 13580 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when it is in the data subject's interest and consent cannot be obtained in a timely manner. CC ID 15282 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent to determine whether to proceed with business transactions. CC ID 13587 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent in order to perform a contract. CC ID 13586 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when the privacy commissioner is notified before the information is used. CC ID 13581 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent to perform obligations in the field of employment law. CC ID 16814 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 15294 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when it is used in a manner to ensure confidentiality. CC ID 13579 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when it is used for statistical research, scientific research, or scholarly research. CC ID 13578 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when it is needed by law. CC ID 13577 | Privacy protection for information and data | Preventive | |
| Process personal data for public interests absent consent in order to protect historical records or archival records. CC ID 15296 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when it is from publicly available information. CC ID 13576 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent to create a credit report. CC ID 15288 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent if its use is consistent with the intended purpose. CC ID 13575 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent to administer a trust fund or benefit plan. CC ID 15291 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when produced for business purposes. CC ID 13563 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent for handling insurance claims. CC ID 13561 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent when it is necessary for corporate restructuring. CC ID 16533 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent if the information is contained in a witness statement. CC ID 13560 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent for life-threatening emergencies. CC ID 13558 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent for reasonable investigative purposes. CC ID 13557 | Privacy protection for information and data | Preventive | |
| Disclose restricted data when the data subject has given unambiguous and implicit consent. CC ID 00157 [The entity discloses personal information to third parties with the explicit consent of the data subject to meet the entity’s privacy commitments and system requirements, and such consent is obtained prior to disclosure. P6.1] | Privacy protection for information and data | Preventive | |
| Disclose personal data when the data subject has consented and has the ability to opt out. CC ID 00158 | Privacy protection for information and data | Detective | |
| Disclose Personal Identification Numbers absent consent in order to update address information. CC ID 04793 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when the law does not require consent. CC ID 00136 | Privacy protection for information and data | Preventive | |
| Disclose data absent consent if its disclosure is consistent with the intended purpose. CC ID 15270 | Privacy protection for information and data | Preventive | |
| Disclose restricted data when a relevant connection exists between the data subject and the data controller's operations. CC ID 00137 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if the disclosure with the consent or knowledge of the data subject would compromise the ability to prevent, detect, or suppress fraud. CC ID 13594 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent when it is in the data subject's interest and consent cannot be obtained in a timely manner. CC ID 15284 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13616 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent when the data subject is notified that the business transaction is completed and their information was disclosed. CC ID 13613 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent when the data subject has been notified the personal data may be collected, used, or disclosed. CC ID 13603 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if disclosure is made a predetermined number of years after the death of the data subject. CC ID 13598 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent when disclosure is made a predetermined number of years after the information was created. CC ID 13597 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if the data subject is notified of the disclosure. CC ID 13596 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent to detect, suppress, or prevent fraud. CC ID 13592 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent to create a credit report. CC ID 15297 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if it is necessary to identify an individual who is injured, ill or deceased. CC ID 13595 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent if the disclosure is to a government institution. CC ID 13583 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent for reasonable investigative purposes. CC ID 13593 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent to determine whether to proceed with business transactions. CC ID 15285 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent for handling insurance claims. CC ID 13585 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if the information is contained in a witness statement. CC ID 13584 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if the data subject is believed to be a victim of financial abuse. CC ID 13555 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent for transactions related to the consumer. CC ID 14853 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent to a government institution that has requested the information. CC ID 13582 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 13554 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when it is for the data controller's legitimate interest or third party's legitimate interest and it prevails over individual rights. CC ID 00138 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if the organization notifies the privacy commissioner before disclosing the information. CC ID 13553 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent if it is impracticable to obtain consent. CC ID 13552 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent in order to perform a contract. CC ID 00139 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent in order to assist Telecommunications Ombudsmen in resolving complaints. CC ID 00140 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent to administer a trust fund or benefit plan. CC ID 15290 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent for research purposes and the data subject is not identified. CC ID 15286 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent when the personal data is disclosed by calling an emergency service number. CC ID 00141 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when the restricted data prevents life-threatening emergencies to third parties. CC ID 00142 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when the restricted data preserves human life at sea. CC ID 00143 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent in order to process the restricted data for public interests. CC ID 00144 | Privacy protection for information and data | Preventive | |
| Disclose restricted data for public interests absent consent in order to provide social work assistance services. CC ID 00145 | Privacy protection for information and data | Preventive | |
| Disclose restricted data for public interests absent consent if confidentiality is assured and the disclosure is for statistical research, scientific research, or scholarly research. CC ID 00146 | Privacy protection for information and data | Preventive | |
| Disclose restricted data for public interests absent consent in order to protect historical records or archival records. CC ID 00147 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent for public economic interests. CC ID 00148 | Privacy protection for information and data | Preventive | |
| Disclose restricted data for public interests absent consent for National Security reasons. CC ID 00149 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00150 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when it is publicly accessible. CC ID 00151 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when it is related to publicly available information. CC ID 00152 | Privacy protection for information and data | Preventive | |
| Disclose publicly accessible restricted data absent consent when the data subject has already published it. CC ID 00153 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent in order to protect the data subject's vital interests. CC ID 00154 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent in order to protect the data subject's vital interests when there is a life-threatening emergency. CC ID 00155 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when it is for judicial decisions, lawsuits, and investigations. CC ID 00161 | Privacy protection for information and data | Preventive | |
| Disclose restricted data absent consent when it is needed by law. CC ID 00163 | Privacy protection for information and data | Preventive | |
| Disclose personal data required by law absent consent for special cases involving security or law enforcement. CC ID 04796 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent when it is being disclosed to the data subject. CC ID 00164 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent for direct marketing or other personalized mail programs. CC ID 14855 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent in order to collect a debt owed by the data subject. CC ID 00165 | Privacy protection for information and data | Preventive | |
| Disclose personal data absent consent when the data subject or data owner is anonymous. CC ID 00166 | Privacy protection for information and data | Preventive | |
| Limit the redisclosure and reuse of restricted data. CC ID 00168 | Privacy protection for information and data | Preventive | |
| Refrain from redisclosing or reusing restricted data. CC ID 00169 | Privacy protection for information and data | Preventive | |
| Redisclose restricted data when the data subject consents. CC ID 00171 | Privacy protection for information and data | Preventive | |
| Redisclose restricted data when it is for criminal law enforcement. CC ID 00172 | Privacy protection for information and data | Preventive | |
| Redisclose restricted data in order to protect public revenue. CC ID 00173 | Privacy protection for information and data | Preventive | |
| Redisclose restricted data in order to assist a Telecommunications Ombudsman. CC ID 00174 | Privacy protection for information and data | Preventive | |
| Redisclose restricted data in order to prevent a life-threatening emergency. CC ID 00175 | Privacy protection for information and data | Preventive | |
| Redisclose restricted data when it deals with installing, maintaining, operating, or providing access to a Public Telecommunications Network or a telecommunication facility. CC ID 00176 | Privacy protection for information and data | Preventive | |
| Redisclose restricted data in order to preserve human life at sea. CC ID 00177 | Privacy protection for information and data | Preventive | |
| Obtain explicit consent directly from the data subject prior to the use of that person's sensitive data. CC ID 00178 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Privacy protection for information and data | Preventive | |
| Obtain consent from a parent or legal representative in order to use or disclose a child's data. CC ID 00198 | Privacy protection for information and data | Preventive | |
| Obtain opt-in consent from teenagers prior to the collection, use, or disclosure of personal data. CC ID 00199 | Privacy protection for information and data | Preventive | |
| Obtain explicit consent prior to using the data subject's Personal Identification Number. CC ID 00238 | Privacy protection for information and data | Preventive | |
| Process Personal Identification Numbers with consent. CC ID 00239 | Privacy protection for information and data | Preventive | |
| Obtain consent prior to selling a Personal Identification Number. CC ID 00240 | Privacy protection for information and data | Preventive | |
| Obtain consent prior to displaying a Personal Identification Number. CC ID 00241 | Privacy protection for information and data | Preventive | |
| Refrain from displaying Personal Identification Numbers on government-issued checks or other paperwork. CC ID 00254 | Privacy protection for information and data | Preventive | |
| Refrain from displaying Personal Identification Numbers on identification cards or badges. CC ID 00255 | Privacy protection for information and data | Preventive | |
| Use Personal Identification Numbers absent consent for granting credit or collecting a debt. CC ID 00252 | Privacy protection for information and data | Preventive | |
| Use Personal Identification Numbers absent consent for research purposes. CC ID 00247 | Privacy protection for information and data | Preventive | |
| Refrain from requiring consent to use a Personal Identification Number when protecting the public health and safety or an individual's safety in an emergency. CC ID 00244 | Privacy protection for information and data | Preventive | |
| Use Personal Identification Numbers absent consent when a federal law mandates its use. CC ID 00243 | Privacy protection for information and data | Preventive | |
| Allow data subjects the ability to restrict the use and disclosure of personal data. CC ID 06821 [Access to confidential information from outside the boundaries of the system and disclosure of confidential information is restricted to authorized parties to meet the entity’s confidentiality commitments and system requirements. C1.3] | Privacy protection for information and data | Preventive | |
| Identify any adverse effects the disclosure of personal data will have on the data subject. CC ID 15298 | Privacy protection for information and data | Preventive | |
| Review personal data disclosure requests. CC ID 07129 | Privacy protection for information and data | Preventive | |
| Include frivolous requests or vexatious requests as a reason for denial in the personal data request denial procedures. CC ID 00435 | Privacy protection for information and data | Preventive | |
| Include when the required information is unavailable as a reason for denial in the personal data request denial procedures. CC ID 00436 | Privacy protection for information and data | Preventive | |
| Include when the disclosure of personal data constitutes contempt of court or contempt of House of Representatives as a reason for denial in the personal data request denial procedures. CC ID 00437 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would identify suppliers or breaches an express promise of privacy or implied promise of privacy as a reason for denial in the personal data request denial procedures. CC ID 00438 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would compromise National Security as a reason for denial in the personal data request denial procedures. CC ID 00439 | Privacy protection for information and data | Preventive | |
| Include information that is protected by attorney-client privilege as a reason for denial in the personal data request denial procedures. CC ID 00440 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would reveal trade secrets, commercial information, or harmful financial information as a reason for denial in the personal data request denial procedures. CC ID 00441 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would threaten an individual's life or an individual's security as a reason for denial in the personal data request denial procedures. CC ID 00442 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would have an unreasonable impact on another individual's privacy as a reason for denial in the personal data request denial procedures. CC ID 00443 | Privacy protection for information and data | Preventive | |
| Include responding to access requests after the time limit as a reason for denial in the personal data request denial procedures. CC ID 13600 | Privacy protection for information and data | Preventive | |
| Include information that was generated from a formal dispute as a reason for denial in the personal data request denial procedures. CC ID 00444 | Privacy protection for information and data | Preventive | |
| Include personal data that is used solely for scientific research, scholarly research, statistical research, library purposes, museum purposes, or archival purposes as a reason for denial in the personal data request denial procedures. CC ID 00445 | Privacy protection for information and data | Preventive | |
| Include personal data that is for the state's economic interest as a reason for denial in the personal data request denial procedures. CC ID 00446 | Privacy protection for information and data | Detective | |
| Include personal data that is for protecting the civil rights or other's freedoms as a reason for denial in the personal data request denial procedures. CC ID 00447 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that constitutes a state secret as a reason for denial in the personal data request denial procedures. CC ID 00448 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would result in interference with the operation of public functions as a reason for denial in the personal data request denial procedures. CC ID 00449 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would interrupt criminal investigation and surveillance or other legal purposes as a reason for denial in the personal data request denial procedures. CC ID 00450 | Privacy protection for information and data | Preventive | |
| Include when a country's laws prevent disclosure as a reason for denial in the personal data request denial procedures. CC ID 00451 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would interfere with grievance proceeding or employee security investigations as a reason for denial in the personal data request denial procedures. CC ID 06873 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would interfere with commercial acquisitions or reorganizations as a reason for denial in the personal data request denial procedures. CC ID 06874 | Privacy protection for information and data | Preventive | |
| Include if the cost or burden of disclosing the personal data is disproportionate as a reason for denial in the personal data request denial procedures. CC ID 06875 | Privacy protection for information and data | Preventive | |
| Notify interested personnel and affected parties of the reasons the data access request was refused. CC ID 00453 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Privacy protection for information and data | Preventive | |
| Notify individuals of their right to challenge a refusal to a data access request. CC ID 00454 | Privacy protection for information and data | Preventive | |
| Disseminate and communicate personal data to the individual that it relates to. CC ID 00428 | Privacy protection for information and data | Preventive | |
| Provide personal data to an individual after the individual's identity has been confirmed. CC ID 06876 | Privacy protection for information and data | Preventive | |
| Provide data or records in a reasonable time frame. CC ID 00429 | Privacy protection for information and data | Preventive | |
| Extend the time limit for providing personal data in order to convert it to an alternative format. CC ID 13591 | Privacy protection for information and data | Preventive | |
| Extend the time limit for providing personal data if the time is impracticable to respond to the access request. CC ID 13590 | Privacy protection for information and data | Preventive | |
| Extend the time limit for providing data if it would unreasonably interfere with the organization's activities. CC ID 13589 | Privacy protection for information and data | Preventive | |
| Provide data at a cost that is not excessive. CC ID 00430 | Privacy protection for information and data | Preventive | |
| Provide records or data in a reasonable manner. CC ID 00431 | Privacy protection for information and data | Preventive | |
| Provide personal data in a form that is intelligible. CC ID 00432 | Privacy protection for information and data | Preventive | |
| Provide restricted data that would threaten the life or security of another individual after that information has been redacted. CC ID 13604 | Privacy protection for information and data | Preventive | |
| Provide restricted data that would reveal confidential commercial information after that information has been redacted. CC ID 13602 | Privacy protection for information and data | Preventive | |
| Remove data pertaining to third parties before giving the requestor access to the information. CC ID 13601 | Privacy protection for information and data | Preventive | |
| Identify any adverse effects the collection of personal data will have on the data subject. CC ID 15279 | Privacy protection for information and data | Preventive | |
| Refrain from collecting personal data, as necessary. CC ID 15269 | Privacy protection for information and data | Preventive | |
| Use personal data for specified purposes. CC ID 11831 | Privacy protection for information and data | Preventive | |
| Obtain the data subject's consent and acknowledgment before collecting data. CC ID 00012 [For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2 For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2] | Privacy protection for information and data | Preventive | |
| Provide explicit consent that is clear and unambiguous. CC ID 00181 | Privacy protection for information and data | Preventive | |
| Allow individuals to change their personal data collection consent preferences. CC ID 06946 | Privacy protection for information and data | Preventive | |
| Adhere to each individual's personal data collection consent preferences. CC ID 06947 | Privacy protection for information and data | Preventive | |
| Furnish disclosure of information and usage of information to data subjects when oral consent is given. CC ID 04717 | Privacy protection for information and data | Preventive | |
| Disclose the direct marketing purpose before obtaining consent for collecting information. CC ID 04718 | Privacy protection for information and data | Preventive | |
| Include an individual's name in the personal data definition. CC ID 04710 | Privacy protection for information and data | Preventive | |
| Include an individual's name combined with other personal data in the personal data definition. CC ID 04709 | Privacy protection for information and data | Preventive | |
| Include the legal surname of the parent or legal representative prior to marriage in the personal data definition. CC ID 04686 | Privacy protection for information and data | Preventive | |
| Include an individual's signature in the personal data definition. CC ID 04711 | Privacy protection for information and data | Preventive | |
| Include an individual's date of birth in the personal data definition. CC ID 04770 | Privacy protection for information and data | Preventive | |
| Include an individual's physical characteristics or description in the personal data definition. CC ID 04712 | Privacy protection for information and data | Preventive | |
| Include an individual's biometric data in the personal data definition. CC ID 04698 | Privacy protection for information and data | Preventive | |
| Include an individual's photographic image in the personal data definition. CC ID 04779 | Privacy protection for information and data | Preventive | |
| Include an individual's fingerprints in the personal data definition. CC ID 04689 | Privacy protection for information and data | Preventive | |
| Include an individual's address in the personal data definition. CC ID 04687 | Privacy protection for information and data | Preventive | |
| Include an individual's telephone number in the personal data definition. CC ID 04688 | Privacy protection for information and data | Preventive | |
| Include an individual's fax number in the personal data definition. CC ID 07120 | Privacy protection for information and data | Preventive | |
| Include an individual's financial account number in the personal data definition. CC ID 04692 | Privacy protection for information and data | Preventive | |
| Include stock numbers, bond numbers, and other security certificate numbers in the personal data definition. CC ID 04768 | Privacy protection for information and data | Preventive | |
| Include an individual's electronic identification name or number in the personal data definition. CC ID 04694 | Privacy protection for information and data | Preventive | |
| Include an individual's Alien Registration Number in the personal data definition. CC ID 04743 | Privacy protection for information and data | Preventive | |
| Include an individual's passport number in the personal data definition. CC ID 04713 | Privacy protection for information and data | Preventive | |
| Include an individual's driver's license number or an individual's state identification card number in the personal data definition. CC ID 04691 | Privacy protection for information and data | Preventive | |
| Include an individual's Social Security Number or Personal Identification Number in the personal data definition. CC ID 04690 | Privacy protection for information and data | Preventive | |
| Include an individual's e-mail address in the personal data definition. CC ID 04696 | Privacy protection for information and data | Preventive | |
| Include electronic signatures in the personal data definition. CC ID 04697 | Privacy protection for information and data | Preventive | |
| Include an individual's payment card information in the personal data definition. CC ID 04751 | Privacy protection for information and data | Preventive | |
| Include an individual's credit card number or an individual's debit card number in the personal data definition. CC ID 04693 | Privacy protection for information and data | Preventive | |
| Include an individual's payment card service code in the personal data definition. CC ID 04753 | Privacy protection for information and data | Preventive | |
| Include an individual's payment card expiration date in the personal data definition. CC ID 04755 | Privacy protection for information and data | Preventive | |
| Include the payment transaction data and transaction authentication data in the personal data definition. CC ID 04825 | Privacy protection for information and data | Preventive | |
| Include an individual's Individually Identifiable Health Information in the personal data definition. CC ID 04700 | Privacy protection for information and data | Preventive | |
| Include an individual's medical history in the personal data definition. CC ID 04701 | Privacy protection for information and data | Preventive | |
| Include an individual's medical treatment in the personal data definition. CC ID 04702 | Privacy protection for information and data | Preventive | |
| Include an individual's medical diagnosis in the personal data definition. CC ID 04703 | Privacy protection for information and data | Preventive | |
| Include an individual's mental condition or an individual's physical condition in the personal data definition. CC ID 04704 | Privacy protection for information and data | Preventive | |
| Include an individual's medical record numbers in the personal data definition. CC ID 07121 | Privacy protection for information and data | Preventive | |
| Include an individual's health insurance information in the personal data definition. CC ID 04705 | Privacy protection for information and data | Preventive | |
| Include an individual's health insurance policy number in the personal data definition. CC ID 04706 | Privacy protection for information and data | Preventive | |
| Include an individual's health insurance application and health insurance claims history (including appeals) in the personal data definition. CC ID 04707 | Privacy protection for information and data | Preventive | |
| Include an individual's education information in the personal data definition. CC ID 04714 | Privacy protection for information and data | Preventive | |
| Include an individual's professional certification numbers or an individual's professional license numbers in the personal data definition. CC ID 07122 | Privacy protection for information and data | Preventive | |
| Include an individual's employment information in the personal data definition. CC ID 04715 | Privacy protection for information and data | Preventive | |
| Include an employer's Taxpayer Identification Number in the personal data definition. CC ID 04767 | Privacy protection for information and data | Preventive | |
| Include an individual's Taxpayer Identification Number in the personal data definition. CC ID 04763 | Privacy protection for information and data | Preventive | |
| Include an individual's employment history in the personal data definition. CC ID 04716 | Privacy protection for information and data | Preventive | |
| Include an individual's place of employment in the personal data definition. CC ID 04765 | Privacy protection for information and data | Preventive | |
| Include an individual's Employee Identification Number in the personal data definition. CC ID 04766 | Privacy protection for information and data | Preventive | |
| Include an individual's property information in the personal data definition. CC ID 04780 | Privacy protection for information and data | Preventive | |
| Include an individual's property title in the personal data definition. CC ID 04781 | Privacy protection for information and data | Preventive | |
| Include an individual's vehicle registration in the personal data definition. CC ID 04782 | Privacy protection for information and data | Preventive | |
| Include hardware asset identification information in the personal data definition. CC ID 07123 | Privacy protection for information and data | Preventive | |
| Include MAC addresses in the personal data definition. CC ID 04778 | Privacy protection for information and data | Preventive | |
| Include Internet Protocol addresses in the personal data definition. CC ID 04777 | Privacy protection for information and data | Preventive | |
| Include asset serial numbers in the personal data definition. CC ID 07124 | Privacy protection for information and data | Preventive | |
| Include Uniform Resource Locators in the personal data definition. CC ID 07125 | Privacy protection for information and data | Preventive | |
| Define specially restricted data. CC ID 00037 | Privacy protection for information and data | Preventive | |
| Protect an individual's civil rights during personal data collection and personal data processing. CC ID 00079 | Privacy protection for information and data | Preventive | |
| Refrain from compiling data that is likely to give rise to unlawful discrimination or arbitrary discrimination. CC ID 00075 | Privacy protection for information and data | Preventive | |
| Refrain from subjecting an individual to a solely automated decision process that produces legal effects based on the evaluation of certain characteristics. CC ID 00080 | Privacy protection for information and data | Preventive | |
| Implement a nondiscrimination principle. CC ID 00081 | Privacy protection for information and data | Preventive | |
| Include the collection and use of personal data in the nondiscrimination principle. CC ID 11799 | Privacy protection for information and data | Preventive | |
| Preserve each individual's right to human dignity. CC ID 00082 | Privacy protection for information and data | Preventive | |
| Manage Personal Identification Numbers and PIN verification code numbers. CC ID 00058 | Privacy protection for information and data | Preventive | |
| Collect Personal Identification Numbers with the individual's consent. CC ID 00059 | Privacy protection for information and data | Preventive | |
| Collect Personal Identification Numbers absent consent when the law mandates. CC ID 00061 | Privacy protection for information and data | Preventive | |
| Collect Personal Identification Numbers absent consent for research purposes. CC ID 00065 | Privacy protection for information and data | Preventive | |
| Collect Personal Identification Numbers absent consent to realize the rights or duties of the data subject or data controller. CC ID 04792 | Privacy protection for information and data | Preventive | |
| Manage health data collection. CC ID 00050 | Privacy protection for information and data | Preventive | |
| Collect Individually Identifiable Health Information to provide health care services. CC ID 00052 | Privacy protection for information and data | Preventive | |
| Collect Individually Identifiable Health Information when the law dictates. CC ID 00053 | Privacy protection for information and data | Preventive | |
| Collect Individually Identifiable Health Information for research. CC ID 00054 | Privacy protection for information and data | Preventive | |
| Remove personal data before disclosing health data. CC ID 00055 | Privacy protection for information and data | Preventive | |
| Give special attention to collecting children's data. CC ID 00038 | Privacy protection for information and data | Preventive | |
| Obtain consent from a parent or legal representative before collecting information from children. CC ID 00041 | Privacy protection for information and data | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to collect online contact information for a one-time only response to a specific request. CC ID 00043 | Privacy protection for information and data | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to request the parent or legal representative's information to obtain consent. CC ID 00044 | Privacy protection for information and data | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to additional requests which do not go beyond the scope of the request. CC ID 00045 | Privacy protection for information and data | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to protect the child's safety. CC ID 00046 | Privacy protection for information and data | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to take liability precautions. CC ID 00047 | Privacy protection for information and data | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to a judicial process. CC ID 00048 | Privacy protection for information and data | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to a request for law enforcement purposes. CC ID 00049 | Privacy protection for information and data | Preventive | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to protect the website's security or integrity or the online service's security or integrity. CC ID 06199 | Privacy protection for information and data | Preventive | |
| Collect personal data directly from the data subject. CC ID 00011 | Privacy protection for information and data | Preventive | |
| Create and manage user account aliases to maintain pseudonymity. CC ID 04549 | Privacy protection for information and data | Preventive | |
| Provide unlinkability for users and resources. CC ID 04550 | Privacy protection for information and data | Preventive | |
| Collect restricted data in a fair and lawful manner. CC ID 00010 [Personal information is collected consistent with the entity’s privacy commitments and system requirements. P3.1] | Privacy protection for information and data | Preventive | |
| Collect restricted data absent consent for specific and well-documented circumstances. CC ID 00013 | Privacy protection for information and data | Preventive | |
| Collect restricted data absent consent when the data collection is in the individual's interests and consent can not be obtained in a timely manner. CC ID 00014 | Privacy protection for information and data | Preventive | |
| Collect restricted data absent consent when consent compromises data accuracy. CC ID 00015 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent in order to make a disclosure. CC ID 13550 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent for reasonable investigative purposes. CC ID 11801 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent if the collection is consistent with the intended purpose. CC ID 13548 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent when the personal data was produced by the data subject in the course of employment, business, or profession. CC ID 13544 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent for handling insurance claims. CC ID 13543 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent when the data subject has authorized the collection through another individual. CC ID 00016 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 15295 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13614 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent in order to protect the data subject's vital interests. CC ID 15277 | Privacy protection for information and data | Preventive | |
| Collect personal data for public interests absent consent in order to protect historical records or archival records. CC ID 15289 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent to administer a trust fund or benefit plan. CC ID 15292 | Privacy protection for information and data | Preventive | |
| Collect restricted data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00017 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent in order to collect a debt owed by the data subject. CC ID 15293 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent for statistical purposes or research purposes and the data subject is not identified. CC ID 00018 | Privacy protection for information and data | Preventive | |
| Collect restricted data absent consent from publicly available information. CC ID 00019 | Privacy protection for information and data | Preventive | |
| Collect restricted data absent consent when needed by law. CC ID 00020 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent to create a credit report. CC ID 15287 | Privacy protection for information and data | Preventive | |
| Collect restricted data absent consent when no potential harm can come to the data subject. CC ID 00021 | Privacy protection for information and data | Preventive | |
| Collect personal data absent consent when collecting personal data from the data subject is impossible or the data collection involves a disproportionate effort. CC ID 00022 | Privacy protection for information and data | Preventive | |
| Collect the minimum amount of restricted data necessary. CC ID 00078 | Privacy protection for information and data | Preventive | |
| Collect restricted data in a proper information framework. CC ID 00009 [The entity collects and maintains accurate, up-to-date, complete, and relevant personal information consistent with the entity’s privacy commitments and system requirements. P7.1] | Privacy protection for information and data | Preventive | |
| Collect and record restricted data for specific, explicit, and legitimate purposes. CC ID 00027 | Privacy protection for information and data | Preventive | |
| Collect restricted data when required by law. CC ID 00031 | Privacy protection for information and data | Preventive | |
| Collect restricted data to prevent life-threatening emergencies. CC ID 00032 | Privacy protection for information and data | Preventive | |
| Collect restricted data relating solely to nonprofit organization members or individuals who are in regular contact during the nonprofit organization's activities. CC ID 00034 | Privacy protection for information and data | Preventive | |
| Collect restricted data for legal purposes. CC ID 00036 | Privacy protection for information and data | Preventive | |
| Prohibit personal data from being sent by e-mail or instant messaging. CC ID 00565 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain record structures to support information confidentiality. CC ID 00360 | Privacy protection for information and data | Preventive | |
| Automate the disposition process for records that contain "do not store" data or "delete after transaction process" data. CC ID 06083 | Privacy protection for information and data | Preventive | |
| Limit data leakage. CC ID 00356 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain suspicious personal data procedures. CC ID 04853 | Privacy protection for information and data | Detective | |
| Compare certain personal data such as name, date of birth, address, driver's license, or other identification against personal data on file for the applicant. CC ID 04855 | Privacy protection for information and data | Detective | |
| Match consumer reports with current accounts on file to ensure account misuse or information misuse has not occurred. CC ID 04873 | Privacy protection for information and data | Detective | |
| Send change notices for change of address requests to the old address and the new address. CC ID 04877 | Privacy protection for information and data | Detective | |
| Include text about data ownership in the data handling policy. CC ID 15720 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain de-identifying and re-identifying procedures. CC ID 07126 | Privacy protection for information and data | Preventive | |
| Use de-identifying code and re-identifying code that is not derived from or related to information about the data subject. CC ID 07127 | Privacy protection for information and data | Preventive | |
| Store de-identifying code and re-identifying code separately. CC ID 16535 | Privacy protection for information and data | Preventive | |
| Prevent the disclosure of de-identifying code and re-identifying code. CC ID 07128 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's name combined with account numbers or other identifying information as personal data that falls under the breach notification rules. CC ID 04662 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's legal surname prior to marriage as personal data that falls under the breach notification rules. CC ID 04669 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's date of birth as personal data that falls under the breach notification rules. CC ID 04771 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's address as personal data that falls under the breach notification rules. CC ID 04671 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's telephone number as personal data that falls under the breach notification rules. CC ID 04672 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's fingerprints as personal data that falls under the breach notification rules. CC ID 04670 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's Social Security Number or Personal Identification Number as personal data that falls under the breach notification rules. CC ID 04656 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's driver's license number or an individual's state identification card number as personal data that falls under the breach notification rules. CC ID 04657 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's passport number as personal data that falls under the breach notification rules. CC ID 04774 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's Alien Registration Number as personal data that falls under the breach notification rules. CC ID 04775 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's Taxpayer Identification Number as personal data that falls under the breach notification rules. CC ID 04764 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's financial account number as personal data that falls under the breach notification rules. CC ID 04658 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's financial account number with associated password or password hint as personal data that falls under the breach notification rules. CC ID 04660 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's electronic identification name or number as personal data that falls under the breach notification rules. CC ID 04663 | Privacy protection for information and data | Preventive | |
| Include data elements that contain electronic signatures as personal data that falls under the breach notification rules. CC ID 04666 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's biometric data as personal data that falls under the breach notification rules. CC ID 04667 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's account number, password, or password hint as personal data that falls under the breach notification rules. CC ID 04668 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's payment card information as personal data that falls under the breach notification rules. CC ID 04752 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's credit card number or an individual's debit card number as personal data that falls under the breach notification rules. CC ID 04659 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's payment card service code as personal data that falls under the breach notification rules. CC ID 04754 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's payment card expiration date as personal data that falls under the breach notification rules. CC ID 04756 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's payment card full magnetic stripe data as personal data that falls under the breach notification rules. CC ID 04759 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's payment card security codes (Card Authentication Value 2/Card Validation Code Value 2/Card Verification Value 2/Card Identification Number) as personal data that falls under the breach notification rules. CC ID 04760 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's payment card associated password or password hint as personal data that falls under the breach notification rules. CC ID 04661 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's Individually Identifiable Health Information as personal data that falls under the breach notification rules. CC ID 04673 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's medical history as personal data that falls under the breach notification rules. CC ID 04674 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's medical treatment as personal data that falls under the breach notification rules. CC ID 04675 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's medical diagnosis as personal data that falls under the breach notification rules. CC ID 04676 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's mental condition or physical condition as personal data that falls under the breach notification rules. CC ID 04682 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's health insurance information as personal data that falls under the breach notification rules. CC ID 04681 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's health insurance policy number as personal data that falls under the breach notification rules. CC ID 04683 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's health insurance application and health insurance claims history (including appeals) as personal data that falls under the breach notification rules. CC ID 04684 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's employment information as personal data that falls under the breach notification rules. CC ID 04772 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's Employee Identification Number as personal data that falls under the breach notification rules. CC ID 04773 | Privacy protection for information and data | Preventive | |
| Include data elements that contain an individual's place of employment as personal data that falls under the breach notification rules. CC ID 04788 | Privacy protection for information and data | Preventive | |
| Obtain consent from an individual prior to transferring personal data. CC ID 06948 | Privacy protection for information and data | Preventive | |
| Provide an adequate data protection level by the transferee prior to transferring personal data to another country. CC ID 00314 | Privacy protection for information and data | Preventive | |
| Refrain from restricting personal data transfers to member states of the European Union. CC ID 00312 | Privacy protection for information and data | Preventive | |
| Prohibit the transfer of personal data when security is inadequate. CC ID 00345 | Privacy protection for information and data | Preventive | |
| Meet the use of limitation exceptions in order to transfer personal data. CC ID 00346 | Privacy protection for information and data | Preventive | |
| Refrain from transferring past the first transfer. CC ID 00347 | Privacy protection for information and data | Preventive | |
| Allow the data subject the right to object to the personal data transfer. CC ID 00349 | Privacy protection for information and data | Preventive | |
| Include publicly available information as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00316 | Privacy protection for information and data | Preventive | |
| Include transfer agreements between data controllers and third parties when it is for the data subject's interest as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00317 | Privacy protection for information and data | Preventive | |
| Include personal data for the health field and for treatment as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00318 | Privacy protection for information and data | Preventive | |
| Include personal data for journalistic purposes or private purposes as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00319 | Privacy protection for information and data | Preventive | |
| Include personal data for important public interest as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00320 | Privacy protection for information and data | Preventive | |
| Include consent by the data subject as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00321 | Privacy protection for information and data | Preventive | |
| Include personal data used for a contract as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00322 | Privacy protection for information and data | Preventive | |
| Include personal data for protecting the data subject or the data subject's interests, such as saving his/her life or providing healthcare as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00323 | Privacy protection for information and data | Preventive | |
| Include personal data that is necessary to fulfill international law obligations as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00324 | Privacy protection for information and data | Preventive | |
| Include personal data used for legal investigations as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00325 | Privacy protection for information and data | Preventive | |
| Include personal data that is authorized by a legislative act as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00326 | Privacy protection for information and data | Preventive | |
| Require transferees to implement adequate data protection levels for the personal data. CC ID 00335 | Privacy protection for information and data | Preventive | |
| Include personal data that is publicly available information as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00337 | Privacy protection for information and data | Preventive | |
| Include personal data that is used for journalistic purposes or private purposes as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00338 | Privacy protection for information and data | Preventive | |
| Include personal data that is used for important public interest as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00339 | Privacy protection for information and data | Preventive | |
| Include consent by the data subject as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00340 | Privacy protection for information and data | Preventive | |
| Include personal data that is used for a contract as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00341 | Privacy protection for information and data | Preventive | |
| Include personal data that is used for protecting the data subject or the data subject's interests, such as providing healthcare or saving his/her life as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00342 | Privacy protection for information and data | Preventive | |
| Include personal data that is used for a legal investigation as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00343 | Privacy protection for information and data | Preventive | |
| Include personal data that is authorized by a legislative act as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00344 | Privacy protection for information and data | Preventive | |
| Obtain consent prior to storing cookies on an individual's browser. CC ID 06950 | Privacy protection for information and data | Preventive | |
| Obtain consent prior to downloading software to an individual's computer. CC ID 06951 | Privacy protection for information and data | Preventive | |
| Obtain consent prior to tracking Internet traffic patterns or browsing history of an individual. CC ID 06961 | Privacy protection for information and data | Preventive | |
| Develop remedies and sanctions for privacy policy violations. CC ID 00474 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Privacy protection for information and data | Preventive | |
| Implement procedures to file privacy rights violation complaints. CC ID 00476 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Privacy protection for information and data | Corrective | |
| Change or destroy any personal data that is incorrect. CC ID 00462 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Privacy protection for information and data | Corrective | |
| Refrain from updating personal data on a regular basis, unless it is necessary for the purposes it was collected. CC ID 13610 | Privacy protection for information and data | Preventive | |
| Escalate the appeal process to change personal data when the data controller fails to make changes to the disputed data. CC ID 00465 | Privacy protection for information and data | Corrective | |
| Notify individuals of their right to challenge personal data. CC ID 00457 | Privacy protection for information and data | Preventive | |
| Notify individuals of their right to object to personal data for legitimate reasons. CC ID 00458 | Privacy protection for information and data | Preventive | |
| Notify individuals of their ability to object to personal data processing, absent cost. CC ID 00459 | Privacy protection for information and data | Preventive | |
| Investigate the disputed accuracy of personal data. CC ID 00461 | Privacy protection for information and data | Preventive | |
| Order the cessation of data processing when a violation of the privacy policy is detected. CC ID 00475 | Privacy protection for information and data | Corrective | |
| Destroy personal data that breaches privacy after the privacy breach has been detected. CC ID 00503 | Privacy protection for information and data | Corrective | |
| Employ access controls that meet the organization's compliance requirements on third party systems with access to the organization's restricted data. CC ID 04264 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Third Party and supply chain oversight | Detective | |
Establish Roles | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Define and assign the roles and responsibilities for the risk assessment framework, as necessary. CC ID 06456 [Responsibility and accountability for designing, developing, implementing, operating, maintaining, monitoring, and approving the entity’s system controls and other risk mitigation strategies are assigned to individuals within the entity with authority to ensure policies and other system requirements are effectively promulgated and implemented to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy or any combination thereof]. CC1.2] | Audits and risk management | Preventive | |
| Assign Information System access authorizations if implementing segregation of duties. CC ID 06323 | Technical security | Preventive | |
| Use biometric authentication for identification and authentication, as necessary. CC ID 06857 | Technical security | Preventive | |
| Establish and maintain the staff structure in line with the strategic plan. CC ID 00764 | Human Resources management | Preventive | |
| Document and communicate role descriptions to all applicable personnel. CC ID 00776 [Information necessary for designing, developing, implementing, operating, maintaining, and monitoring controls, relevant to the [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] of the system, is provided to personnel to carry out their responsibilities. CC2.4 {internal users} The responsibilities of internal and external users and others whose roles affect system operation are communicated to those parties. CC2.3 {internal users} The responsibilities of internal and external users and others whose roles affect system operation are communicated to those parties. CC2.3] | Human Resources management | Detective | |
| Assign ownership of the internal control framework to the appropriate organizational role. CC ID 06437 | Operational management | Preventive | |
| Define and assign the roles and responsibilities for interested personnel and affected parties when establishing, implementing, and maintaining the internal control framework. CC ID 07146 | Operational management | Preventive | |
| Assign ownership of the information security program to the appropriate role. CC ID 00814 | Operational management | Preventive | |
| Establish, implement, and maintain data processing integrity controls. CC ID 00923 [Procedures exist to prevent, or detect and correct, processing errors to meet the entity’s processing integrity commitments and system requirements. PI1.1 Modification of data, other than routine transaction processing, is authorized and processed to meet with the entity’s processing integrity commitments and system requirements. PI1.6] | Records management | Preventive | |
| Define and assign the system development project team roles and responsibilities. CC ID 01061 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Disseminate and communicate system development roles and responsibilities to interested personnel and affected parties. CC ID 01062 | Systems design, build, and implementation | Preventive | |
| Disseminate and communicate system development roles and responsibilities to business unit leaders. CC ID 01063 | Systems design, build, and implementation | Preventive | |
| Include roles and responsibilities in the registration notice. CC ID 16803 | Privacy protection for information and data | Preventive | |
| Require data controllers to be accountable for their actions. CC ID 00470 | Privacy protection for information and data | Preventive | |
| Process restricted data lawfully and carefully. CC ID 00086 | Privacy protection for information and data | Preventive | |
Establish/Maintain Documentation | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Establish, implement, and maintain organizational objectives. CC ID 09959 | Leadership and high level objectives | Preventive | |
| Document and communicate the linkage between organizational objectives, functions, activities, and general controls. CC ID 12398 [The entity's [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. CC2.2] | Leadership and high level objectives | Preventive | |
| Establish, implement, and maintain a risk monitoring program. CC ID 00658 | Monitoring and measurement | Preventive | |
| Establish, implement, and maintain a compliance monitoring policy. CC ID 00671 | Monitoring and measurement | Preventive | |
| Establish, implement, and maintain a metrics policy. CC ID 01654 | Monitoring and measurement | Preventive | |
| Establish, implement, and maintain an approach for compliance monitoring. CC ID 01653 | Monitoring and measurement | Preventive | |
| Identify and document instances of non-compliance with the compliance framework. CC ID 06499 | Monitoring and measurement | Preventive | |
| Identify and document events surrounding non-compliance with the organizational compliance framework. CC ID 12935 | Monitoring and measurement | Preventive | |
| Establish, implement, and maintain disciplinary action notices. CC ID 16577 | Monitoring and measurement | Preventive | |
| Include a copy of the order in the disciplinary action notice. CC ID 16606 | Monitoring and measurement | Preventive | |
| Include the sanctions imposed in the disciplinary action notice. CC ID 16599 | Monitoring and measurement | Preventive | |
| Include the effective date of the sanctions in the disciplinary action notice. CC ID 16589 | Monitoring and measurement | Preventive | |
| Include the requirements that were violated in the disciplinary action notice. CC ID 16588 | Monitoring and measurement | Preventive | |
| Include responses to charges from interested personnel and affected parties in the disciplinary action notice. CC ID 16587 | Monitoring and measurement | Preventive | |
| Include the reasons for imposing sanctions in the disciplinary action notice. CC ID 16586 | Monitoring and measurement | Preventive | |
| Include required information in the disciplinary action notice. CC ID 16584 | Monitoring and measurement | Preventive | |
| Include a justification for actions taken in the disciplinary action notice. CC ID 16583 | Monitoring and measurement | Preventive | |
| Include a statement on the conclusions of the investigation in the disciplinary action notice. CC ID 16582 | Monitoring and measurement | Preventive | |
| Include the investigation results in the disciplinary action notice. CC ID 16581 | Monitoring and measurement | Preventive | |
| Include a description of the causes of the actions taken in the disciplinary action notice. CC ID 16580 | Monitoring and measurement | Preventive | |
| Include the name of the person responsible for the charges in the disciplinary action notice. CC ID 16579 | Monitoring and measurement | Preventive | |
| Include contact information in the disciplinary action notice. CC ID 16578 | Monitoring and measurement | Preventive | |
| Establish, implement, and maintain an audit program. CC ID 00684 | Audits and risk management | Preventive | |
| Implement a corrective action plan in response to the audit report. CC ID 06777 [The design and operating effectiveness of controls are periodically evaluated against the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], and corrections and other necessary actions relating to identified deficiencies are taken in a timely manner. CC4.1] | Audits and risk management | Corrective | |
| Define penalties for uncorrected audit findings or remaining non-compliant with the audit report. CC ID 08963 | Audits and risk management | Preventive | |
| Establish, implement, and maintain a risk management program. CC ID 12051 | Audits and risk management | Preventive | |
| Establish, implement, and maintain the risk assessment framework. CC ID 00685 | Audits and risk management | Preventive | |
| Establish, implement, and maintain a risk assessment program. CC ID 00687 | Audits and risk management | Preventive | |
| Establish, implement, and maintain risk assessment procedures. CC ID 06446 | Audits and risk management | Preventive | |
| Employ risk assessment procedures that include appropriate risk treatment options for each identified risk. CC ID 06484 [The entity determines mitigation strategies for those risks (including implementation of controls, assessment and monitoring of vendors and other third parties providing goods or services, as well as their activities, and other mitigation strategies), CC3.1(3)] | Audits and risk management | Preventive | |
| Establish, implement, and maintain a threat and risk classification scheme. CC ID 07183 | Audits and risk management | Preventive | |
| Update the risk assessment upon changes to the risk profile. CC ID 11627 [The entity identifies and assesses changes (for example, environmental, regulatory, and technological changes and results of the assessment and monitoring of controls) that could significantly affect the system of internal control, and CC3.1(4) The entity reassesses, and revises, as necessary, risk assessments and mitigation strategies based on the identified changes. CC3.1(5)] | Audits and risk management | Detective | |
| Document any reasons for modifying or refraining from modifying the organization's risk assessment when the risk assessment has been reviewed. CC ID 13312 | Audits and risk management | Preventive | |
| Establish a risk acceptance level that is appropriate to the organization's risk appetite. CC ID 00706 | Audits and risk management | Preventive | |
| Select the appropriate risk treatment option for each identified risk in the risk register. CC ID 06483 | Audits and risk management | Preventive | |
| Perform a gap analysis to review in scope controls for identified risks and implement new controls, as necessary. CC ID 00704 [The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2 The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2 Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Audits and risk management | Detective | |
| Document the results of the gap analysis. CC ID 16271 | Audits and risk management | Preventive | |
| Establish, implement, and maintain a risk treatment plan. CC ID 11983 | Audits and risk management | Preventive | |
| Include the risk treatment strategy in the risk treatment plan. CC ID 12159 | Audits and risk management | Preventive | |
| Revise the risk treatment strategies in the risk treatment plan, as necessary. CC ID 12552 [The entity reassesses, and revises, as necessary, risk assessments and mitigation strategies based on the identified changes. CC3.1(5)] | Audits and risk management | Corrective | |
| Include the implemented risk management controls in the risk treatment plan. CC ID 11979 [The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2] | Audits and risk management | Preventive | |
| Establish, implement, and maintain an access control program. CC ID 11702 [{internal users} Logical access controls support: identification and authentication of authorized internal and external users; CC5.1(1)] | Technical security | Preventive | |
| Include instructions to change authenticators as often as necessary in the access control program. CC ID 11931 | Technical security | Preventive | |
| Include guidance for how users should protect their authentication credentials in the access control program. CC ID 11929 | Technical security | Preventive | |
| Include guidance on selecting authentication credentials in the access control program. CC ID 11928 | Technical security | Preventive | |
| Establish, implement, and maintain access control policies. CC ID 00512 | Technical security | Preventive | |
| Include compliance requirements in the access control policy. CC ID 14006 | Technical security | Preventive | |
| Include coordination amongst entities in the access control policy. CC ID 14005 | Technical security | Preventive | |
| Include management commitment in the access control policy. CC ID 14004 | Technical security | Preventive | |
| Include roles and responsibilities in the access control policy. CC ID 14003 | Technical security | Preventive | |
| Include the scope in the access control policy. CC ID 14002 | Technical security | Preventive | |
| Include the purpose in the access control policy. CC ID 14001 | Technical security | Preventive | |
| Document the business need justification for user accounts. CC ID 15490 | Technical security | Preventive | |
| Establish, implement, and maintain an instant messaging and chat system usage policy. CC ID 11815 | Technical security | Preventive | |
| Disseminate and communicate the access control policies to all interested personnel and affected parties. CC ID 10061 | Technical security | Preventive | |
| Establish, implement, and maintain an access rights management plan. CC ID 00513 | Technical security | Preventive | |
| Inventory all user accounts. CC ID 13732 | Technical security | Preventive | |
| Add all devices requiring access control to the Access Control List. CC ID 06264 | Technical security | Preventive | |
| Include the objects and users subject to access control in the security policy. CC ID 11836 | Technical security | Preventive | |
| Establish, implement, and maintain a system use agreement for each information system. CC ID 06500 | Technical security | Preventive | |
| Accept and sign the system use agreement before data or system access is enabled. CC ID 06501 | Technical security | Preventive | |
| Document actions that can be performed on an information system absent identification and authentication of the user. CC ID 06771 | Technical security | Preventive | |
| Establish and maintain a Digital Rights Management program. CC ID 07093 | Technical security | Preventive | |
| Establish, implement, and maintain an authority for access authorization list. CC ID 06782 | Technical security | Preventive | |
| Establish, implement, and maintain a password policy. CC ID 16346 | Technical security | Preventive | |
| Disseminate and communicate the password policies and password procedures to all users who have access to restricted data or restricted information. CC ID 00518 | Technical security | Preventive | |
| Establish, implement, and maintain biometric collection procedures. CC ID 15419 | Technical security | Preventive | |
| Document the business need justification for authentication data storage. CC ID 06325 | Technical security | Preventive | |
| Establish, implement, and maintain access control procedures. CC ID 11663 [Logical access security software, infrastructure, and architectures have been implemented to support CC5.1] | Technical security | Preventive | |
| Document approving and granting access in the access control log. CC ID 06786 | Technical security | Preventive | |
| Include the user identifiers of all personnel who are authorized to access a system in the system record. CC ID 15171 | Technical security | Preventive | |
| Include identity information of all personnel who are authorized to access a system in the system record. CC ID 16406 | Technical security | Preventive | |
| Include the date and time that access rights were changed in the system record. CC ID 16415 | Technical security | Preventive | |
| Establish, implement, and maintain an identification and authentication policy. CC ID 14033 | Technical security | Preventive | |
| Include the purpose in the identification and authentication policy. CC ID 14234 | Technical security | Preventive | |
| Include the scope in the identification and authentication policy. CC ID 14232 | Technical security | Preventive | |
| Include roles and responsibilities in the identification and authentication policy. CC ID 14230 | Technical security | Preventive | |
| Include management commitment in the identification and authentication policy. CC ID 14229 | Technical security | Preventive | |
| Include coordination amongst entities in the identification and authentication policy. CC ID 14227 | Technical security | Preventive | |
| Include compliance requirements in the identification and authentication policy. CC ID 14225 | Technical security | Preventive | |
| Establish, implement, and maintain identification and authentication procedures. CC ID 14053 | Technical security | Preventive | |
| Include instructions to refrain from using previously used authenticators in the access control program. CC ID 11930 | Technical security | Preventive | |
| Establish and maintain a memorized secret list. CC ID 13791 | Technical security | Preventive | |
| Establish, implement, and maintain a Boundary Defense program. CC ID 00544 | Technical security | Preventive | |
| Establish, implement, and maintain a malicious code protection program. CC ID 00574 | Technical security | Preventive | |
| Establish, implement, and maintain a physical security program. CC ID 11757 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain a facility physical security program. CC ID 00711 | Physical and environmental protection | Preventive | |
| Identify and document physical access controls for all physical entry points. CC ID 01637 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain physical access procedures. CC ID 13629 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain a visitor access permission policy. CC ID 06699 | Physical and environmental protection | Preventive | |
| Escort visitors within the facility, as necessary. CC ID 06417 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain procedures for changing a visitor's access requirements. CC ID 12048 | Physical and environmental protection | Preventive | |
| Maintain and review facility access lists of personnel who have been granted authorized entry to (and within) facilities that contain restricted data or restricted information. CC ID 01436 | Physical and environmental protection | Preventive | |
| Authorize physical access to sensitive areas based on job functions. CC ID 12462 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain physical identification procedures. CC ID 00713 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain lost or damaged identification card procedures, as necessary. CC ID 14819 | Physical and environmental protection | Preventive | |
| Document all lost badges in a lost badge list. CC ID 12448 | Physical and environmental protection | Corrective | |
| Establish, implement, and maintain identification issuance procedures for identification cards or badges. CC ID 06598 | Physical and environmental protection | Preventive | |
| Include error handling controls in identification issuance procedures. CC ID 13709 | Physical and environmental protection | Preventive | |
| Include information security in the identification issuance procedures. CC ID 15425 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain post-issuance update procedures for identification cards or badges. CC ID 15426 | Physical and environmental protection | Preventive | |
| Include an identity registration process in the identification issuance procedures. CC ID 11671 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain identification renewal procedures for identification cards or badges. CC ID 06599 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain identification re-issuing procedures for identification cards or badges. CC ID 06596 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain identification mechanism termination procedures. CC ID 06306 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain clean energy standards. CC ID 16285 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain environmental control procedures. CC ID 12246 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain facility maintenance procedures. CC ID 00710 | Physical and environmental protection | Preventive | |
| Define selection criteria for facility locations. CC ID 06351 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain facility demolition procedures. CC ID 16133 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain work environment requirements. CC ID 06613 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain system cleanliness requirements. CC ID 06614 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain a fire prevention and fire suppression standard. CC ID 06695 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain electromagnetic compatibility requirements for in scope assets. CC ID 16472 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain a business continuity program. CC ID 13210 | Operational and Systems Continuity | Preventive | |
| Establish, implement, and maintain system continuity plan strategies. CC ID 00735 | Operational and Systems Continuity | Preventive | |
| Include damaged site continuity procedures that cover continuing operations in a partially functional primary facility in the continuity plan. CC ID 01374 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Preventive | |
| Establish, implement, and maintain at-risk structure removal or relocation procedures. CC ID 01247 | Operational and Systems Continuity | Preventive | |
| Include technical preparation considerations for backup operations in the continuity plan. CC ID 01250 | Operational and Systems Continuity | Preventive | |
| Outline explicit mitigation actions for potential off-site electronic media storage facilities accessibility issues for when area-wide disruptions occur or area-wide disasters occur. CC ID 01393 | Operational and Systems Continuity | Preventive | |
| Document the Recovery Point Objective for triggering backup operations and restoration operations. CC ID 01259 | Operational and Systems Continuity | Preventive | |
| Log the execution of each backup. CC ID 00956 | Operational and Systems Continuity | Preventive | |
| Digitally sign disk images, as necessary. CC ID 06814 | Operational and Systems Continuity | Preventive | |
| Include coverage for alternate facilities for all offices in contingency arrangements. CC ID 00746 | Operational and Systems Continuity | Preventive | |
| Establish, implement, and maintain Service Level Agreements for all alternate facilities. CC ID 00745 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Preventive | |
| Include recovery time in Service Level Agreements for all alternate facilities. CC ID 16331 | Operational and Systems Continuity | Preventive | |
| Include priority-of-service provisions in Service Level Agreements for all alternate facilities. CC ID 16330 | Operational and Systems Continuity | Preventive | |
| Include backup media transportation in Service Level Agreements for alternate facilities. CC ID 16329 | Operational and Systems Continuity | Preventive | |
| Include transportation services in Service Level Agreements for alternate facilities. CC ID 16328 | Operational and Systems Continuity | Preventive | |
| Include that the shared service provider will not oversubscribe their services in the Service Level Agreement. CC ID 04892 | Operational and Systems Continuity | Preventive | |
| Include emergency scalability for services, capacity, and capability in the shared service provider's Service Level Agreement. CC ID 04893 | Operational and Systems Continuity | Preventive | |
| Establish, implement, and maintain Memorandums Of Understanding for all alternate facilities. CC ID 11695 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Preventive | |
| Include predefined goals and realistic conditions during off-site testing. CC ID 01175 | Operational and Systems Continuity | Preventive | |
| Establish, implement, and maintain a personnel management program. CC ID 14018 | Human Resources management | Preventive | |
| Establish, implement, and maintain a personnel security program. CC ID 10628 | Human Resources management | Preventive | |
| Establish, implement, and maintain personnel screening procedures. CC ID 11700 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Human Resources management | Preventive | |
| Perform a criminal records check during personnel screening. CC ID 06643 | Human Resources management | Preventive | |
| Document any reasons a full criminal records check could not be performed. CC ID 13305 | Human Resources management | Preventive | |
| Perform an academic records check during personnel screening. CC ID 06647 | Human Resources management | Preventive | |
| Establish, implement, and maintain personnel status change and termination procedures. CC ID 06549 | Human Resources management | Preventive | |
| Establish, implement, and maintain training plans. CC ID 00828 | Human Resources management | Preventive | |
| Establish, implement, and maintain a security awareness program. CC ID 11746 | Human Resources management | Preventive | |
| Establish, implement, and maintain a Code of Conduct. CC ID 04897 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Human Resources management | Preventive | |
| Establish, implement, and maintain a code of conduct for financial recommendations. CC ID 16649 | Human Resources management | Preventive | |
| Include anti-coercion requirements and anti-tying requirements in the Code of Conduct. CC ID 16720 | Human Resources management | Preventive | |
| Include classifications of ethics violations in the Code of Conduct. CC ID 14769 | Human Resources management | Preventive | |
| Include definitions of ethics violations in the Code of Conduct. CC ID 14768 | Human Resources management | Preventive | |
| Include exercising due professional care in the Code of Conduct. CC ID 14210 | Human Resources management | Preventive | |
| Include health and safety provisions in the Code of Conduct. CC ID 16206 | Human Resources management | Preventive | |
| Include key policies in the Code of Conduct. CC ID 12890 | Human Resources management | Preventive | |
| Include responsibilities to the public trust in the Code of Conduct. CC ID 14209 | Human Resources management | Preventive | |
| Include the vision statement in the Code of Conduct. CC ID 12889 | Human Resources management | Preventive | |
| Include the organization's mission in the Code of Conduct. CC ID 12875 | Human Resources management | Preventive | |
| Include classifications of desired conduct in the Code of Conduct. CC ID 12851 | Human Resources management | Preventive | |
| Include environmental responsibility criteria in the Code of Conduct. CC ID 16209 | Human Resources management | Preventive | |
| Include social responsibility criteria in the Code of Conduct. CC ID 16210 | Human Resources management | Preventive | |
| Include that Information Security responsibilities extend outside normal business hours and organizational facilities in the Terms and Conditions of employment. CC ID 04580 | Human Resources management | Preventive | |
| Include labor rights criteria in the Code of Conduct. CC ID 16208 | Human Resources management | Preventive | |
| Include the employee's legal responsibilities and rights in the Terms and Conditions of employment. CC ID 15701 | Human Resources management | Preventive | |
| Include the legal intellectual property responsibilities in the Code of Conduct. CC ID 04898 | Human Resources management | Detective | |
| Include definitions of desirable conduct in the Code of Conduct. CC ID 12846 | Human Resources management | Preventive | |
| Include notification procedures for allegations of undesirable conduct in the Code of Conduct. CC ID 12855 | Human Resources management | Preventive | |
| Include procedures to identify positive outcomes in the Code of Conduct. CC ID 12854 | Human Resources management | Preventive | |
| Require personnel to sign the Code of Conduct as a part of the Terms and Conditions of employment. CC ID 06664 | Human Resources management | Preventive | |
| Require all personnel to re-sign the Code of Conduct, as necessary. CC ID 06666 | Human Resources management | Preventive | |
| Analyze the documentation produced by staff during the performance review. CC ID 07207 | Human Resources management | Detective | |
| Establish, implement, and maintain a capacity management plan. CC ID 11751 | Operational management | Preventive | |
| Establish, implement, and maintain a Governance, Risk, and Compliance framework. CC ID 01406 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Operational management | Preventive | |
| Include enterprise architecture in the Governance, Risk, and Compliance framework. CC ID 13266 | Operational management | Preventive | |
| Establish, implement, and maintain security requirements based on applicable regulations. CC ID 16283 | Operational management | Preventive | |
| Establish, implement, and maintain a prioritized plan for updating the Governance, Risk, and Compliance framework. CC ID 12853 | Operational management | Preventive | |
| Establish, implement, and maintain a compliance policy. CC ID 14807 | Operational management | Preventive | |
| Include the standard of conduct and accountability in the compliance policy. CC ID 14813 | Operational management | Preventive | |
| Include the scope in the compliance policy. CC ID 14812 | Operational management | Preventive | |
| Include roles and responsibilities in the compliance policy. CC ID 14811 | Operational management | Preventive | |
| Include a commitment to continual improvement in the compliance policy. CC ID 14810 | Operational management | Preventive | |
| Include management commitment in the compliance policy. CC ID 14808 | Operational management | Preventive | |
| Establish, implement, and maintain a governance policy. CC ID 15587 | Operational management | Preventive | |
| Include a commitment to continuous improvement in the governance policy. CC ID 15595 | Operational management | Preventive | |
| Include roles and responsibilities in the governance policy. CC ID 15594 | Operational management | Preventive | |
| Establish, implement, and maintain an internal control framework. CC ID 00820 | Operational management | Preventive | |
| Include the business need justification for excluding controls in the baseline of internal controls. CC ID 16129 | Operational management | Preventive | |
| Include the implementation status of controls in the baseline of internal controls. CC ID 16128 | Operational management | Preventive | |
| Include procedures for continuous quality improvement in the internal control framework. CC ID 00819 | Operational management | Preventive | |
| Include continuous service account management procedures in the internal control framework. CC ID 13860 | Operational management | Preventive | |
| Include threat assessment in the internal control framework. CC ID 01347 | Operational management | Preventive | |
| Include vulnerability management and risk assessment in the internal control framework. CC ID 13102 | Operational management | Preventive | |
| Include personnel security procedures in the internal control framework. CC ID 01349 | Operational management | Preventive | |
| Include continuous security warning monitoring procedures in the internal control framework. CC ID 01358 | Operational management | Preventive | |
| Include incident alert thresholds in the continuous security warning monitoring procedures. CC ID 13205 | Operational management | Preventive | |
| Include security information sharing procedures in the internal control framework. CC ID 06489 | Operational management | Preventive | |
| Include security incident response procedures in the internal control framework. CC ID 01359 | Operational management | Preventive | |
| Include incident response escalation procedures in the internal control framework. CC ID 11745 | Operational management | Preventive | |
| Include continuous user account management procedures in the internal control framework. CC ID 01360 | Operational management | Preventive | |
| Include emergency response procedures in the internal control framework. CC ID 06779 | Operational management | Detective | |
| Authorize and document all exceptions to the internal control framework. CC ID 06781 | Operational management | Preventive | |
| Establish, implement, and maintain a cybersecurity policy. CC ID 16833 | Operational management | Preventive | |
| Establish, implement, and maintain an information security program. CC ID 00812 | Operational management | Preventive | |
| Include physical safeguards in the information security program. CC ID 12375 | Operational management | Preventive | |
| Include technical safeguards in the information security program. CC ID 12374 | Operational management | Preventive | |
| Include administrative safeguards in the information security program. CC ID 12373 | Operational management | Preventive | |
| Include system development in the information security program. CC ID 12389 | Operational management | Preventive | |
| Include system maintenance in the information security program. CC ID 12388 | Operational management | Preventive | |
| Include system acquisition in the information security program. CC ID 12387 | Operational management | Preventive | |
| Include access control in the information security program. CC ID 12386 | Operational management | Preventive | |
| Include operations management in the information security program. CC ID 12385 | Operational management | Preventive | |
| Include communication management in the information security program. CC ID 12384 | Operational management | Preventive | |
| Include environmental security in the information security program. CC ID 12383 | Operational management | Preventive | |
| Include physical security in the information security program. CC ID 12382 | Operational management | Preventive | |
| Include human resources security in the information security program. CC ID 12381 | Operational management | Preventive | |
| Include asset management in the information security program. CC ID 12380 | Operational management | Preventive | |
| Include a continuous monitoring program in the information security program. CC ID 14323 | Operational management | Preventive | |
| Include change management procedures in the continuous monitoring plan. CC ID 16227 | Operational management | Preventive | |
| include recovery procedures in the continuous monitoring plan. CC ID 16226 | Operational management | Preventive | |
| Include mechanisms for decommissioning a system in the continuous monitoring plan. CC ID 16225 | Operational management | Preventive | |
| Include mechanisms for appeal and override in the continuous monitoring plan. CC ID 16223 | Operational management | Preventive | |
| Include how the information security department is organized in the information security program. CC ID 12379 | Operational management | Preventive | |
| Include risk management in the information security program. CC ID 12378 | Operational management | Preventive | |
| Include mitigating supply chain risks in the information security program. CC ID 13352 | Operational management | Preventive | |
| Establish, implement, and maintain an information security policy. CC ID 11740 | Operational management | Preventive | |
| Include business processes in the information security policy. CC ID 16326 | Operational management | Preventive | |
| Include the information security strategy in the information security policy. CC ID 16125 | Operational management | Preventive | |
| Include a commitment to continuous improvement in the information security policy. CC ID 16123 | Operational management | Preventive | |
| Include roles and responsibilities in the information security policy. CC ID 16120 | Operational management | Preventive | |
| Include a commitment to the information security requirements in the information security policy. CC ID 13496 | Operational management | Preventive | |
| Include information security objectives in the information security policy. CC ID 13493 | Operational management | Preventive | |
| Include the use of Cloud Services in the information security policy. CC ID 13146 | Operational management | Preventive | |
| Include notification procedures in the information security policy. CC ID 16842 | Operational management | Preventive | |
| Describe the group activities that protect restricted data in the information security procedures. CC ID 12294 | Operational management | Preventive | |
| Document the roles and responsibilities for all activities that protect restricted data in the information security procedures. CC ID 12304 | Operational management | Preventive | |
| Assign information security responsibilities to interested personnel and affected parties in the information security program. CC ID 11885 | Operational management | Preventive | |
| Establish, implement, and maintain a social media governance program. CC ID 06536 | Operational management | Preventive | |
| Include instant messaging, texting, and tweeting in the social media acceptable use policy. CC ID 04578 | Operational management | Preventive | |
| Include explicit restrictions in the social media acceptable use policy. CC ID 06655 | Operational management | Preventive | |
| Include contributive content sites in the social media acceptable use policy. CC ID 06656 | Operational management | Preventive | |
| Establish, implement, and maintain operational control procedures. CC ID 00831 | Operational management | Preventive | |
| Include assigning and approving operations in operational control procedures. CC ID 06382 | Operational management | Preventive | |
| Include startup processes in operational control procedures. CC ID 00833 | Operational management | Preventive | |
| Include change control processes in the operational control procedures. CC ID 16793 | Operational management | Preventive | |
| Establish and maintain a data processing run manual. CC ID 00832 | Operational management | Preventive | |
| Establish, implement, and maintain a Standard Operating Procedures Manual. CC ID 00826 | Operational management | Preventive | |
| Include metrics in the standard operating procedures manual. CC ID 14988 | Operational management | Preventive | |
| Include maintenance measures in the standard operating procedures manual. CC ID 14986 | Operational management | Preventive | |
| Include the expected lifetime of the system in the standard operating procedures manual. CC ID 14984 | Operational management | Preventive | |
| Include technical measures used to interpret output in the standard operating procedures manual. CC ID 14982 | Operational management | Preventive | |
| Include predetermined changes in the standard operating procedures manual. CC ID 14977 | Operational management | Preventive | |
| Include specifications for input data in the standard operating procedures manual. CC ID 14975 | Operational management | Preventive | |
| Include risks to health and safety or fundamental rights in the standard operating procedures manual. CC ID 14973 | Operational management | Preventive | |
| Include circumstances that may impact the system in the standard operating procedures manual. CC ID 14972 | Operational management | Preventive | |
| Include what the system was tested and validated for in the standard operating procedures manual. CC ID 14969 | Operational management | Preventive | |
| Include the intended purpose in the standard operating procedures manual. CC ID 14967 | Operational management | Preventive | |
| Include information on system performance in the standard operating procedures manual. CC ID 14965 | Operational management | Preventive | |
| Include contact details in the standard operating procedures manual. CC ID 14962 | Operational management | Preventive | |
| Update operating procedures that contribute to user errors. CC ID 06935 | Operational management | Corrective | |
| Establish, implement, and maintain a job scheduling methodology. CC ID 00834 | Operational management | Preventive | |
| Establish and maintain a job schedule exceptions list. CC ID 00835 | Operational management | Preventive | |
| Establish, implement, and maintain a data processing continuity plan. CC ID 00836 | Operational management | Preventive | |
| Establish, implement, and maintain Voice over Internet Protocol operating procedures. CC ID 04583 | Operational management | Preventive | |
| Establish, implement, and maintain the Acceptable Use Policy. CC ID 01350 | Operational management | Preventive | |
| Include that explicit management authorization must be given for the use of all technologies and their documentation in the Acceptable Use Policy. CC ID 01351 | Operational management | Preventive | |
| Include requiring users to protect restricted data in accordance with the Governance, Risk, and Compliance framework in the Acceptable Use Policy. CC ID 11894 | Operational management | Preventive | |
| Include Bring Your Own Device agreements in the Acceptable Use Policy. CC ID 15703 | Operational management | Preventive | |
| Include the obligations of users in the Bring Your Own Device agreement. CC ID 15708 | Operational management | Preventive | |
| Include the rights of the organization in the Bring Your Own Device agreement. CC ID 15707 | Operational management | Preventive | |
| Include the circumstances in which the organization may confiscate, audit, or inspect assets in the Bring Your Own Device agreement. CC ID 15706 | Operational management | Preventive | |
| Include the circumstances in which the organization may manage assets in the Bring Your Own Device agreement. CC ID 15705 | Operational management | Preventive | |
| Include Bring Your Own Device usage in the Acceptable Use Policy. CC ID 12293 | Operational management | Preventive | |
| Include a web usage policy in the Acceptable Use Policy. CC ID 16496 | Operational management | Preventive | |
| Include Bring Your Own Device security guidelines in the Acceptable Use Policy. CC ID 01352 | Operational management | Preventive | |
| Include asset tags in the Acceptable Use Policy. CC ID 01354 | Operational management | Preventive | |
| Specify the owner of applicable assets in the Acceptable Use Policy. CC ID 15699 | Operational management | Preventive | |
| Include asset use policies in the Acceptable Use Policy. CC ID 01355 | Operational management | Preventive | |
| Include authority for access authorization lists for assets in all relevant Acceptable Use Policies. CC ID 11872 | Operational management | Preventive | |
| Include access control mechanisms in the Acceptable Use Policy. CC ID 01353 | Operational management | Preventive | |
| Include prohibiting the copying or moving of restricted data from its original source onto local hard drives or removable storage media in the Acceptable Use Policy. CC ID 11893 | Operational management | Preventive | |
| Correlate the Acceptable Use Policy with the network security policy. CC ID 01356 | Operational management | Preventive | |
| Include appropriate network locations for each technology in the Acceptable Use Policy. CC ID 11881 | Operational management | Preventive | |
| Correlate the Acceptable Use Policy with the approved product list. CC ID 01357 | Operational management | Preventive | |
| Include facility access and facility use in the Acceptable Use Policy. CC ID 06441 | Operational management | Preventive | |
| Include disciplinary actions in the Acceptable Use Policy. CC ID 00296 | Operational management | Corrective | |
| Include the usage restrictions of mobile code technologies in the Acceptable Use Policy. CC ID 15311 | Operational management | Preventive | |
| Include a software installation policy in the Acceptable Use Policy. CC ID 06749 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational management | Preventive | |
| Document idle session termination and logout for remote access technologies in the Acceptable Use Policy. CC ID 12472 | Operational management | Preventive | |
| Require interested personnel and affected parties to sign Acceptable Use Policies. CC ID 06661 | Operational management | Preventive | |
| Require interested personnel and affected parties to re-sign Acceptable Use Policies, as necessary. CC ID 06663 | Operational management | Preventive | |
| Establish, implement, and maintain an Intellectual Property Right program. CC ID 00821 | Operational management | Preventive | |
| Establish, implement, and maintain Intellectual Property Rights protection procedures. CC ID 11512 | Operational management | Preventive | |
| Protect against circumvention of the organization's Intellectual Property Rights. CC ID 11513 | Operational management | Preventive | |
| Establish, implement, and maintain an e-mail policy. CC ID 06439 | Operational management | Preventive | |
| Include business use of personal e-mail in the e-mail policy. CC ID 14381 | Operational management | Preventive | |
| Protect policies, standards, and procedures from unauthorized modification or disclosure. CC ID 10603 | Operational management | Preventive | |
| Establish, implement, and maintain nondisclosure agreements. CC ID 04536 | Operational management | Preventive | |
| Require interested personnel and affected parties to sign nondisclosure agreements. CC ID 06667 | Operational management | Preventive | |
| Require interested personnel and affected parties to re-sign nondisclosure agreements, as necessary. CC ID 06669 | Operational management | Preventive | |
| Establish, implement, and maintain a use of information agreement. CC ID 06215 | Operational management | Preventive | |
| Include use limitations in the use of information agreement. CC ID 06244 | Operational management | Preventive | |
| Include disclosure requirements in the use of information agreement. CC ID 11735 | Operational management | Preventive | |
| Include information recipients in the use of information agreement. CC ID 06245 | Operational management | Preventive | |
| Include reporting out of scope use of information in the use of information agreement. CC ID 06246 | Operational management | Preventive | |
| Include disclosure of information in the use of information agreement. CC ID 11830 | Operational management | Preventive | |
| Include information security procedures assigned to the information recipient in the use of information agreement. CC ID 07130 | Operational management | Preventive | |
| Include information security procedures assigned to the originator in the use of information agreement. CC ID 14418 | Operational management | Preventive | |
| Include a do not contact rule for the individuals identified in a data set in the use of information agreement. CC ID 07131 | Operational management | Preventive | |
| Include the information recipient's third parties accepting the agreement in the use of information agreement. CC ID 07132 | Operational management | Preventive | |
| Comply with all implemented policies in the organization's compliance framework. CC ID 06384 | Operational management | Preventive | |
| Establish, implement, and maintain a software accountability policy. CC ID 00868 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational management | Preventive | |
| Establish, implement, and maintain software asset management procedures. CC ID 00895 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational management | Preventive | |
| Establish, implement, and maintain software archives procedures. CC ID 00866 | Operational management | Preventive | |
| Establish, implement, and maintain software distribution procedures. CC ID 00894 | Operational management | Preventive | |
| Establish, implement, and maintain software documentation management procedures. CC ID 06395 | Operational management | Preventive | |
| Establish, implement, and maintain software license management procedures. CC ID 06639 | Operational management | Preventive | |
| Establish, implement, and maintain a system preventive maintenance program. CC ID 00885 | Operational management | Preventive | |
| Establish, implement, and maintain a customer service program. CC ID 00846 | Operational management | Preventive | |
| Include detection procedures in the Incident Management program. CC ID 00588 | Operational management | Preventive | |
| Document the incident and any relevant evidence in the incident report. CC ID 08659 [[Insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] incidents, including logical and physical security breaches, failures, and identified vulnerabilities, are identified and reported to appropriate personnel and acted on in accordance with established incident response procedures to meet the entity’s commitments and system requirements. CC6.2] | Operational management | Detective | |
| Share data loss event information with interconnected system owners. CC ID 01209 | Operational management | Corrective | |
| Document the justification for not reporting incidents to interested personnel and affected parties. CC ID 16547 | Operational management | Preventive | |
| Include data loss event notifications in the Incident Response program. CC ID 00364 | Operational management | Preventive | |
| Include required information in the written request to delay the notification to affected parties. CC ID 16785 | Operational management | Preventive | |
| Design the text of the notice for all incident response notifications to be no smaller than 10-point type. CC ID 12985 | Operational management | Preventive | |
| Establish, implement, and maintain incident response notifications. CC ID 12975 | Operational management | Corrective | |
| Include information required by law in incident response notifications. CC ID 00802 | Operational management | Detective | |
| Title breach notifications "Notice of Data Breach". CC ID 12977 | Operational management | Preventive | |
| Display titles of incident response notifications clearly and conspicuously. CC ID 12986 | Operational management | Preventive | |
| Display headings in incident response notifications clearly and conspicuously. CC ID 12987 | Operational management | Preventive | |
| Design the incident response notification to call attention to its nature and significance. CC ID 12984 | Operational management | Preventive | |
| Use plain language to write incident response notifications. CC ID 12976 | Operational management | Preventive | |
| Include directions for changing the user's authenticator or security questions and answers in the breach notification. CC ID 12983 | Operational management | Preventive | |
| Include the affected parties rights in the incident response notification. CC ID 16811 | Operational management | Preventive | |
| Include details of the investigation in incident response notifications. CC ID 12296 | Operational management | Preventive | |
| Include the issuer's name in incident response notifications. CC ID 12062 | Operational management | Preventive | |
| Include a "What Happened" heading in breach notifications. CC ID 12978 | Operational management | Preventive | |
| Include a general description of the data loss event in incident response notifications. CC ID 04734 | Operational management | Preventive | |
| Include time information in incident response notifications. CC ID 04745 | Operational management | Preventive | |
| Include the identification of the data source in incident response notifications. CC ID 12305 | Operational management | Preventive | |
| Include a "What Information Was Involved" heading in the breach notification. CC ID 12979 | Operational management | Preventive | |
| Include the type of information that was lost in incident response notifications. CC ID 04735 | Operational management | Preventive | |
| Include the type of information the organization maintains about the affected parties in incident response notifications. CC ID 04776 | Operational management | Preventive | |
| Include a "What We Are Doing" heading in the breach notification. CC ID 12982 | Operational management | Preventive | |
| Include what the organization has done to enhance data protection controls in incident response notifications. CC ID 04736 | Operational management | Preventive | |
| Include what the organization is offering or has already done to assist affected parties in incident response notifications. CC ID 04737 | Operational management | Preventive | |
| Include a "For More Information" heading in breach notifications. CC ID 12981 | Operational management | Preventive | |
| Include details of the companies and persons involved in incident response notifications. CC ID 12295 | Operational management | Preventive | |
| Include the credit reporting agencies' contact information in incident response notifications. CC ID 04744 | Operational management | Preventive | |
| Include the reporting individual's contact information in incident response notifications. CC ID 12297 | Operational management | Preventive | |
| Include any consequences in the incident response notifications. CC ID 12604 | Operational management | Preventive | |
| Include whether the notification was delayed due to a law enforcement investigation in incident response notifications. CC ID 04746 | Operational management | Preventive | |
| Include a "What You Can Do" heading in the breach notification. CC ID 12980 | Operational management | Preventive | |
| Include how the affected parties can protect themselves from identity theft in incident response notifications. CC ID 04738 | Operational management | Detective | |
| Include contact information in incident response notifications. CC ID 04739 | Operational management | Preventive | |
| Include contact information in the substitute incident response notification. CC ID 16776 | Operational management | Preventive | |
| Post substitute incident response notifications to the organization's website, as necessary. CC ID 04748 | Operational management | Preventive | |
| Log incidents in the Incident Management audit log. CC ID 00857 [The entity creates and retains a complete, accurate, and timely record of detected or reported unauthorized disclosures of personal information, including breaches, consistent with the entity’s privacy commitments and system requirements. P6.3] | Operational management | Preventive | |
| Include corrective actions in the incident management audit log. CC ID 16466 | Operational management | Preventive | |
| Provide and display incident management contact information to customers. CC ID 06386 [{internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5 {internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5] | Operational management | Corrective | |
| Establish, implement, and maintain a change control program. CC ID 00886 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Preventive | |
| Include potential consequences of unintended changes in the change control program. CC ID 12243 | Operational management | Preventive | |
| Include version control in the change control program. CC ID 13119 | Operational management | Preventive | |
| Include service design and transition in the change control program. CC ID 13920 | Operational management | Preventive | |
| Establish, implement, and maintain a back-out plan. CC ID 13623 | Operational management | Preventive | |
| Establish, implement, and maintain back-out procedures for each proposed change in a change request. CC ID 00373 | Operational management | Preventive | |
| Approve back-out plans, as necessary. CC ID 13627 | Operational management | Corrective | |
| Include documentation of the impact level of proposed changes in the change request. CC ID 11942 | Operational management | Preventive | |
| Establish and maintain a change request approver list. CC ID 06795 | Operational management | Preventive | |
| Document all change requests in change request forms. CC ID 06794 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Preventive | |
| Establish, implement, and maintain emergency change procedures. CC ID 00890 | Operational management | Preventive | |
| Log emergency changes after they have been performed. CC ID 12733 | Operational management | Preventive | |
| Provide audit trails for all approved changes. CC ID 13120 | Operational management | Preventive | |
| Document the sources of all software updates. CC ID 13316 | Operational management | Preventive | |
| Establish, implement, and maintain a patch management policy. CC ID 16432 | Operational management | Preventive | |
| Establish, implement, and maintain patch management procedures. CC ID 15224 | Operational management | Preventive | |
| Establish, implement, and maintain a patch log. CC ID 01642 | Operational management | Preventive | |
| Establish, implement, and maintain a software release policy. CC ID 00893 | Operational management | Preventive | |
| Establish, implement, and maintain approved change acceptance testing procedures. CC ID 06391 | Operational management | Detective | |
| Establish, implement, and maintain a change acceptance testing log. CC ID 06392 | Operational management | Corrective | |
| Update associated documentation after the system configuration has been changed. CC ID 00891 | Operational management | Preventive | |
| Document approved configuration deviations. CC ID 08711 | Operational management | Corrective | |
| Establish, implement, and maintain records management policies. CC ID 00903 | Records management | Preventive | |
| Define each system's preservation requirements for records and logs. CC ID 00904 | Records management | Detective | |
| Establish, implement, and maintain a data retention program. CC ID 00906 | Records management | Detective | |
| Establish, implement, and maintain records management procedures. CC ID 11619 | Records management | Preventive | |
| Establish, implement, and maintain Automated Data Processing error handling procedures. CC ID 00925 | Records management | Preventive | |
| Establish, implement, and maintain Automated Data Processing error handling reporting. CC ID 11659 | Records management | Preventive | |
| Establish, implement, and maintain output distribution procedures. CC ID 00927 [System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5] | Records management | Preventive | |
| Include printed output in output distribution procedures. CC ID 13477 | Records management | Preventive | |
| Include management commitment to secure development in the System Development Life Cycle program. CC ID 16386 | Systems design, build, and implementation | Preventive | |
| Update the system design, build, and implementation methodology to incorporate emerging standards. CC ID 07045 | Systems design, build, and implementation | Preventive | |
| Establish, implement, and maintain system design principles and system design guidelines. CC ID 01057 | Systems design, build, and implementation | Preventive | |
| Define and document organizational structures for the System Development Life Cycle program. CC ID 12549 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system and network monitoring reporting lines in the System Development Life Cycle documentation. CC ID 12562 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system maintenance authorities in the System Development Life Cycle documentation. CC ID 12566 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system development reporting lines in the System Development Life Cycle documentation. CC ID 12559 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system design reporting lines in the System Development Life Cycle documentation. CC ID 12558 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system development authorities in the System Development Life Cycle documentation. CC ID 12564 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system design authorities in the System Development Life Cycle documentation. CC ID 12572 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system and network monitoring authorities in the System Development Life Cycle documentation. CC ID 12568 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system operation authorities in the System Development Life Cycle documentation. CC ID 12567 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system maintenance responsibilities in the System Development Life Cycle documentation. CC ID 12556 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system implementation authorities in the System Development Life Cycle documentation. CC ID 12565 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system and network monitoring responsibilities in the System Development Life Cycle documentation. CC ID 12557 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system operation responsibilities in the System Development Life Cycle documentation. CC ID 12563 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system maintenance reporting lines in the System Development Life Cycle documentation. CC ID 12555 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system operation reporting lines in the System Development Life Cycle documentation. CC ID 12561 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Include system implementation reporting lines in the System Development Life Cycle documentation. CC ID 12560 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Define and document organizational structures for system and network monitoring. CC ID 12554 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Define and document organizational structures for systems operations. CC ID 12553 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Preventive | |
| Establish and maintain a coding manual for secure coding techniques. CC ID 11863 | Systems design, build, and implementation | Preventive | |
| Include all confidentiality, integrity, and availability functions in the system design specification. CC ID 04556 | Systems design, build, and implementation | Preventive | |
| Include the relationships and dependencies between modules in the system design specification. CC ID 04559 | Systems design, build, and implementation | Preventive | |
| Establish, implement, and maintain a security policy model document. CC ID 04560 | Systems design, build, and implementation | Preventive | |
| Establish, implement, and maintain a privacy framework that protects restricted data. CC ID 11850 [Confidential information is protected during the system design, development, testing, implementation, and change processes to meet the entity’s confidentiality commitments and system requirements. C1.1] | Privacy protection for information and data | Preventive | |
| Include the roles and responsibilities of the organization's legal counsel in the privacy framework. CC ID 14862 | Privacy protection for information and data | Preventive | |
| Establish and maintain privacy notices, as necessary. CC ID 13443 | Privacy protection for information and data | Preventive | |
| Include the purpose of the privacy notice in the privacy notice. CC ID 13526 | Privacy protection for information and data | Preventive | |
| Include the processing purpose in the privacy notice. CC ID 16543 | Privacy protection for information and data | Preventive | |
| Include contact information in the privacy notice. CC ID 14432 | Privacy protection for information and data | Preventive | |
| Include the data subject's choices for data collection, data processing, data disclosure, and data retention in the privacy notice. CC ID 13503 | Privacy protection for information and data | Preventive | |
| Include the right to opt out of personal data disclosure in the privacy notice. CC ID 13460 | Privacy protection for information and data | Preventive | |
| Include instructions on how to opt out of personal data disclosure in the privacy notice. CC ID 13461 | Privacy protection for information and data | Preventive | |
| Include the types of third parties to which personal data is disclosed in the privacy notice. CC ID 13459 | Privacy protection for information and data | Preventive | |
| Include the organization's policies, standards, and procedures in the privacy notice. CC ID 13455 | Privacy protection for information and data | Preventive | |
| Include the organization's privacy framework in the privacy notice, as necessary. CC ID 13456 | Privacy protection for information and data | Preventive | |
| Include the personal data collection categories in the privacy notice. CC ID 13457 | Privacy protection for information and data | Preventive | |
| Include disclosure exceptions in the privacy notice. CC ID 13447 | Privacy protection for information and data | Preventive | |
| Include the types of personal data disclosed in the privacy notice. CC ID 13446 | Privacy protection for information and data | Preventive | |
| Include descriptions of each type of personal data disclosed in the privacy notice. CC ID 13458 | Privacy protection for information and data | Preventive | |
| Specify the time frame that notice will be given. CC ID 00385 | Privacy protection for information and data | Preventive | |
| Include the information about the appeal process in the privacy notice. CC ID 15312 | Privacy protection for information and data | Preventive | |
| Combine privacy notices into a joint notification with suppliers, as necessary. CC ID 13468 | Privacy protection for information and data | Preventive | |
| Deliver a short-form initial notification along with an opt-out notice as an alternate to delivering a privacy notice, as necessary. CC ID 13464 | Privacy protection for information and data | Preventive | |
| Document any reasons acknowledgment of the privacy notice was not received. CC ID 14434 | Privacy protection for information and data | Corrective | |
| Establish and maintain short-form initial notifications of privacy notices that are clear and conspicuous. CC ID 13466 | Privacy protection for information and data | Preventive | |
| Include the organization's privacy framework in the short-form initial notification, as necessary. CC ID 13472 | Privacy protection for information and data | Preventive | |
| Include the methodology for accessing the privacy notice in the short-form initial notification. CC ID 13471 | Privacy protection for information and data | Preventive | |
| Include that the privacy notice is available upon request in the short-form initial notification. CC ID 13470 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain opt-out notices. CC ID 13448 | Privacy protection for information and data | Preventive | |
| Include how opt out directions for joint consumers are treated in the opt-out notice. CC ID 13465 | Privacy protection for information and data | Preventive | |
| Include the opt out method for data subjects in the opt-out notice. CC ID 13467 | Privacy protection for information and data | Preventive | |
| Include the data subject's right to opt out of personal data disclosure in the opt-out notice. CC ID 13463 | Privacy protection for information and data | Preventive | |
| Explain the right to opt out in the opt-out notice. CC ID 13462 | Privacy protection for information and data | Preventive | |
| Include the organization's right to share personal data in the opt-out notice. CC ID 13450 | Privacy protection for information and data | Preventive | |
| Provide the data subject with a notice of participation procedures. CC ID 06241 | Privacy protection for information and data | Preventive | |
| Publish a description of processing activities in an official register. CC ID 00379 | Privacy protection for information and data | Preventive | |
| Establish and maintain a records request manual. CC ID 00381 | Privacy protection for information and data | Preventive | |
| Establish and maintain a description of voluntary disclosure and automatic availability of certain records. CC ID 00382 | Privacy protection for information and data | Preventive | |
| Define what is included in registration notices. CC ID 00386 | Privacy protection for information and data | Preventive | |
| Include the verification method in the registration notice. CC ID 16798 | Privacy protection for information and data | Preventive | |
| Include the statutory authority in the registration notice. CC ID 16799 | Privacy protection for information and data | Preventive | |
| Include the address where the file or hardware supporting the data processing is located in the registration notice. CC ID 00387 | Privacy protection for information and data | Preventive | |
| Include a purpose specification description in the registration notice. CC ID 00388 | Privacy protection for information and data | Preventive | |
| Include information about the dispute resolution body in the registration notice. CC ID 16800 | Privacy protection for information and data | Preventive | |
| Include the data subject category being processed in the registration notice. CC ID 00389 | Privacy protection for information and data | Preventive | |
| Include the time period for data processing in the registration notice. CC ID 00390 | Privacy protection for information and data | Preventive | |
| Include procedures for when the registration notice for processing personal data is insufficient in the registration notice. CC ID 00392 | Privacy protection for information and data | Preventive | |
| Provide the data subject with information about obtaining automated decision-making used during personal data processing. CC ID 12618 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the name, title, and address of the individual accountable for the organizational policies. CC ID 00394 | Privacy protection for information and data | Preventive | |
| Provide the data subject with a copy of any brochures or other information that explain policies, standards, or codes. CC ID 00398 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Privacy protection for information and data | Preventive | |
| Disseminate and communicate the notification of rights to students and their parent or legal representative. CC ID 12996 | Privacy protection for information and data | Preventive | |
| Include the criteria for determining what constitutes a legitimate educational interest in the notification of rights. CC ID 13004 | Privacy protection for information and data | Preventive | |
| Include the criteria for determining what constitutes a school official in the notification of rights. CC ID 13003 | Privacy protection for information and data | Preventive | |
| Specify the parties to whom education records may be disclosed in the written consent. CC ID 13002 | Privacy protection for information and data | Preventive | |
| Specify the purpose of the disclosure in the written consent. CC ID 13001 | Privacy protection for information and data | Preventive | |
| Specify which education records may be disclosed in the written consent. CC ID 13000 | Privacy protection for information and data | Preventive | |
| Document the conditions when consent is not required to disclose educational data. CC ID 00225 | Privacy protection for information and data | Preventive | |
| Record the health and safety threats of students when disclosing personal data. CC ID 12997 | Privacy protection for information and data | Preventive | |
| Provide adequate structures, policies, procedures, and mechanisms to support direct access by the data subject to personal data that is provided upon request. CC ID 00393 | Privacy protection for information and data | Preventive | |
| Provide the data subject with a description of the type of information held by the organization and a general account of its use. CC ID 00397 [The entity provides to the data subjects an accounting of the personal information held and disclosure of a data subject’s personal information, upon the data subject’s request, consistent with the entity’s privacy commitments and system requirements. P6.8] | Privacy protection for information and data | Preventive | |
| Include individual's names to whom restricted data may be disclosed in the disclosure accounting record. CC ID 13027 | Privacy protection for information and data | Preventive | |
| Establish and maintain a disclosure accounting record. CC ID 13022 | Privacy protection for information and data | Preventive | |
| Include the official authorities that are allowed to disclose restricted data absent consent in the disclosure accounting record. CC ID 13029 | Privacy protection for information and data | Preventive | |
| Include the legitimate interests for accessing restricted data in the disclosure accounting record. CC ID 13028 | Privacy protection for information and data | Preventive | |
| Include what information was disclosed and to whom in the disclosure accounting record. CC ID 04680 | Privacy protection for information and data | Preventive | |
| Include the personal data the organization refrained from disclosing in the disclosure accounting record. CC ID 13769 | Privacy protection for information and data | Preventive | |
| Include the sale of personal data in the disclosure accounting record, as necessary. CC ID 13768 | Privacy protection for information and data | Preventive | |
| Include the disclosure date in the disclosure accounting record. CC ID 07133 | Privacy protection for information and data | Preventive | |
| Include the disclosure recipient in the disclosure accounting record. CC ID 07134 | Privacy protection for information and data | Preventive | |
| Include the disclosure purpose in the disclosure accounting record. CC ID 07135 | Privacy protection for information and data | Preventive | |
| Include the frequency, periodicity, or number of disclosures made during the accounting period in the disclosure accounting record. CC ID 07136 | Privacy protection for information and data | Preventive | |
| Include the final date of multiple disclosures in the disclosure accounting record. CC ID 07137 | Privacy protection for information and data | Preventive | |
| Include how personal data was used for research purposes in the disclosure accounting record. CC ID 07138 | Privacy protection for information and data | Preventive | |
| Include the research activity or research protocol in the disclosure accounting record. CC ID 07139 | Privacy protection for information and data | Preventive | |
| Include the record selection criteria for research activities in the disclosure accounting record. CC ID 07140 | Privacy protection for information and data | Preventive | |
| Include the contact information of the organization that sponsored the research activity in the disclosure accounting record. CC ID 07141 | Privacy protection for information and data | Preventive | |
| Provide shareholders with electronic messages regarding the shareholder meetings. CC ID 04586 | Privacy protection for information and data | Preventive | |
| Make telephone directory information available to the public. CC ID 08698 | Privacy protection for information and data | Preventive | |
| Define the acceptable data modifications before presenting the data to a data subject. CC ID 00400 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a privacy policy. CC ID 06281 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Privacy protection for information and data | Preventive | |
| Include the data subject's rights in the privacy policy. CC ID 16355 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a privacy policy model document. CC ID 14720 | Privacy protection for information and data | Preventive | |
| Document privacy policies in clearly written and easily understood language. CC ID 00376 | Privacy protection for information and data | Detective | |
| Document the notification of interested personnel and affected parties regarding privacy policy changes. CC ID 06944 | Privacy protection for information and data | Preventive | |
| Write privacy notices in the official languages required by law. CC ID 16529 | Privacy protection for information and data | Preventive | |
| Define what is included in the privacy policy. CC ID 00404 | Privacy protection for information and data | Preventive | |
| Define the information being collected in the privacy policy. CC ID 13115 | Privacy protection for information and data | Preventive | |
| Define which collection of information is voluntary and which is required in the privacy policy. CC ID 13110 | Privacy protection for information and data | Preventive | |
| Include the means by which information is collected in the privacy policy. CC ID 13114 | Privacy protection for information and data | Preventive | |
| Remove certification marks of privacy programs the organization is no longer a member of from the privacy policy. CC ID 12368 | Privacy protection for information and data | Corrective | |
| Include roles and responsibilities in the privacy policy. CC ID 14669 | Privacy protection for information and data | Preventive | |
| Include management commitment in the privacy policy. CC ID 14668 | Privacy protection for information and data | Preventive | |
| Include coordination amongst entities in the privacy policy. CC ID 14667 | Privacy protection for information and data | Preventive | |
| Include the policy for disclosing personal data of persons who have ceased to be customers in the privacy policy. CC ID 14854 | Privacy protection for information and data | Preventive | |
| Include compliance requirements in the privacy policy. CC ID 14666 | Privacy protection for information and data | Preventive | |
| Include the consequences of refusing to provide required information in the privacy policy. CC ID 13111 | Privacy protection for information and data | Preventive | |
| Remove any privacy programs the organization is not a member of from the privacy policy. CC ID 12367 | Privacy protection for information and data | Corrective | |
| Include independent recourse mechanisms in the privacy policy, as necessary. CC ID 12366 | Privacy protection for information and data | Preventive | |
| Include the privacy programs the organization is a member of in the privacy policy. CC ID 12365 | Privacy protection for information and data | Preventive | |
| Include a complaint form in the privacy policy. CC ID 12364 | Privacy protection for information and data | Preventive | |
| Include the address where the files and hardware that support the data processing is located in the privacy policy. CC ID 00405 | Privacy protection for information and data | Preventive | |
| Include the processing purpose in the privacy policy. CC ID 00406 | Privacy protection for information and data | Preventive | |
| Include an overview of applicable information security controls in the privacy policy, as necessary. CC ID 13117 | Privacy protection for information and data | Preventive | |
| Include the data subject categories being processed in the privacy policy. CC ID 00407 | Privacy protection for information and data | Preventive | |
| Define the retention period for collected information in the privacy policy. CC ID 13116 | Privacy protection for information and data | Preventive | |
| Include the time period for when the data processing will be carried out in the privacy policy. CC ID 00408 | Privacy protection for information and data | Preventive | |
| Include other organizations that personal data is being disclosed to in the privacy policy. CC ID 00409 | Privacy protection for information and data | Preventive | |
| Include how to gain access to personal data held by the organization in the privacy policy. CC ID 00410 | Privacy protection for information and data | Preventive | |
| Include instructions on how to opt-out in the privacy policy. CC ID 00411 | Privacy protection for information and data | Preventive | |
| Include the privacy policy's Uniform Resource Locator in the privacy policy. CC ID 12363 | Privacy protection for information and data | Preventive | |
| Include instructions on how to disable devices that collect restricted data in the privacy policy. CC ID 15454 | Privacy protection for information and data | Preventive | |
| Include a description of devices that collect restricted data in the privacy policy. CC ID 15452 | Privacy protection for information and data | Preventive | |
| Define the audit method used to assess the privacy program in the privacy policy. CC ID 12390 | Privacy protection for information and data | Preventive | |
| Post the privacy policy in an easily seen location. CC ID 00401 [The entity’s privacy commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. P1.2] | Privacy protection for information and data | Preventive | |
| Define who will receive the privacy policy. CC ID 00402 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain privacy procedures. CC ID 14665 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a privacy plan. CC ID 14672 | Privacy protection for information and data | Preventive | |
| Include privacy requirements in the privacy plan. CC ID 14699 | Privacy protection for information and data | Preventive | |
| Include the information types in the privacy plan. CC ID 14695 | Privacy protection for information and data | Preventive | |
| Include threats in the privacy plan. CC ID 14694 | Privacy protection for information and data | Preventive | |
| Include roles and responsibilities in the privacy plan. CC ID 14702 | Privacy protection for information and data | Preventive | |
| Include a description of the operational context in the privacy plan. CC ID 14692 | Privacy protection for information and data | Preventive | |
| Include risk assessment results in the privacy plan. CC ID 14701 | Privacy protection for information and data | Preventive | |
| Include the security categorizations and rationale in the privacy plan. CC ID 14690 | Privacy protection for information and data | Preventive | |
| Include security controls in the privacy plan. CC ID 14681 | Privacy protection for information and data | Preventive | |
| Include a description of the operational environment in the privacy plan. CC ID 14679 | Privacy protection for information and data | Preventive | |
| Include network diagrams in the privacy plan. CC ID 14678 | Privacy protection for information and data | Preventive | |
| Include the results of the privacy risk assessment in the privacy plan. CC ID 14677 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a privacy report. CC ID 14754 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain personal data choice and consent program. CC ID 12569 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain data request procedures. CC ID 16546 | Privacy protection for information and data | Preventive | |
| Establish and maintain disclosure authorization forms for authorization of consent to use personal data. CC ID 13433 | Privacy protection for information and data | Preventive | |
| Include procedures for revoking authorization of consent to use personal data in the disclosure authorization form. CC ID 13438 | Privacy protection for information and data | Preventive | |
| Include the identity of the person seeking consent in the disclosure authorization. CC ID 13999 | Privacy protection for information and data | Preventive | |
| Include the recipients of the disclosed personal data in the disclosure authorization form. CC ID 13440 | Privacy protection for information and data | Preventive | |
| Include the signature of the data subject and the signing date in the disclosure authorization form. CC ID 13439 | Privacy protection for information and data | Preventive | |
| Include the identity of the data subject in the disclosure authorization form. CC ID 13436 | Privacy protection for information and data | Preventive | |
| Include the types of personal data to be disclosed in the disclosure authorization form. CC ID 13442 | Privacy protection for information and data | Preventive | |
| Include how personal data will be used in the disclosure authorization form. CC ID 13441 | Privacy protection for information and data | Preventive | |
| Include agreement termination information in the disclosure authorization form. CC ID 13437 | Privacy protection for information and data | Preventive | |
| Highlight the section regarding data subject's consent from other sections in contracts and agreements. CC ID 13988 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a personal data accountability program. CC ID 13432 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain approval applications. CC ID 16778 | Privacy protection for information and data | Preventive | |
| Include required information in the approval application. CC ID 16628 | Privacy protection for information and data | Preventive | |
| Submit a safe harbor self-certification letter. CC ID 06871 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain Binding Corporate Rules for the international transfers of restricted data. CC ID 12584 | Privacy protection for information and data | Preventive | |
| Include cooperation mechanisms with the supervisory authority in the Binding Corporate Rules. CC ID 12682 | Privacy protection for information and data | Preventive | |
| Include the tasks assigned to the role of data controller in the Binding Corporate Rules. CC ID 12612 | Privacy protection for information and data | Preventive | |
| Include data subject's rights in the Binding Corporate Rules. CC ID 12596 | Privacy protection for information and data | Preventive | |
| Include the means to exercise the data subject's rights in the Binding Corporate Rules. CC ID 12597 | Privacy protection for information and data | Preventive | |
| Include the organizational structure and contact information in the Binding Corporate Rules. CC ID 12595 | Privacy protection for information and data | Preventive | |
| Include the acceptance of liability for breaches of the binding corporate rules in the Binding Corporate Rules. CC ID 12594 | Privacy protection for information and data | Preventive | |
| Include the mechanisms for reporting legal requirements causing adverse effects on protecting restricted data in the Binding Corporate Rules. CC ID 12620 | Privacy protection for information and data | Preventive | |
| Include provisions for providing information on the binding corporate rules to the data subject in the Binding Corporate Rules. CC ID 12593 | Privacy protection for information and data | Preventive | |
| Include reporting changes to the binding corporate rules in the Binding Corporate Rules. CC ID 12591 | Privacy protection for information and data | Preventive | |
| Include reporting changes of the binding corporate rules to the supervisory authority in the Binding Corporate Rules. CC ID 12592 | Privacy protection for information and data | Preventive | |
| Include complaint procedures in the Binding Corporate Rules. CC ID 12613 | Privacy protection for information and data | Preventive | |
| Include the data transfers in the Binding Corporate Rules. CC ID 12590 | Privacy protection for information and data | Preventive | |
| Include specifying the mechanisms for verifying compliance of the binding corporate rules in the Binding Corporate Rules. CC ID 12662 | Privacy protection for information and data | Preventive | |
| Include the identification of the countries in question for the data transfers in the Binding Corporate Rules. CC ID 12601 | Privacy protection for information and data | Preventive | |
| Include the type of data subjects affected by the data transfers in the Binding Corporate Rules. CC ID 12600 | Privacy protection for information and data | Preventive | |
| Include all pertinent data processing information for data transfers in the Binding Corporate Rules. CC ID 12599 | Privacy protection for information and data | Preventive | |
| Include the categories of personal data for data transfers in the Binding Corporate Rules. CC ID 12598 | Privacy protection for information and data | Preventive | |
| Include specifying the legally binding nature of the binding corporate rules in the Binding Corporate Rules. CC ID 12627 | Privacy protection for information and data | Preventive | |
| Include privacy awareness and training in the Binding Corporate Rules. CC ID 12626 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain Data Processing Contracts. CC ID 12650 | Privacy protection for information and data | Preventive | |
| Include the corrective actions to be taken when conditions cannot be met in the Data Processing Contract. CC ID 16812 | Privacy protection for information and data | Preventive | |
| Include data processor confidentiality requirements in the Data Processing Contract. CC ID 12685 | Privacy protection for information and data | Preventive | |
| Include the stipulation of notifying the data controller of legal requirements prior to processing restricted data unless the law prohibits such information on important grounds of public interest in the Data Processing Contract. CC ID 12687 | Privacy protection for information and data | Preventive | |
| Include instructions for processing restricted data in the Data Processing Contract. CC ID 14938 | Privacy protection for information and data | Preventive | |
| Include the purpose for processing restricted data in the Data Processing Contract. CC ID 14937 | Privacy protection for information and data | Preventive | |
| Include the types of restricted data subject to processing in the Data Processing Contract. CC ID 14936 | Privacy protection for information and data | Preventive | |
| Include the duration of processing in the Data Processing Contract. CC ID 14935 | Privacy protection for information and data | Preventive | |
| Include personal data transfer procedures in the Data Processing Contract. CC ID 12683 | Privacy protection for information and data | Preventive | |
| Include the stipulation of allowing auditing for compliance in the Data Processing Contract. CC ID 12679 | Privacy protection for information and data | Preventive | |
| Include the stipulation that the Statement of Compliance will be made available in the Data Processing Contract. CC ID 12678 | Privacy protection for information and data | Preventive | |
| Include the stipulation of complying with external requirements in the Data Processing Contract. CC ID 12676 | Privacy protection for information and data | Preventive | |
| Include the stipulation that copies of restricted data will be disposed, unless retention is required by law, in the Data Processing Contract. CC ID 12670 | Privacy protection for information and data | Preventive | |
| Include the stipulation that personal data will be disposed or returned to the data subject in the Data Processing Contract. CC ID 12669 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a personal data use limitation program. CC ID 13428 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a personal data use purpose specification. CC ID 00093 [The entity limits the use of personal information to the purposes identified in the entity’s privacy commitments and system requirements. P4.1] | Privacy protection for information and data | Preventive | |
| Document the law that requires restricted data to be collected. CC ID 00103 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain data use change of purpose procedures. CC ID 00106 | Privacy protection for information and data | Preventive | |
| Document the use of publicly accessible personal data as an acceptable secondary purpose. CC ID 00108 | Privacy protection for information and data | Preventive | |
| Document the use of privacy-related data as acceptable if the information being used is publicly available information, the secondary use is marketing, and it is not practical to seek consent from the individual before use. CC ID 00110 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the data subject is not charged to request to opt out of direct marketing communications. CC ID 00111 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the data subject has not requested to opt out of direct marketing communications. CC ID 00112 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the organization highlights the opt out option during each direct marketing communication. CC ID 00113 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the organization displays contact information in each written direct marketing communication. CC ID 00114 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the data subject gives consent. CC ID 00115 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is Individually Identifiable Health Information used for research. CC ID 00116 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is used for statistical research, scholarly research, or scientific research and the data subject is anonymous. CC ID 00117 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the data controller believes the use is necessary to prevent a life-threatening emergency. CC ID 00118 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when required by law. CC ID 00119 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is necessary for public emergencies, public health and safety, or individual emergencies. CC ID 00121 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when the primary purpose is directly related to the secondary purpose. CC ID 00123 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary for the enforcement of care and custody. CC ID 15453 | Privacy protection for information and data | Preventive | |
| Document the use of data as an acceptable secondary purpose when it is necessary for use in a legal proceeding. CC ID 15451 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary for a law enforcement investigation. CC ID 15449 | Privacy protection for information and data | Preventive | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary to perform a treaty with a foreign government. CC ID 15447 | Privacy protection for information and data | Preventive | |
| Document restricted data that is disclosed for an acceptable secondary purpose. CC ID 00124 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain data access procedures. CC ID 00414 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Privacy protection for information and data | Preventive | |
| Require data access requests to be in writing, unless the requester is unable. CC ID 00420 | Privacy protection for information and data | Preventive | |
| Define what is to be included in a data access request. CC ID 08699 | Privacy protection for information and data | Preventive | |
| Deliver the records described in the personal data access request, as necessary. CC ID 08701 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain procedures for individuals to be able to modify their personal data, as necessary. CC ID 11811 | Privacy protection for information and data | Preventive | |
| Include a liability waiver for any harm caused by the exclusion of personal data in the personal data removal request. CC ID 11975 | Privacy protection for information and data | Preventive | |
| Notify third parties of data access requests that relates to the third party. CC ID 08703 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain restricted data use limitation procedures. CC ID 00128 | Privacy protection for information and data | Preventive | |
| Establish and maintain a record of processing activities when processing restricted data. CC ID 12636 | Privacy protection for information and data | Preventive | |
| Refrain from maintaining a record of processing activities if the data processor employs a limited number of persons. CC ID 13378 | Privacy protection for information and data | Preventive | |
| Refrain from maintaining a record of processing activities if the personal data relates to criminal records. CC ID 13377 | Privacy protection for information and data | Preventive | |
| Refrain from maintaining a record of processing activities if the data being processed is restricted data. CC ID 13376 | Privacy protection for information and data | Preventive | |
| Refrain from maintaining a record of processing activities if it could result in a risk to the data subject's rights or data subject's freedom. CC ID 13375 | Privacy protection for information and data | Preventive | |
| Document the conditions for the use or disclosure of Individually Identifiable Health Information by a covered entity to another covered entity. CC ID 00210 | Privacy protection for information and data | Preventive | |
| Disclose Individually Identifiable Health Information for research use when the appropriate requirements are included in the approval documentation or waiver documentation. CC ID 06257 | Privacy protection for information and data | Preventive | |
| Document the conditions for the disclosure of Individually Identifiable Health Information by an organization providing healthcare services to organizations other than business associates or other covered entities. CC ID 00201 | Privacy protection for information and data | Preventive | |
| Document how Individually Identifiable Health Information is used and disclosed when authorization has been granted. CC ID 00216 | Privacy protection for information and data | Preventive | |
| Define and implement valid authorization control requirements. CC ID 06258 | Privacy protection for information and data | Preventive | |
| Define security breach notification requirement exceptions. CC ID 04797 | Privacy protection for information and data | Preventive | |
| Define what restricted data is not required to be disclosed absent consent. CC ID 00134 | Privacy protection for information and data | Preventive | |
| Define the exceptions to disclosure absent consent. CC ID 00135 | Privacy protection for information and data | Preventive | |
| Define opt-out exceptions for disclosing restricted data. CC ID 00159 | Privacy protection for information and data | Preventive | |
| Define how a data subject may give consent. CC ID 00160 | Privacy protection for information and data | Preventive | |
| Disclose restricted data for judicial decisions, lawsuits, and investigations only after the data controller includes a note of the disclosure in the record. CC ID 00162 | Privacy protection for information and data | Detective | |
| Establish, implement, and maintain restricted data retention procedures. CC ID 00167 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain personal data disposition procedures. CC ID 13498 | Privacy protection for information and data | Preventive | |
| Document the redisclosing restricted data exceptions. CC ID 00170 | Privacy protection for information and data | Preventive | |
| Document the conditions to use Personal Identification Numbers absent consent. CC ID 00242 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain data disclosure procedures. CC ID 00133 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain data request denial procedures. CC ID 00434 | Privacy protection for information and data | Preventive | |
| Document that a data search was conducted in case the requested data cannot be found. CC ID 06953 | Privacy protection for information and data | Preventive | |
| Include cookie management in the privacy framework. CC ID 13809 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain cookie management procedures. CC ID 13810 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a personal data collection program. CC ID 06487 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain personal data collection limitation boundaries. CC ID 00507 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a personal data use policy. CC ID 00076 | Privacy protection for information and data | Preventive | |
| Post the collection purpose. CC ID 00101 | Privacy protection for information and data | Preventive | |
| Document each individual's personal data collection consent preferences. CC ID 06945 | Privacy protection for information and data | Preventive | |
| Establish and maintain a personal data definition. CC ID 00028 | Privacy protection for information and data | Preventive | |
| Include the number of children in the personal data definition. CC ID 13759 | Privacy protection for information and data | Preventive | |
| Include the individual's religion in the personal data definition. CC ID 13765 | Privacy protection for information and data | Preventive | |
| Include an individual's political party affiliation in the personal data definition. CC ID 13764 | Privacy protection for information and data | Preventive | |
| Include an individual's license plate number in the personal data definition. CC ID 13763 | Privacy protection for information and data | Preventive | |
| Include an individual's account balances in the personal data definition. CC ID 13770 | Privacy protection for information and data | Preventive | |
| Include an individual's logon credentials in the personal data definition. CC ID 13771 | Privacy protection for information and data | Preventive | |
| Include an individual's military identification number in the personal data definition. CC ID 13083 | Privacy protection for information and data | Preventive | |
| Refrain from including publicly available information in the personal data definition. CC ID 13084 | Privacy protection for information and data | Preventive | |
| Notify parents or legal representatives of what information is collected from children. CC ID 00040 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a personal data collection policy. CC ID 00029 [The entity collects and maintains accurate, up-to-date, complete, and relevant personal information consistent with the entity’s privacy commitments and system requirements. P7.1] | Privacy protection for information and data | Preventive | |
| Provide the data subject with information about the data controller during the collection process. CC ID 00023 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the data collector's name and contact information. CC ID 00024 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the name of the data collector who will hold the collected restricted data. CC ID 00025 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the third party processor's contact information when the data controller is not processing the restricted data. CC ID 00026 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a data handling program. CC ID 13427 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain data handling policies. CC ID 00353 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain data and information confidentiality policies. CC ID 00361 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain suspicious document procedures. CC ID 04852 | Privacy protection for information and data | Detective | |
| Establish, implement, and maintain a telephone systems usage policy. CC ID 15170 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain call metadata controls. CC ID 04790 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain data handling procedures. CC ID 11756 | Privacy protection for information and data | Preventive | |
| Define personal data that falls under breach notification rules. CC ID 00800 | Privacy protection for information and data | Preventive | |
| Define an out of scope privacy breach. CC ID 04677 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a personal data transfer program. CC ID 00307 | Privacy protection for information and data | Preventive | |
| Include procedures for transferring personal data from one data controller to another data controller in the personal data transfer program. CC ID 00351 | Privacy protection for information and data | Preventive | |
| Include procedures for transferring personal data to third parties in the personal data transfer program. CC ID 00333 | Privacy protection for information and data | Preventive | |
| Document transfer disagreements by the data subject in writing. CC ID 00348 | Privacy protection for information and data | Preventive | |
| Define the personal data transfer exceptions for transferring personal data to another country when adequate protection level standards are not met. CC ID 00315 | Privacy protection for information and data | Preventive | |
| Define the personal data transfer exceptions for transferring personal data to another organization when adequate protection level standards are not met. CC ID 00336 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain Internet interactivity data transfer procedures. CC ID 06949 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a privacy impact assessment. CC ID 13712 | Privacy protection for information and data | Preventive | |
| Include the individuals with whom information is shared in the privacy impact assessment. CC ID 15520 | Privacy protection for information and data | Preventive | |
| Include how to grant consent in the privacy impact assessment. CC ID 15519 | Privacy protection for information and data | Preventive | |
| Include the opportunities for individuals to consent to using their information in the privacy impact assessment. CC ID 15518 | Privacy protection for information and data | Preventive | |
| Include the opportunities for opting out of information collection in the privacy impact assessment. CC ID 15517 | Privacy protection for information and data | Preventive | |
| Include data handling procedures in the privacy impact assessment. CC ID 15516 | Privacy protection for information and data | Preventive | |
| Include the intended use of information in the privacy impact assessment. CC ID 15515 | Privacy protection for information and data | Preventive | |
| Include the reason information is being collected in the privacy impact assessment. CC ID 15514 | Privacy protection for information and data | Preventive | |
| File privacy rights violation complaints in writing. CC ID 00477 | Privacy protection for information and data | Corrective | |
| Include the acts or omissions that are in violation of privacy rights in the privacy rights violation complaint. CC ID 14360 | Privacy protection for information and data | Corrective | |
| Include the individual's name who is the subject of the complaint in the privacy rights violation complaint. CC ID 14359 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a privacy dispute resolution program. CC ID 12526 | Privacy protection for information and data | Preventive | |
| Include potential remedies in the privacy dispute resolution program. CC ID 12531 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the name, title, and address to whom complaints are forwarded. CC ID 00395 | Privacy protection for information and data | Preventive | |
| Include the time frames in which privacy rights violation complaints are processed in the privacy dispute resolution program. CC ID 12529 | Privacy protection for information and data | Preventive | |
| Document unresolved challenges. CC ID 13568 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain an accuracy resolution policy. CC ID 00460 | Privacy protection for information and data | Preventive | |
| Document disagreements as to whether personal data is complete and accurate. CC ID 06952 | Privacy protection for information and data | Preventive | |
| Include the change to the personal data that the data subject requested and the reason the organization refused to make the change in the statement of disagreement. CC ID 06954 | Privacy protection for information and data | Preventive | |
| Include the allegations against the organization in the notice of investigation. CC ID 13031 | Privacy protection for information and data | Preventive | |
| Create an investigative report in regards to a privacy rights violation complaint. CC ID 00495 | Privacy protection for information and data | Corrective | |
| Define the available administrative remedies in regards to a privacy rights violation complaint. CC ID 00497 | Privacy protection for information and data | Detective | |
| Define the organization's liability based on the applicable law. CC ID 00504 | Privacy protection for information and data | Preventive | |
| Define the sanctions and fines available for privacy rights violations based on applicable law. CC ID 00505 | Privacy protection for information and data | Preventive | |
| Define the appeal process based on the applicable law. CC ID 00506 | Privacy protection for information and data | Preventive | |
| Provide notice of proposed penalties. CC ID 06216 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain a supply chain management program. CC ID 11742 | Third Party and supply chain oversight | Preventive | |
| Include text that organizations must meet organizational compliance requirements in third party contracts. CC ID 06506 | Third Party and supply chain oversight | Preventive | |
| Include compliance with the organization's incident response policy and incident notification policy in third party contracts. CC ID 06515 | Third Party and supply chain oversight | Preventive | |
| Include text about the expected actions to be taken in case of a breach of contract in third party contracts. CC ID 06504 [The entity obtains commitments from vendors and other third parties that may have access to personal information processed by the system, to notify the entity in the event of actual or suspected unauthorized disclosures of personal information. Such notifications are reported to appropriate personnel and acted on to meet the entity's established incident response procedures, privacy commitments, and system requirements. P6.6] | Third Party and supply chain oversight | Preventive | |
| Include compliance with the organization's privacy policy in third party contracts. CC ID 06518 [The entity’s privacy commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. P1.2] | Third Party and supply chain oversight | Preventive | |
| Include responding to privacy rights violation complaints in third party contracts. CC ID 12432 | Third Party and supply chain oversight | Preventive | |
| Request attestation of compliance from third parties. CC ID 12067 | Third Party and supply chain oversight | Detective | |
Human Resources Management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Align disciplinary actions with the level of compliance violation. CC ID 12404 | Monitoring and measurement | Preventive | |
| Assign responsibility for remediation actions. CC ID 13622 | Audits and risk management | Preventive | |
| Define roles for information systems. CC ID 12454 | Technical security | Preventive | |
| Define access needs for each role assigned to an information system. CC ID 12455 | Technical security | Preventive | |
| Change authenticators after personnel status changes. CC ID 12284 | Technical security | Preventive | |
| Assign roles and responsibilities for administering user account management. CC ID 11900 | Technical security | Preventive | |
| Require multiple forms of personal identification prior to issuing user identifiers. CC ID 08712 | Technical security | Preventive | |
| Disallow opting out of wearing or displaying identification cards or badges. CC ID 13030 | Physical and environmental protection | Preventive | |
| Direct each employee to be responsible for their identification card or badge. CC ID 12332 | Physical and environmental protection | Preventive | |
| Assign employees the responsibility for controlling their identification badges. CC ID 12333 | Physical and environmental protection | Preventive | |
| Perform a background check during personnel screening. CC ID 11758 | Human Resources management | Detective | |
| Perform a personal identification check during personnel screening. CC ID 06721 | Human Resources management | Preventive | |
| Perform a personal references check during personnel screening. CC ID 06645 | Human Resources management | Preventive | |
| Perform a credit check during personnel screening. CC ID 06646 | Human Resources management | Preventive | |
| Perform a resume check during personnel screening. CC ID 06659 | Human Resources management | Preventive | |
| Perform a curriculum vitae check during personnel screening. CC ID 06660 | Human Resources management | Preventive | |
| Allow personnel being screened to appeal findings and appeal decisions. CC ID 06720 | Human Resources management | Preventive | |
| Include the information security responsibilities of the organization and the individual in the Terms and Conditions of employment. CC ID 12029 | Human Resources management | Preventive | |
| Assign accountability for maintaining the Governance, Risk, and Compliance framework. CC ID 12523 | Operational management | Preventive | |
| Assign defining the program for disseminating and communicating the Governance, Risk, and Compliance framework. CC ID 12524 | Operational management | Preventive | |
| Assign the responsibility for establishing, implementing, and maintaining the information security program to the appropriate role. CC ID 11884 | Operational management | Preventive | |
| Assign the responsibility for distributing the information security program to the appropriate role. CC ID 11883 | Operational management | Preventive | |
| Control granting access to appropriate parties performing maintenance on organizational assets. CC ID 11873 | Operational management | Preventive | |
| Assign senior management to approve the cost benefit analysis in the feasibility study. CC ID 13069 | Systems design, build, and implementation | Preventive | |
| Refrain from discriminating against data subjects who have exercised privacy rights. CC ID 13435 | Privacy protection for information and data | Preventive | |
| Assign ownership of the privacy program to the appropriate organizational role. CC ID 11848 | Privacy protection for information and data | Preventive | |
| Bind data controllers to secrecy concerning the performance of their duties. CC ID 12610 | Privacy protection for information and data | Preventive | |
| Refrain from engaging other data processors absent written authorization from the data controller. CC ID 12647 | Privacy protection for information and data | Preventive | |
| Include the stipulation that the data processor will respect the conditions for engaging another data processor in the Data Processing Contract. CC ID 12686 | Privacy protection for information and data | Preventive | |
| Review compliance with the organization's privacy objectives. CC ID 13490 | Privacy protection for information and data | Detective | |
| Notify individuals of their ability to challenge personal behavioral assessments on record. CC ID 04798 | Privacy protection for information and data | Preventive | |
IT Impact Zone | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Leadership and high level objectives CC ID 00597 | Leadership and high level objectives | IT Impact Zone | |
| Monitoring and measurement CC ID 00636 | Monitoring and measurement | IT Impact Zone | |
| Audits and risk management CC ID 00677 | Audits and risk management | IT Impact Zone | |
| Technical security CC ID 00508 | Technical security | IT Impact Zone | |
| Physical and environmental protection CC ID 00709 | Physical and environmental protection | IT Impact Zone | |
| Operational and Systems Continuity CC ID 00731 | Operational and Systems Continuity | IT Impact Zone | |
| Human Resources management CC ID 00763 | Human Resources management | IT Impact Zone | |
| Operational management CC ID 00805 | Operational management | IT Impact Zone | |
| Records management CC ID 00902 | Records management | IT Impact Zone | |
| Systems design, build, and implementation CC ID 00989 | Systems design, build, and implementation | IT Impact Zone | |
| Privacy protection for information and data CC ID 00008 | Privacy protection for information and data | IT Impact Zone | |
| Third Party and supply chain oversight CC ID 08807 | Third Party and supply chain oversight | IT Impact Zone | |
Investigate | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Determine the causes of compliance violations. CC ID 12401 | Monitoring and measurement | Corrective | |
| Determine if multiple compliance violations of the same type could occur. CC ID 12402 | Monitoring and measurement | Detective | |
| Review the effectiveness of disciplinary actions carried out for compliance violations. CC ID 12403 | Monitoring and measurement | Detective | |
| Identify changes to in scope systems that could threaten communication between business units. CC ID 13173 | Audits and risk management | Detective | |
| Investigate alternative risk control strategies appropriate to the organization's risk appetite. CC ID 12887 | Audits and risk management | Preventive | |
| Perform social network analysis, as necessary. CC ID 14864 | Operational management | Detective | |
| Analyze mitigating controls for vulnerabilities in the network when certifying the network. CC ID 13126 | Operational management | Detective | |
| Collect data about the network environment when certifying the network. CC ID 13125 | Operational management | Detective | |
| Analyze requirements for processing personal data in contracts. CC ID 12550 | Privacy protection for information and data | Detective | |
| Confirm the data quality of personal data collected from third parties. CC ID 13510 | Privacy protection for information and data | Detective | |
| Review the methods for collecting personal data, as necessary. CC ID 13511 | Privacy protection for information and data | Detective | |
| Perform an identity check prior to approving an account change request. CC ID 13670 | Privacy protection for information and data | Detective | |
Log Management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Establish, implement, and maintain logging and monitoring operations. CC ID 00637 | Monitoring and measurement | Detective | |
| Submit an incident management audit log to the proper authorities for each security breach that affects a predefined number of individuals, as necessary. CC ID 06326 | Operational management | Detective | |
| Include who the incident was reported to in the incident management audit log. CC ID 16487 | Operational management | Preventive | |
| Include the organizational functions affected by disruption in the Incident Management audit log. CC ID 12238 | Operational management | Corrective | |
| Include the organization's business products and services affected by disruptions in the Incident Management audit log. CC ID 12234 | Operational management | Preventive | |
| Log the disclosure of personal data. CC ID 06628 [The entity creates and retains a complete, accurate, and timely record of authorized disclosures of personal information consistent with the entity’s privacy commitments and system requirements. P6.2] | Privacy protection for information and data | Preventive | |
| Log the modification of personal data. CC ID 11844 | Privacy protection for information and data | Preventive | |
| Log account access dates and report when dormant accounts suddenly exhibit unusual activity. CC ID 04874 | Privacy protection for information and data | Detective | |
| Log dates for account name changes or address changes. CC ID 04876 | Privacy protection for information and data | Detective | |
Maintenance | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Separate the production environment from development environment or test environment for the change control process. CC ID 11864 | Operational management | Preventive | |
Monitor and Evaluate Occurrences | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Analyze organizational objectives, functions, and activities. CC ID 00598 | Leadership and high level objectives | Preventive | |
| Monitor the usage and capacity of critical assets. CC ID 14825 | Monitoring and measurement | Detective | |
| Monitor the usage and capacity of Information Technology assets. CC ID 00668 [Current processing capacity and usage are maintained, monitored, and evaluated to manage capacity demand and to enable the implementation of additional capacity to help meet the entity’s availability commitments and system requirements. A1.1] | Monitoring and measurement | Detective | |
| Monitor all outbound traffic from all systems. CC ID 12970 | Monitoring and measurement | Preventive | |
| Monitor systems for errors and faults. CC ID 04544 | Monitoring and measurement | Detective | |
| Compare system performance metrics to organizational standards and industry benchmarks. CC ID 00667 | Monitoring and measurement | Detective | |
| Establish, implement, and maintain intrusion management operations. CC ID 00580 | Monitoring and measurement | Preventive | |
| Monitor systems for inappropriate usage and other security violations. CC ID 00585 | Monitoring and measurement | Detective | |
| Monitor systems for access to restricted data or restricted information. CC ID 04721 | Monitoring and measurement | Detective | |
| Detect unauthorized access to systems. CC ID 06798 [Logical access controls support: prevention and detection of unauthorized access to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.1(3)] | Monitoring and measurement | Detective | |
| Monitor for new vulnerabilities. CC ID 06843 [Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Monitoring and measurement | Preventive | |
| Monitor personnel and third parties for compliance to the organizational compliance framework. CC ID 04726 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Monitoring and measurement | Detective | |
| Escort uncleared personnel who need to work in or access controlled access areas. CC ID 00747 | Physical and environmental protection | Preventive | |
| Monitor and review environmental protections. CC ID 12571 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and environmental protection | Detective | |
| Install and maintain an environment control monitoring system. CC ID 06370 | Physical and environmental protection | Detective | |
| Monitor and review the effectiveness of the information security program. CC ID 12744 | Operational management | Preventive | |
| Automate software license monitoring, as necessary. CC ID 07057 | Operational management | Preventive | |
| Respond to and triage when an incident is detected. CC ID 06942 | Operational management | Detective | |
| Establish, implement, and maintain data accuracy controls. CC ID 00921 [System inputs are measured and recorded completely, accurately, and timely to meet the entity’s processing integrity commitments and system requirements. PI1.2] | Records management | Detective | |
| Identify potential red flags to alert the organization before a data leakage has occurred. CC ID 04654 | Privacy protection for information and data | Preventive | |
| Establish, implement, and maintain suspicious user account activity procedures. CC ID 04854 | Privacy protection for information and data | Detective | |
| Report fraudulent account activity, unauthorized transactions, or discrepancies with current accounts. CC ID 04875 | Privacy protection for information and data | Corrective | |
| Review accounts that are changed for additional user requests. CC ID 11846 | Privacy protection for information and data | Detective | |
| Review monitored websites for data leakage. CC ID 10593 | Privacy protection for information and data | Detective | |
| Include personal data that is encrypted or redacted as an out of scope privacy breach. CC ID 04679 | Privacy protection for information and data | Preventive | |
| Include cryptographic keys not being accessed during a privacy breach as an out of scope privacy breach. CC ID 04761 | Privacy protection for information and data | Preventive | |
| Include any personal data that is on an encrypted mobile device as an out of scope privacy breach, if the encryption keys were not accessed and the mobile device was recovered. CC ID 04762 | Privacy protection for information and data | Preventive | |
Physical and Environmental Protection | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Control physical access to (and within) the facility. CC ID 01329 [Physical access to facilities housing the system (for example, data centers, backup media storage, and other sensitive locations, as well as sensitive system components within those locations) is restricted to authorized personnel to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.5] | Physical and environmental protection | Preventive | |
| Meet the physical access requirements of disabled individuals, if reasonably possible. CC ID 00419 | Physical and environmental protection | Preventive | |
| Secure physical entry points with physical access controls or security guards. CC ID 01640 | Physical and environmental protection | Detective | |
| Configure the access control system to grant access only during authorized working hours. CC ID 12325 | Physical and environmental protection | Preventive | |
| Check the visitor's stated identity against a provided government issued identification. CC ID 06701 | Physical and environmental protection | Preventive | |
| Change access requirements to organizational assets for personnel and visitors, as necessary. CC ID 12463 | Physical and environmental protection | Corrective | |
| Issue photo identification badges to all employees. CC ID 12326 | Physical and environmental protection | Preventive | |
| Report lost badges, stolen badges, and broken badges to the Security Manager. CC ID 12334 | Physical and environmental protection | Preventive | |
| Manage visitor identification inside the facility. CC ID 11670 | Physical and environmental protection | Preventive | |
| Secure unissued visitor identification badges. CC ID 06712 | Physical and environmental protection | Preventive | |
| Include name, date of entry, and validity period on disposable identification cards or badges. CC ID 12331 | Physical and environmental protection | Preventive | |
| Restrict access to the badge system to authorized personnel. CC ID 12043 | Physical and environmental protection | Preventive | |
| Enforce dual control for badge assignments. CC ID 12328 | Physical and environmental protection | Preventive | |
| Enforce dual control for accessing unassigned identification cards or badges. CC ID 12327 | Physical and environmental protection | Preventive | |
| Refrain from imprinting the company name or company logo on identification cards or badges. CC ID 12282 | Physical and environmental protection | Preventive | |
| Prevent tailgating through physical entry points. CC ID 06685 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain an environmental control program. CC ID 00724 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and environmental protection | Preventive | |
| Protect power equipment and power cabling from damage or destruction. CC ID 01438 | Physical and environmental protection | Preventive | |
| Place the Uninterruptible Power Supply in the generator room, as necessary. CC ID 11676 | Physical and environmental protection | Preventive | |
| Design the Information Technology facility with consideration given to natural disasters and man-made disasters. CC ID 00712 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and environmental protection | Preventive | |
| Design the Information Technology facility with a low profile. CC ID 16140 | Physical and environmental protection | Preventive | |
| Prohibit signage indicating computer room location and uses. CC ID 06343 | Physical and environmental protection | Preventive | |
| Require critical facilities to have adequate room for facility maintenance. CC ID 06361 | Physical and environmental protection | Preventive | |
| Require critical facilities to have adequate room for evacuation. CC ID 11686 | Physical and environmental protection | Preventive | |
| Build critical facilities according to applicable building codes. CC ID 06366 | Physical and environmental protection | Preventive | |
| Build critical facilities with fire resistant materials. CC ID 06365 | Physical and environmental protection | Preventive | |
| Build critical facilities with materials that limit electromagnetic interference. CC ID 16131 | Physical and environmental protection | Preventive | |
| Build critical facilities with water-resistant materials. CC ID 11679 | Physical and environmental protection | Preventive | |
| Monitor operational conditions at unmanned facilities. CC ID 06327 | Physical and environmental protection | Preventive | |
| Inspect and maintain the facility and supporting assets. CC ID 06345 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Physical and environmental protection | Preventive | |
| Apply noise-prevention devices to organizational assets, as necessary. CC ID 16141 | Physical and environmental protection | Preventive | |
| House system components in areas where the physical damage potential is minimized. CC ID 01623 | Physical and environmental protection | Preventive | |
| Install and maintain smoke detectors. CC ID 15264 | Physical and environmental protection | Preventive | |
| Conduct periodic fire marshal inspections for all organizational facilities. CC ID 04888 | Physical and environmental protection | Preventive | |
| Install and maintain fire-retarding divisions such as fire doors in accordance with applicable building codes. CC ID 06362 | Physical and environmental protection | Preventive | |
| Install and maintain seismic detectors in critical facilities. CC ID 06364 | Physical and environmental protection | Detective | |
| Protect physical assets against static electricity, as necessary. CC ID 06363 | Physical and environmental protection | Preventive | |
| Install and maintain emergency lighting for use in a power failure. CC ID 01440 | Physical and environmental protection | Preventive | |
| Install and maintain lightning protection mechanisms in critical facilities. CC ID 06367 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain pest control systems in organizational facilities. CC ID 16139 | Physical and environmental protection | Preventive | |
| Protect air intakes into the organizational facility. CC ID 02211 | Physical and environmental protection | Preventive | |
| Install and maintain water detection devices. CC ID 11678 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain physical hazard segregation or removal procedures. CC ID 01248 | Operational and Systems Continuity | Corrective | |
| Establish and maintain off-site electronic media storage facilities. CC ID 00957 | Operational and Systems Continuity | Preventive | |
| Establish, implement, and maintain physical access controls for alternate facilities. CC ID 13226 | Operational and Systems Continuity | Preventive | |
| Identify and authenticate appropriate parties prior to granting access to maintain assets. CC ID 11874 [{internal users} Internal and external users are identified and authenticated when accessing the system components (for example, infrastructure, software, and data) to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.3] | Operational management | Preventive | |
Process or Activity | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Identify how opportunities, threats, and external requirements are trending. CC ID 12829 | Leadership and high level objectives | Preventive | |
| Identify relationships between opportunities, threats, and external requirements. CC ID 12805 | Leadership and high level objectives | Preventive | |
| Correct compliance violations. CC ID 13515 | Monitoring and measurement | Corrective | |
| Review documentation to determine the effectiveness of in scope controls. CC ID 16522 | Audits and risk management | Preventive | |
| Analyze the effect of threats on organizational strategies and objectives. CC ID 12850 | Audits and risk management | Detective | |
| Analyze the effect of opportunities on organizational strategies and objectives. CC ID 12849 | Audits and risk management | Detective | |
| Set access control for objects and users to "deny all" unless explicitly authorized. CC ID 06301 | Technical security | Preventive | |
| Define the activation requirements for identification cards or badges. CC ID 06583 | Technical security | Preventive | |
| Disallow self-enrollment of biometric information. CC ID 11834 | Technical security | Preventive | |
| Implement physical identification processes. CC ID 13715 | Physical and environmental protection | Preventive | |
| Refrain from using knowledge-based authentication for in-person identity verification. CC ID 13717 | Physical and environmental protection | Preventive | |
| Record the assigned identification card or badge serial number when issuing an identification card or badge. CC ID 06714 | Physical and environmental protection | Preventive | |
| Include identity proofing processes in the identification issuance procedures. CC ID 06597 | Physical and environmental protection | Preventive | |
| Conduct fire drills, as necessary. CC ID 13985 | Physical and environmental protection | Preventive | |
| Employ environmental protections. CC ID 12570 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and environmental protection | Preventive | |
| Perform backup procedures for in scope systems. CC ID 11692 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Preventive | |
| Include all residences in the criminal records check. CC ID 13306 | Human Resources management | Preventive | |
| Include organizational values in the Code of Conduct. CC ID 12919 | Human Resources management | Preventive | |
| Integrate the use of technology in supporting the Governance, Risk, and Compliance capabilities. CC ID 12915 | Operational management | Preventive | |
| Evaluate the use of technology in supporting Governance, Risk, and Compliance capabilities. CC ID 12895 | Operational management | Preventive | |
| Evaluate information sharing partners, as necessary. CC ID 12749 | Operational management | Preventive | |
| Review and approve access controls, as necessary. CC ID 13074 | Operational management | Detective | |
| Provide management direction and support for the information security program. CC ID 11999 | Operational management | Preventive | |
| Approve the information security policy at the organization's management level or higher. CC ID 11737 | Operational management | Preventive | |
| Define thresholds for approving information security activities in the information security program. CC ID 15702 | Operational management | Preventive | |
| Use systems in accordance with the standard operating procedures manual. CC ID 15049 | Operational management | Preventive | |
| Provide support for information sharing activities. CC ID 15644 | Operational management | Preventive | |
| Analyze how policies used to create management boundaries relates to the Governance, Risk, and Compliance approach. CC ID 12821 | Operational management | Preventive | |
| Analyze how the organization sets limits in policies relating to the Governance, Risk, and Compliance approach. CC ID 12819 | Operational management | Preventive | |
| Analyze how the Board of Directors' and senior management's tone influences the Governance, Risk, and Compliance approach. CC ID 12818 | Operational management | Preventive | |
| Analyze the degree to which the governing body is engaged in the Governance, Risk, and Compliance approach. CC ID 12817 | Operational management | Preventive | |
| Analyze the Governance, Risk, and Compliance approach. CC ID 12816 | Operational management | Preventive | |
| Analyze the organizational culture. CC ID 12899 | Operational management | Preventive | |
| Include individual commitment to the organization's Governance, Risk, and Compliance framework in the analysis of the organizational culture. CC ID 12922 | Operational management | Detective | |
| Include the organizational climate in the analysis of the organizational culture. CC ID 12921 | Operational management | Detective | |
| Include consistency of leadership actions to mission, vision, and values in the analysis of the organizational culture. CC ID 12920 | Operational management | Detective | |
| Establish, implement, and maintain consequences for non-compliance with the organizational compliance framework. CC ID 11747 | Operational management | Corrective | |
| Revoke the written request to delay the notification. CC ID 16843 | Operational management | Preventive | |
| Post the incident response notification on the organization's website. CC ID 16809 | Operational management | Preventive | |
| Document the determination for providing a substitute incident response notification. CC ID 16841 | Operational management | Preventive | |
| Perform emergency changes, as necessary. CC ID 12707 | Operational management | Preventive | |
| Back up emergency changes after the change has been performed. CC ID 12734 | Operational management | Preventive | |
| Conduct network certifications prior to approving change requests for networks. CC ID 13121 | Operational management | Detective | |
| Establish, implement, and maintain a patch management program. CC ID 00896 | Operational management | Preventive | |
| Determine how long to keep records and logs before disposing them. CC ID 11661 | Records management | Preventive | |
| Establish, implement, and maintain data completeness controls. CC ID 11649 [System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5 Data is processed completely, accurately, and timely as authorized to meet the entity’s processing integrity commitments and system requirements. PI1.3] | Records management | Preventive | |
| Sanitize user input in accordance with organizational standards. CC ID 16856 | Records management | Preventive | |
| Protect applications from cross-site scripting through secure coding techniques in source code. CC ID 11899 | Systems design, build, and implementation | Preventive | |
| Protect against coding vulnerabilities through secure coding techniques in source code. CC ID 11897 | Systems design, build, and implementation | Preventive | |
| Protect applications from broken authentication and session management through secure coding techniques in source code. CC ID 11896 | Systems design, build, and implementation | Preventive | |
| Protect applications from cross-site request forgery through secure coding techniques in source code. CC ID 11895 | Systems design, build, and implementation | Preventive | |
| Require a data protection impact assessment when profiling the data subject. CC ID 12680 | Privacy protection for information and data | Detective | |
| Provide the data subject with information about automated decision-making during personal data processing. CC ID 12609 | Privacy protection for information and data | Preventive | |
| Provide the data subject with contractual requirements requiring the provision of personal data. CC ID 12588 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the data retention period for personal data. CC ID 12587 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the criteria used to determine the data retention period for personal data. CC ID 12589 | Privacy protection for information and data | Preventive | |
| Provide the data subject with the adequacy decision. CC ID 12586 | Privacy protection for information and data | Preventive | |
| Provide the data subject with references to the appropriate safeguards used to protect the privacy of personal data. CC ID 12585 | Privacy protection for information and data | Preventive | |
| Provide the data subject with copies of the appropriate safeguards used to protect the privacy of personal data. CC ID 12608 | Privacy protection for information and data | Preventive | |
| Notify the data subject of the right to data portability. CC ID 12603 | Privacy protection for information and data | Preventive | |
| Provide the data subject with information about the right to erasure. CC ID 12602 | Privacy protection for information and data | Preventive | |
| Provide shareholders access to electronic messages via electronic means. CC ID 11855 | Privacy protection for information and data | Preventive | |
| Provide the data subject with information about the legitimate interests associated with personal data processing. CC ID 12614 | Privacy protection for information and data | Preventive | |
| Align the enterprise architecture with the privacy plan. CC ID 14705 | Privacy protection for information and data | Preventive | |
| Confirm the individual's identity before granting an opt-out request. CC ID 16813 | Privacy protection for information and data | Preventive | |
| Approve the approval application unless applicant has been convicted. CC ID 16603 | Privacy protection for information and data | Preventive | |
| Provide the supervisory authority with any information requested by the supervisory authority. CC ID 12606 | Privacy protection for information and data | Preventive | |
| Allow data subjects to submit data requests. CC ID 16545 | Privacy protection for information and data | Preventive | |
| Define what is included in a request for a waiver or reduction of fees. CC ID 15522 | Privacy protection for information and data | Preventive | |
| Allow affected third parties to consent or object to a data access request. CC ID 08704 | Privacy protection for information and data | Preventive | |
| Refrain from processing restricted data if the restricted data is involved in a legal claim. CC ID 12668 | Privacy protection for information and data | Preventive | |
| Refrain from providing information to the data subject when the organization cannot identify the data subject. CC ID 12667 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for statistical purposes. CC ID 12656 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for historical research purposes. CC ID 12655 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for scientific research purposes. CC ID 12654 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for exercising freedom of expression. CC ID 12684 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when it is used to provide a service. CC ID 13779 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when it is being used for incident detection. CC ID 13778 | Privacy protection for information and data | Detective | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for archival purposes. CC ID 12653 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is for compliance with a legal obligation. CC ID 12652 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for the public interest. CC ID 12649 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon data subject request when personal data processing concerns legal claims. CC ID 12644 | Privacy protection for information and data | Preventive | |
| Refrain from processing personal data if the data subject opposes the data erasure of personal data. CC ID 12619 | Privacy protection for information and data | Preventive | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is to support the treatment of the individual. CC ID 11969 | Privacy protection for information and data | Preventive | |
| Process personal data absent consent in order to protect the vital interests of the data subject. CC ID 14012 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon receiving a personal data removal request when it is necessary for maintaining information assets. CC ID 13789 | Privacy protection for information and data | Preventive | |
| Refrain from erasing personal data upon receiving a personal data removal request when it is necessary to complete a payment transaction. CC ID 13788 | Privacy protection for information and data | Preventive | |
| Include disclosing personal data that would threaten facilities, property, transport, or communication systems as a reason for denial in the personal data request denial procedures. CC ID 08702 | Privacy protection for information and data | Preventive | |
| Include if the record would constitute an action for breach of a duty of confidence as a reason for denial in the personal data request denial procedures. CC ID 08700 | Privacy protection for information and data | Preventive | |
| Search the Internet for evidence of data leakage. CC ID 10419 | Privacy protection for information and data | Detective | |
| Alert appropriate personnel when data leakage is detected. CC ID 14715 | Privacy protection for information and data | Preventive | |
| Take appropriate action when a data leakage is discovered. CC ID 14716 | Privacy protection for information and data | Corrective | |
| Refrain from installing software on an individual's computer unless acting in accordance with a court order. CC ID 14000 | Privacy protection for information and data | Preventive | |
| Remove or uninstall software from an individual's computer, as necessary. CC ID 13998 | Privacy protection for information and data | Preventive | |
| Remove or uninstall software from an individual's computer when consent is revoked. CC ID 13997 | Privacy protection for information and data | Preventive | |
| Define the fee structure for the appeal process. CC ID 16532 | Privacy protection for information and data | Preventive | |
| Define the time requirements for the appeal process. CC ID 16531 | Privacy protection for information and data | Preventive | |
| Formalize client and third party relationships with contracts or nondisclosure agreements. CC ID 00794 | Third Party and supply chain oversight | Detective | |
| Assess third parties' compliance environment during due diligence. CC ID 13134 | Third Party and supply chain oversight | Detective | |
Records Management | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Include information sharing procedures in standard operating procedures. CC ID 12974 | Operational management | Preventive | |
| Establish, implement, and maintain incident management audit logs. CC ID 13514 | Operational management | Preventive | |
| Retain records in accordance with applicable requirements. CC ID 00968 [The entity retains confidential information to meet the entity’s confidentiality commitments and system requirements. C1.7 The entity retains personal information consistent with the entity’s privacy commitments and system requirements. P4.2 System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5] | Records management | Preventive | |
| Compare each record's data input to its final form. CC ID 11813 | Records management | Detective | |
| Refrain from allowing students the right to inspect the financial records of their parent or legal representative. CC ID 13025 | Privacy protection for information and data | Preventive | |
| Refrain from allowing students the right to inspect confidential letters and confidential letters of recommendation. CC ID 13019 | Privacy protection for information and data | Preventive | |
| Amend education records within a reasonable period after receiving a record amendment request. CC ID 12998 | Privacy protection for information and data | Corrective | |
| Decide whether to amend education records based on evidence presented during a hearing. CC ID 13020 | Privacy protection for information and data | Corrective | |
| Grant access to education records in support of educational program audits. CC ID 13032 | Privacy protection for information and data | Preventive | |
| Grant access to education records in support of external requirements. CC ID 13033 | Privacy protection for information and data | Preventive | |
| Collect and retain disclosure authorizations for each data subject. CC ID 13434 | Privacy protection for information and data | Preventive | |
| Refrain from destroying records being inspected or reviewed. CC ID 13015 | Privacy protection for information and data | Preventive | |
| Submit personal data removal requests in writing. CC ID 11973 | Privacy protection for information and data | Preventive | |
| Allow authorized individuals to authenticate record entries containing personal data. CC ID 11812 | Privacy protection for information and data | Corrective | |
| Refrain from processing restricted data, as necessary. CC ID 12551 | Privacy protection for information and data | Preventive | |
| Include the data protection officer's contact information in the record of processing activities. CC ID 12640 | Privacy protection for information and data | Preventive | |
| Include the data processor's contact information in the record of processing activities. CC ID 12657 | Privacy protection for information and data | Preventive | |
| Include the data processor's representative's contact information in the record of processing activities. CC ID 12658 | Privacy protection for information and data | Preventive | |
| Include a general description of the implemented security measures in the record of processing activities. CC ID 12641 | Privacy protection for information and data | Preventive | |
| Include a description of the data subject categories in the record of processing activities. CC ID 12659 | Privacy protection for information and data | Preventive | |
| Include the purpose of processing restricted data in the record of processing activities. CC ID 12663 | Privacy protection for information and data | Preventive | |
| Include the personal data processing categories in the record of processing activities. CC ID 12661 | Privacy protection for information and data | Preventive | |
| Include the time limits for erasing each data category in the record of processing activities. CC ID 12690 | Privacy protection for information and data | Preventive | |
| Include the data recipient categories to whom restricted data has been or will be disclosed in the record of processing activities. CC ID 12664 | Privacy protection for information and data | Preventive | |
| Include a description of the personal data categories in the record of processing activities. CC ID 12660 | Privacy protection for information and data | Preventive | |
| Include the joint data controller's contact information in the record of processing activities. CC ID 12639 | Privacy protection for information and data | Preventive | |
| Include the data controller's representative's contact information in the record of processing activities. CC ID 12638 | Privacy protection for information and data | Preventive | |
| Include documentation of the transferee's safeguards for transferring restricted data in the record of processing activities. CC ID 12643 | Privacy protection for information and data | Preventive | |
| Include the identification of transferees for transferring restricted data in the record of processing activities. CC ID 12642 | Privacy protection for information and data | Preventive | |
| Include the data controller's contact information in the record of processing activities. CC ID 12637 | Privacy protection for information and data | Preventive | |
| Refrain from disclosing Individually Identifiable Health Information when in violation of territorial or federal law. CC ID 11966 | Privacy protection for information and data | Preventive | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is permitted with the consent of the data subject. CC ID 11970 | Privacy protection for information and data | Preventive | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is permitted by law. CC ID 11976 | Privacy protection for information and data | Preventive | |
| Refrain from disclosing personal data absent consent of the individual or for defined exceptions. CC ID 11967 | Privacy protection for information and data | Preventive | |
| Remove personal data from records after receiving a personal data removal request. CC ID 11972 | Privacy protection for information and data | Preventive | |
| Authorize the transfer of restricted data in accordance with organizational standards. CC ID 16428 | Privacy protection for information and data | Preventive | |
Systems Continuity | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Establish, implement, and maintain backup procedures for in scope systems. CC ID 01258 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Preventive | |
| Document the backup method and backup frequency on a case-by-case basis in the backup procedures. CC ID 01384 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Preventive | |
| Review the security of the off-site electronic media storage facilities, as necessary. CC ID 00573 | Operational and Systems Continuity | Detective | |
| Store backup media in a fire-rated container which is not collocated with the operational system. CC ID 14289 | Operational and Systems Continuity | Preventive | |
| Store backup vital records in a manner that is accessible for emergency retrieval. CC ID 12765 | Operational and Systems Continuity | Preventive | |
| Back up all records. CC ID 11974 | Operational and Systems Continuity | Preventive | |
| Prepare the alternate facility for an emergency offsite relocation. CC ID 00744 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Preventive | |
| Protect backup systems and restoration systems at the alternate facility. CC ID 04883 | Operational and Systems Continuity | Preventive | |
| Review the alternate facility preparation procedures. CC ID 04884 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Detective | |
| Approve the continuity plan test results. CC ID 15718 | Operational and Systems Continuity | Preventive | |
| Implement network redundancy, as necessary. CC ID 13048 | Operational management | Preventive | |
Systems Design, Build, and Implementation | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Install and maintain power distribution boards. CC ID 16486 | Physical and environmental protection | Preventive | |
| Validate the system before implementing approved changes. CC ID 01510 | Operational management | Preventive | |
| Establish, implement, and maintain traceability documentation. CC ID 16388 | Operational management | Preventive | |
| Establish, implement, and maintain a System Development Life Cycle program. CC ID 11823 [The entity’s commitments and system requirements, as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], are addressed during the system development lifecycle, including the authorization, design, acquisition, implementation, configuration, testing, modification, approval, and maintenance of system components. CC7.1] | Systems design, build, and implementation | Preventive | |
| Include information security throughout the system development life cycle. CC ID 12042 | Systems design, build, and implementation | Preventive | |
| Initiate the System Development Life Cycle planning phase. CC ID 06266 | Systems design, build, and implementation | Preventive | |
| Establish and maintain System Development Life Cycle documentation. CC ID 12079 | Systems design, build, and implementation | Preventive | |
| Initiate the System Development Life Cycle development phase or System Development Life Cycle build phase. CC ID 06267 | Systems design, build, and implementation | Preventive | |
| Develop new products based on secure coding techniques. CC ID 11733 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Systems design, build, and implementation | Preventive | |
| Protect applications from attacks on business logic through secure coding techniques in source code. CC ID 15472 | Systems design, build, and implementation | Preventive | |
| Refrain from hard-coding security parameters in source code. CC ID 14917 | Systems design, build, and implementation | Preventive | |
| Protect applications from attacks on data and data structures through secure coding techniques in source code. CC ID 15482 | Systems design, build, and implementation | Preventive | |
| Refrain from displaying error messages to end users through secure coding techniques in source code. CC ID 12166 | Systems design, build, and implementation | Preventive | |
| Address known coding vulnerabilities as a part of secure coding techniques. CC ID 12493 | Systems design, build, and implementation | Corrective | |
Technical Security | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Include security threats and vulnerabilities in the threat and risk classification scheme. CC ID 00699 [The entity identifies potential threats that could impair system [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements (including threats arising from the use of vendors and other third parties providing goods and services, as well as threats arising from customer personnel and others with access to the system), CC3.1(1) Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Audits and risk management | Preventive | |
| Implement safeguards to protect access credentials from unauthorized access. CC ID 16433 | Technical security | Preventive | |
| Identify information system users. CC ID 12081 | Technical security | Detective | |
| Review user accounts. CC ID 00525 | Technical security | Detective | |
| Identify and authenticate processes running on information systems that act on behalf of users. CC ID 12082 | Technical security | Detective | |
| Review shared accounts. CC ID 11840 | Technical security | Detective | |
| Control access rights to organizational assets. CC ID 00004 [{internal users} Logical access controls support: restriction of authorized internal and external user access to system components, or portions thereof, authorized by management, including hardware, data, software, mobile devices, output, and offline elements; and CC5.1(2) {internal users} Logical access controls support: restriction of authorized internal and external user access to system components, or portions thereof, authorized by management, including hardware, data, software, mobile devices, output, and offline elements; and CC5.1(2) Access to data, software, functions, and other IT resources is authorized and is modified or removed based on roles, responsibilities, or the system design and changes to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.4 Access to data, software, functions, and other IT resources is authorized and is modified or removed based on roles, responsibilities, or the system design and changes to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.4 {internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2 {internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2] | Technical security | Preventive | |
| Generate but refrain from storing authenticators or Personal Identification Numbers for systems involved in high risk activities. CC ID 06835 | Technical security | Preventive | |
| Define access needs for each system component of an information system. CC ID 12456 | Technical security | Preventive | |
| Define the level of privilege required for each system component of an information system. CC ID 12457 | Technical security | Preventive | |
| Establish access rights based on least privilege. CC ID 01411 | Technical security | Preventive | |
| Assign user permissions based on job responsibilities. CC ID 00538 | Technical security | Preventive | |
| Assign user privileges after they have management sign off. CC ID 00542 | Technical security | Preventive | |
| Establish, implement, and maintain lockout procedures or lockout mechanisms to be triggered after a predetermined number of consecutive logon attempts. CC ID 01412 | Technical security | Preventive | |
| Disallow unlocking user accounts absent system administrator approval. CC ID 01413 | Technical security | Preventive | |
| Establish session authenticity through Transport Layer Security. CC ID 01627 | Technical security | Preventive | |
| Include all system components in the access control system. CC ID 11939 | Technical security | Preventive | |
| Enable access control for objects and users to match restrictions set by the system's security classification. CC ID 04850 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Technical security | Preventive | |
| Enable attribute-based access control for objects and users on information systems. CC ID 16351 | Technical security | Preventive | |
| Enable role-based access control for objects and users on information systems. CC ID 12458 | Technical security | Preventive | |
| Enforce access restrictions for change control. CC ID 01428 | Technical security | Preventive | |
| Permit a limited set of user actions absent identification and authentication. CC ID 04849 | Technical security | Preventive | |
| Activate third party maintenance accounts and user identifiers, as necessary. CC ID 04262 | Technical security | Preventive | |
| Display a logon banner and appropriate logon message before granting access to the system. CC ID 06770 | Technical security | Preventive | |
| Use automatic equipment identification as a method of connection authentication absent an individual's identification and authentication. CC ID 06964 | Technical security | Preventive | |
| Control user privileges. CC ID 11665 | Technical security | Preventive | |
| Review all user privileges, as necessary. CC ID 06784 | Technical security | Preventive | |
| Review each user's access capabilities when their role changes. CC ID 00524 | Technical security | Preventive | |
| Enable products restricted by Digital Rights Management to be used while offline. CC ID 07094 | Technical security | Preventive | |
| Establish, implement, and maintain User Access Management procedures. CC ID 00514 [{internal users} Logical access controls support: identification and authentication of authorized internal and external users; CC5.1(1)] | Technical security | Preventive | |
| Review and approve logical access to all assets based upon organizational policies. CC ID 06641 | Technical security | Preventive | |
| Control the addition and modification of user identifiers, user credentials, or other authenticators. CC ID 00515 | Technical security | Preventive | |
| Automate access control methods, as necessary. CC ID 11838 | Technical security | Preventive | |
| Automate Access Control Systems, as necessary. CC ID 06854 | Technical security | Preventive | |
| Refrain from storing logon credentials for third party applications. CC ID 13690 | Technical security | Preventive | |
| Refrain from allowing user access to identifiers and authenticators used by applications. CC ID 10048 | Technical security | Preventive | |
| Remove inactive user accounts, as necessary. CC ID 00517 | Technical security | Corrective | |
| Remove temporary user accounts, as necessary. CC ID 11839 | Technical security | Corrective | |
| Enforce the password policy. CC ID 16347 | Technical security | Preventive | |
| Enforce usage restrictions for superuser accounts. CC ID 07064 | Technical security | Preventive | |
| Establish, implement, and maintain user accounts in accordance with the organizational Governance, Risk, and Compliance framework. CC ID 00526 | Technical security | Preventive | |
| Protect and manage biometric systems and biometric data. CC ID 01261 | Technical security | Preventive | |
| Implement out-of-band authentication, as necessary. CC ID 10606 | Technical security | Corrective | |
| Include digital identification procedures in the access control program. CC ID 11841 | Technical security | Preventive | |
| Disallow the use of Personal Identification Numbers as user identifiers. CC ID 06785 | Technical security | Preventive | |
| Require proper authentication for user identifiers. CC ID 11785 | Technical security | Preventive | |
| Refrain from allowing individuals to share authentication mechanisms. CC ID 11932 | Technical security | Preventive | |
| Refrain from assigning authentication mechanisms for shared accounts. CC ID 11910 | Technical security | Preventive | |
| Employ live scans to verify biometric authentication. CC ID 06847 | Technical security | Preventive | |
| Identify and control all network access controls. CC ID 00529 | Technical security | Preventive | |
| Manage the use of encryption controls and cryptographic controls. CC ID 00570 | Technical security | Preventive | |
| Use strong data encryption to transmit in scope data or in scope information, as necessary. CC ID 00564 | Technical security | Preventive | |
| Establish trusted paths to transmit restricted data or restricted information over public networks or wireless networks. CC ID 00568 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Technical security | Preventive | |
| Install and maintain container security solutions. CC ID 16178 | Technical security | Preventive | |
| Remotely control operational conditions at unmanned facilities. CC ID 11680 | Physical and environmental protection | Preventive | |
| Establish, implement, and maintain logical access controls at alternate facilities. CC ID 13227 | Operational and Systems Continuity | Preventive | |
| Terminate access rights when notified of a personnel status change or an individual is terminated. CC ID 11826 [{internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2] | Human Resources management | Corrective | |
| Limit any effects of a Denial of Service attack. CC ID 06754 [Current processing capacity and usage are maintained, monitored, and evaluated to manage capacity demand and to enable the implementation of additional capacity to help meet the entity’s availability commitments and system requirements. A1.1] | Operational management | Preventive | |
| Include temporary activation of remote access technologies for third parties in the Acceptable Use Policy. CC ID 11892 | Operational management | Preventive | |
| Prevent users from disabling required software. CC ID 16417 | Operational management | Preventive | |
| Integrate configuration management procedures into the change control program. CC ID 13646 | Operational management | Preventive | |
| Implement patch management software, as necessary. CC ID 12094 | Operational management | Preventive | |
| Include updates and exceptions to hardened images as a part of the patch management program. CC ID 12087 | Operational management | Preventive | |
| Review the patch log for missing patches. CC ID 13186 | Operational management | Detective | |
| Patch software. CC ID 11825 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Operational management | Corrective | |
| Patch the operating system, as necessary. CC ID 11824 | Operational management | Corrective | |
| Implement cryptographic mechanisms to authenticate software and computer firmware before installation. CC ID 10682 | Operational management | Detective | |
| Protect applications from insufficient anti-automation through secure coding techniques in source code. CC ID 16854 | Systems design, build, and implementation | Preventive | |
| Protect applications from improper access control through secure coding techniques in source code. CC ID 11959 | Systems design, build, and implementation | Preventive | |
| Protect applications from improper error handling through secure coding techniques in source code. CC ID 11937 | Systems design, build, and implementation | Preventive | |
| Protect applications from insecure communications through secure coding techniques in source code. CC ID 11936 | Systems design, build, and implementation | Preventive | |
| Protect applications from XML external entities through secure coding techniques in source code. CC ID 14806 | Systems design, build, and implementation | Preventive | |
| Protect applications from insecure deserialization through secure coding techniques in source code. CC ID 14805 | Systems design, build, and implementation | Preventive | |
| Refrain from hard-coding usernames in source code. CC ID 06561 | Systems design, build, and implementation | Preventive | |
| Refrain from hard-coding authenticators in source code. CC ID 11829 | Systems design, build, and implementation | Preventive | |
| Refrain from hard-coding cryptographic keys in source code. CC ID 12307 | Systems design, build, and implementation | Preventive | |
| Protect applications from injection flaws through secure coding techniques in source code. CC ID 11944 | Systems design, build, and implementation | Preventive | |
| Control user account management through secure coding techniques in source code. CC ID 11909 | Systems design, build, and implementation | Preventive | |
| Restrict direct access of databases to the database administrator through secure coding techniques in source code. CC ID 11933 | Systems design, build, and implementation | Preventive | |
| Protect applications from buffer overflows through secure coding techniques in source code. CC ID 11943 | Systems design, build, and implementation | Preventive | |
| Protect applications from insecure cryptographic storage through secure coding techniques in source code. CC ID 11935 | Systems design, build, and implementation | Preventive | |
| Protect databases from unauthorized database management actions through secure coding techniques in source code. CC ID 12049 | Systems design, build, and implementation | Preventive | |
| Standardize Application Programming Interfaces. CC ID 12167 | Systems design, build, and implementation | Preventive | |
| Refrain from allowing access rights to education records maintained by another educational institution. CC ID 13014 | Privacy protection for information and data | Preventive | |
| Display warning screens and confirmation screens for all payment transactions. CC ID 06409 | Privacy protection for information and data | Preventive | |
| Implement technical controls that limit processing restricted data for specific purposes. CC ID 12646 | Privacy protection for information and data | Preventive | |
| Employ a random number generator to create authenticators. CC ID 13782 | Privacy protection for information and data | Preventive | |
| Provide unobservability of users and resources. CC ID 04551 | Privacy protection for information and data | Preventive | |
| Protect electronic messaging information. CC ID 12022 | Privacy protection for information and data | Preventive | |
| Render unrecoverable sensitive authentication data after authorization is approved. CC ID 11952 | Privacy protection for information and data | Preventive | |
| Encrypt, truncate, or tokenize data fields, as necessary. CC ID 06850 | Privacy protection for information and data | Preventive | |
| Implement security measures to protect personal data. CC ID 13606 | Privacy protection for information and data | Preventive | |
Testing | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | CLASS | |
|---|---|---|---|
| Determine if the audit assertion's in scope controls are reasonable. CC ID 06980 | Audits and risk management | Detective | |
| Document test plans for auditing in scope controls. CC ID 06985 | Audits and risk management | Detective | |
| Determine the effectiveness of in scope controls. CC ID 06984 [The design and operating effectiveness of controls are periodically evaluated against the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], and corrections and other necessary actions relating to identified deficiencies are taken in a timely manner. CC4.1] | Audits and risk management | Detective | |
| Perform risk assessments for all target environments, as necessary. CC ID 06452 | Audits and risk management | Preventive | |
| Determine the effectiveness of risk control measures. CC ID 06601 | Audits and risk management | Detective | |
| Perform a risk assessment prior to activating third party access to the organization's critical systems. CC ID 06455 | Technical security | Detective | |
| Employ unique identifiers. CC ID 01273 | Technical security | Detective | |
| Authenticate user identities before unlocking an account. CC ID 11837 | Technical security | Detective | |
| Authenticate user identities before manually resetting an authenticator. CC ID 04567 | Technical security | Detective | |
| Identify the user when enrolling them in the biometric system. CC ID 06882 | Technical security | Detective | |
| Configure firewalls to perform dynamic packet filtering. CC ID 01288 | Technical security | Detective | |
| Authorize visitors before granting entry to physical areas containing restricted data or restricted information. CC ID 01330 | Physical and environmental protection | Preventive | |
| Implement operational requirements for card readers. CC ID 02225 | Physical and environmental protection | Preventive | |
| Test and inspect assets under full load working conditions. CC ID 06356 | Physical and environmental protection | Detective | |
| Separate the off-site electronic media storage facilities from the primary facility through geographic separation. CC ID 01390 | Operational and Systems Continuity | Detective | |
| Test backup media for media integrity and information integrity, as necessary. CC ID 01401 | Operational and Systems Continuity | Detective | |
| Test backup media at the alternate facility in addition to testing at the primary facility. CC ID 06375 | Operational and Systems Continuity | Detective | |
| Test each restored system for media integrity and information integrity. CC ID 01920 | Operational and Systems Continuity | Detective | |
| Include stakeholders when testing restored systems, as necessary. CC ID 13066 | Operational and Systems Continuity | Corrective | |
| Establish, implement, and maintain a business continuity plan testing program. CC ID 14829 | Operational and Systems Continuity | Preventive | |
| Test the continuity plan, as necessary. CC ID 00755 [Recovery plan procedures supporting system recovery are tested to help meet the entity’s availability commitments and system requirements. A1.3] | Operational and Systems Continuity | Detective | |
| Include coverage of all major components in the scope of testing the continuity plan. CC ID 12767 | Operational and Systems Continuity | Preventive | |
| Include third party recovery services in the scope of testing the continuity plan. CC ID 12766 | Operational and Systems Continuity | Preventive | |
| Validate the emergency communications procedures during continuity plan tests. CC ID 12777 | Operational and Systems Continuity | Preventive | |
| Include the coordination and interfaces among third parties in the coverage of the scope of testing the continuity plan. CC ID 12769 | Operational and Systems Continuity | Preventive | |
| Involve senior management, as necessary, when testing the continuity plan. CC ID 13793 | Operational and Systems Continuity | Detective | |
| Test the continuity plan under conditions that simulate a disaster or disruption. CC ID 00757 | Operational and Systems Continuity | Detective | |
| Analyze system interdependence during continuity plan tests. CC ID 13082 | Operational and Systems Continuity | Detective | |
| Validate the evacuation plans during continuity plan tests. CC ID 12760 | Operational and Systems Continuity | Preventive | |
| Test the continuity plan at the alternate facility. CC ID 01174 | Operational and Systems Continuity | Detective | |
| Coordinate testing the continuity plan with all applicable business units and critical business functions. CC ID 01388 | Operational and Systems Continuity | Preventive | |
| Review all third party's continuity plan test results. CC ID 01365 | Operational and Systems Continuity | Detective | |
| Automate the off-site testing to more thoroughly test the continuity plan. CC ID 01389 | Operational and Systems Continuity | Detective | |
| Retest the continuity plan after correcting reported deficiencies documented in the continuity plan test results. CC ID 06553 | Operational and Systems Continuity | Detective | |
| Conduct full recovery and restoration of service testing for high impact systems at the alternate facility. CC ID 01404 | Operational and Systems Continuity | Detective | |
| Employ individuals who have the appropriate staff qualifications, staff clearances, and staff competencies. CC ID 00782 | Human Resources management | Detective | |
| Perform a drug test during personnel screening. CC ID 06648 | Human Resources management | Preventive | |
| Test proposed changes prior to their approval. CC ID 00548 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Detective | |
| Perform risk assessments prior to approving change requests. CC ID 00888 | Operational management | Preventive | |
| Perform a patch test prior to deploying a patch. CC ID 00898 | Operational management | Detective | |
| Test software patches for any potential compromise of the system's security. CC ID 13175 | Operational management | Detective | |
| Review changes to computer firmware. CC ID 12226 | Operational management | Detective | |
| Certify changes to computer firmware are free of malicious logic. CC ID 12227 | Operational management | Detective | |
| Test the system's operational functionality after implementing approved changes. CC ID 06294 | Operational management | Detective | |
| Perform and pass acceptance testing before moving a system back into operation after an approved change has occurred. CC ID 04541 | Operational management | Detective | |
| Maintain continued integrity for all stored data and stored records. CC ID 00969 [Data is stored and maintained completely, accurately, and in a timely manner for its specified life span to meet the entity’s processing integrity commitments and system requirements. PI1.4] | Records management | Detective | |
| Restrict system architects from being assigned as Administrators. CC ID 01064 | Systems design, build, and implementation | Detective | |
| Restrict the development team from having access to the production environment. CC ID 01066 | Systems design, build, and implementation | Detective | |
| Refrain from storing data elements containing payment card full magnetic stripe data. CC ID 04757 | Privacy protection for information and data | Detective | |
| Implement physical controls to protect personal data. CC ID 00355 | Privacy protection for information and data | Preventive | |
| Conduct personal data risk assessments. CC ID 00357 | Privacy protection for information and data | Detective | |
| Conduct internal data processing audits. CC ID 00374 | Privacy protection for information and data | Detective | |
| Refrain from subjecting individuals to retaliation or intimidation after a complaint is created. CC ID 06218 | Privacy protection for information and data | Detective | |
| Include third party acknowledgment of their data protection responsibilities in third party contracts. CC ID 01364 [The entity obtains confidentiality commitments that are consistent with the entity’s confidentiality system requirements from vendors and other third parties whose products and services are part of the system and have access to confidential information. C1.4] | Third Party and supply chain oversight | Detective | |
| Include auditing third party security controls and compliance controls in third party contracts. CC ID 01366 | Third Party and supply chain oversight | Detective | |
| Establish the third party's service continuity. CC ID 00797 | Third Party and supply chain oversight | Detective | |
| Determine the adequacy of a third party's alternate site preparations. CC ID 06879 | Third Party and supply chain oversight | Detective | |
| Maintain the third party's compliance framework to be equivalent to that of the organization's compliance requirements. CC ID 06087 [The entity obtains privacy commitments from vendors and other third parties whose products and services are part of the system and who have access to personal information processed by the system that are consistent with the entity’s privacy commitments and system requirements. P6.4] | Third Party and supply chain oversight | Detective | |
Common Controls andThere are three types of Common Control classifications; corrective, detective, and preventive. Common Controls at the top level have the default assignment of Impact Zone.
Corrective | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | TYPE | |
|---|---|---|---|
| Report errors and faults to the appropriate personnel, as necessary. CC ID 14296 | Monitoring and measurement | Communicate | |
| Determine the causes of compliance violations. CC ID 12401 | Monitoring and measurement | Investigate | |
| Correct compliance violations. CC ID 13515 | Monitoring and measurement | Process or Activity | |
| Carry out disciplinary actions when a compliance violation is detected. CC ID 06675 | Monitoring and measurement | Behavior | |
| Implement a corrective action plan in response to the audit report. CC ID 06777 [The design and operating effectiveness of controls are periodically evaluated against the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], and corrections and other necessary actions relating to identified deficiencies are taken in a timely manner. CC4.1] | Audits and risk management | Establish/Maintain Documentation | |
| Monitor and report on the status of mitigation actions in the corrective action plan. CC ID 15250 | Audits and risk management | Actionable Reports or Measurements | |
| Revise the risk treatment strategies in the risk treatment plan, as necessary. CC ID 12552 [The entity reassesses, and revises, as necessary, risk assessments and mitigation strategies based on the identified changes. CC3.1(5)] | Audits and risk management | Establish/Maintain Documentation | |
| Notify the user when an authentication is attempted using an expired authenticator. CC ID 13818 | Technical security | Communicate | |
| Revoke asset access when a personnel status change occurs or an individual is terminated. CC ID 00516 | Technical security | Behavior | |
| Review and update accounts and access rights when notified of personnel status changes. CC ID 00788 | Technical security | Behavior | |
| Remove inactive user accounts, as necessary. CC ID 00517 | Technical security | Technical Security | |
| Remove temporary user accounts, as necessary. CC ID 11839 | Technical security | Technical Security | |
| Implement out-of-band authentication, as necessary. CC ID 10606 | Technical security | Technical Security | |
| Disseminate and communicate the access control procedures to all interested personnel and affected parties. CC ID 14123 | Technical security | Communicate | |
| Tune the biometric identification equipment, as necessary. CC ID 07077 | Technical security | Configuration | |
| Change access requirements to organizational assets for personnel and visitors, as necessary. CC ID 12463 | Physical and environmental protection | Physical and Environmental Protection | |
| Document all lost badges in a lost badge list. CC ID 12448 | Physical and environmental protection | Establish/Maintain Documentation | |
| Establish, implement, and maintain physical hazard segregation or removal procedures. CC ID 01248 | Operational and Systems Continuity | Physical and Environmental Protection | |
| Include stakeholders when testing restored systems, as necessary. CC ID 13066 | Operational and Systems Continuity | Testing | |
| Terminate access rights when notified of a personnel status change or an individual is terminated. CC ID 11826 [{internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2] | Human Resources management | Technical Security | |
| Implement a sanctions process for personnel who fail to comply to the organizational compliance program. CC ID 01442 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Human Resources management | Behavior | |
| Measure policy compliance when reviewing the internal control framework. CC ID 06442 | Operational management | Actionable Reports or Measurements | |
| Update operating procedures that contribute to user errors. CC ID 06935 | Operational management | Establish/Maintain Documentation | |
| Include disciplinary actions in the Acceptable Use Policy. CC ID 00296 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain consequences for non-compliance with the organizational compliance framework. CC ID 11747 | Operational management | Process or Activity | |
| Share incident information with interested personnel and affected parties. CC ID 01212 [[Insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] incidents, including logical and physical security breaches, failures, and identified vulnerabilities, are identified and reported to appropriate personnel and acted on in accordance with established incident response procedures to meet the entity’s commitments and system requirements. CC6.2] | Operational management | Data and Information Management | |
| Share data loss event information with the media. CC ID 01759 | Operational management | Behavior | |
| Share data loss event information with interconnected system owners. CC ID 01209 | Operational management | Establish/Maintain Documentation | |
| Report data loss event information to breach notification organizations. CC ID 01210 | Operational management | Data and Information Management | |
| Report to breach notification organizations the time frame in which the organization will send data loss event notifications to interested personnel and affected parties. CC ID 04731 | Operational management | Behavior | |
| Notify interested personnel and affected parties of the privacy breach that affects their personal data. CC ID 00365 [{breach notification} {incident notification} The entity provides notification of breaches and incidents to affected data subjects, regulators, and others consistent with the entity’s privacy commitments and system requirements. P6.7] | Operational management | Behavior | |
| Delay sending incident response notifications under predetermined conditions. CC ID 00804 | Operational management | Behavior | |
| Establish, implement, and maintain incident response notifications. CC ID 12975 | Operational management | Establish/Maintain Documentation | |
| Provide enrollment information for identity theft prevention services or identity theft mitigation services. CC ID 13767 | Operational management | Communicate | |
| Offer identity theft prevention services or identity theft mitigation services at no cost to the affected parties. CC ID 13766 | Operational management | Business Processes | |
| Send paper incident response notifications to affected parties, as necessary. CC ID 00366 | Operational management | Behavior | |
| Determine if a substitute incident response notification is permitted if notifying affected parties. CC ID 00803 | Operational management | Behavior | |
| Use a substitute incident response notification to notify interested personnel and affected parties of the privacy breach that affects their personal data. CC ID 00368 | Operational management | Behavior | |
| Telephone incident response notifications to affected parties, as necessary. CC ID 04650 | Operational management | Behavior | |
| Publish the incident response notification in a general circulation periodical. CC ID 04651 | Operational management | Behavior | |
| Send electronic incident response notifications to affected parties, as necessary. CC ID 00367 | Operational management | Behavior | |
| Notify interested personnel and affected parties of the privacy breach about any recovered restricted data. CC ID 13347 | Operational management | Communicate | |
| Include the organizational functions affected by disruption in the Incident Management audit log. CC ID 12238 | Operational management | Log Management | |
| Provide and display incident management contact information to customers. CC ID 06386 [{internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5 {internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5] | Operational management | Establish/Maintain Documentation | |
| Approve back-out plans, as necessary. CC ID 13627 | Operational management | Establish/Maintain Documentation | |
| Deploy software patches in accordance with organizational standards. CC ID 07032 | Operational management | Configuration | |
| Patch software. CC ID 11825 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Operational management | Technical Security | |
| Patch the operating system, as necessary. CC ID 11824 | Operational management | Technical Security | |
| Deploy software patches in the disaster recovery environment to mirror those in the production environment. CC ID 13174 | Operational management | Configuration | |
| Remove outdated software after software has been updated. CC ID 11792 | Operational management | Configuration | |
| Update computer firmware, as necessary. CC ID 11755 | Operational management | Configuration | |
| Remove outdated computer firmware after the computer firmware has been updated. CC ID 10671 | Operational management | Configuration | |
| Mitigate the adverse effects of unauthorized changes. CC ID 12244 | Operational management | Business Processes | |
| Establish, implement, and maintain a change acceptance testing log. CC ID 06392 | Operational management | Establish/Maintain Documentation | |
| Document approved configuration deviations. CC ID 08711 | Operational management | Establish/Maintain Documentation | |
| Address known coding vulnerabilities as a part of secure coding techniques. CC ID 12493 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Document any reasons acknowledgment of the privacy notice was not received. CC ID 14434 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Amend education records within a reasonable period after receiving a record amendment request. CC ID 12998 | Privacy protection for information and data | Records Management | |
| Decide whether to amend education records based on evidence presented during a hearing. CC ID 13020 | Privacy protection for information and data | Records Management | |
| Remove certification marks of privacy programs the organization is no longer a member of from the privacy policy. CC ID 12368 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Remove any privacy programs the organization is not a member of from the privacy policy. CC ID 12367 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disseminate private communications when required by law. CC ID 14335 | Privacy protection for information and data | Communicate | |
| Include any reasons for delay if notifying the supervisory authority after the time limit. CC ID 12675 | Privacy protection for information and data | Communicate | |
| Allow authorized individuals to authenticate record entries containing personal data. CC ID 11812 | Privacy protection for information and data | Records Management | |
| Notify the subject of care when a lack of availability of health information systems might have adversely affected their care. CC ID 13990 | Privacy protection for information and data | Communicate | |
| Refrain from disseminating and communicating with individuals that have opted out of direct marketing communications. CC ID 13708 | Privacy protection for information and data | Communicate | |
| Refrain from disclosing a security breach if an investigation concludes none has occurred. CC ID 13086 | Privacy protection for information and data | Communicate | |
| Notify the data subject when personal data has been inadvertently disclosed. CC ID 13989 | Privacy protection for information and data | Communicate | |
| Report fraudulent account activity, unauthorized transactions, or discrepancies with current accounts. CC ID 04875 | Privacy protection for information and data | Monitor and Evaluate Occurrences | |
| Take appropriate action when a data leakage is discovered. CC ID 14716 | Privacy protection for information and data | Process or Activity | |
| Implement procedures to file privacy rights violation complaints. CC ID 00476 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Privacy protection for information and data | Data and Information Management | |
| File privacy rights violation complaints in writing. CC ID 00477 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the acts or omissions that are in violation of privacy rights in the privacy rights violation complaint. CC ID 14360 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide assistance to data subjects for filing privacy rights violation complaints. CC ID 00478 | Privacy protection for information and data | Behavior | |
| File privacy rights violation complaints inside the mandate stipulated from the refusal. CC ID 00479 | Privacy protection for information and data | Behavior | |
| Change or destroy any personal data that is incorrect. CC ID 00462 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Privacy protection for information and data | Data and Information Management | |
| Notify the data subject of changes made to personal data as the result of a dispute. CC ID 00463 | Privacy protection for information and data | Behavior | |
| Escalate the appeal process to change personal data when the data controller fails to make changes to the disputed data. CC ID 00465 | Privacy protection for information and data | Data and Information Management | |
| Notify the data subject of which and why disputed changes were not made to personal data. CC ID 00466 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Privacy protection for information and data | Behavior | |
| Notify entities to whom personal data was transferred that the personal data is wrong, along with the corrections. CC ID 00467 [The entity corrects, amends, or appends personal information based on information provided by the data subjects and communicates such information to third parties, as committed or required, consistent with the entity’s privacy commitments and system requirements. If a request for correction is denied, the data subject is informed of the denial and reason for such denial consistent with the entity’s privacy commitments and system requirements. P5.2] | Privacy protection for information and data | Behavior | |
| Order the cessation of data processing when a violation of the privacy policy is detected. CC ID 00475 | Privacy protection for information and data | Data and Information Management | |
| Cooperate with authorities during a privacy rights violation complaint investigation. CC ID 14364 | Privacy protection for information and data | Business Processes | |
| Notify respondents after a privacy rights violation complaint investigation has been resolved. CC ID 13513 | Privacy protection for information and data | Communicate | |
| Create an investigative report in regards to a privacy rights violation complaint. CC ID 00495 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Respond to an investigative report in regards to a privacy rights violation complaint. CC ID 00496 | Privacy protection for information and data | Behavior | |
| Order the organization to change to be in compliance with applicable law. CC ID 00499 [Compliance with the entity’s privacy commitments and system requirements by vendors and others third parties whose products and services are part of the system and who have access to personal information processed by the system is assessed on a periodic and as-needed basis and corrective action is taken, if necessary. P6.5 Compliance with the entity’s confidentiality commitments and system requirements by vendors and others third parties whose products and services are part of the system is assessed on a periodic and as-needed basis, and corrective action is taken, if necessary. C1.5] | Privacy protection for information and data | Behavior | |
| Order the organization to publish a notice with the corrections or actions taken. CC ID 00500 | Privacy protection for information and data | Behavior | |
| Award damages based on applicable law. CC ID 00501 | Privacy protection for information and data | Behavior | |
| Destroy personal data that breaches privacy after the privacy breach has been detected. CC ID 00503 | Privacy protection for information and data | Data and Information Management | |
Detective | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | TYPE | |
|---|---|---|---|
| Monitor the usage and capacity of critical assets. CC ID 14825 | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Monitor the usage and capacity of Information Technology assets. CC ID 00668 [Current processing capacity and usage are maintained, monitored, and evaluated to manage capacity demand and to enable the implementation of additional capacity to help meet the entity’s availability commitments and system requirements. A1.1] | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Notify the interested personnel and affected parties before the storage unit will reach maximum capacity. CC ID 06773 | Monitoring and measurement | Behavior | |
| Monitor systems for errors and faults. CC ID 04544 | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Compare system performance metrics to organizational standards and industry benchmarks. CC ID 00667 | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain logging and monitoring operations. CC ID 00637 | Monitoring and measurement | Log Management | |
| Monitor systems for inappropriate usage and other security violations. CC ID 00585 | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Monitor systems for access to restricted data or restricted information. CC ID 04721 | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Detect unauthorized access to systems. CC ID 06798 [Logical access controls support: prevention and detection of unauthorized access to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.1(3)] | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Monitor personnel and third parties for compliance to the organizational compliance framework. CC ID 04726 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Align enforcement reviews for non-compliance with organizational risk tolerance. CC ID 13063 | Monitoring and measurement | Business Processes | |
| Determine if multiple compliance violations of the same type could occur. CC ID 12402 | Monitoring and measurement | Investigate | |
| Review the effectiveness of disciplinary actions carried out for compliance violations. CC ID 12403 | Monitoring and measurement | Investigate | |
| Determine if the audit assertion's in scope controls are reasonable. CC ID 06980 | Audits and risk management | Testing | |
| Document test plans for auditing in scope controls. CC ID 06985 | Audits and risk management | Testing | |
| Determine the effectiveness of in scope controls. CC ID 06984 [The design and operating effectiveness of controls are periodically evaluated against the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], and corrections and other necessary actions relating to identified deficiencies are taken in a timely manner. CC4.1] | Audits and risk management | Testing | |
| Review incident management audit logs to determine the effectiveness of in scope controls. CC ID 12157 | Audits and risk management | Audits and Risk Management | |
| Review audit reports to determine the effectiveness of in scope controls. CC ID 12156 | Audits and risk management | Audits and Risk Management | |
| Observe processes to determine the effectiveness of in scope controls. CC ID 12155 | Audits and risk management | Audits and Risk Management | |
| Interview stakeholders to determine the effectiveness of in scope controls. CC ID 12154 | Audits and risk management | Audits and Risk Management | |
| Review policies and procedures to determine the effectiveness of in scope controls. CC ID 12144 | Audits and risk management | Audits and Risk Management | |
| Evaluate personnel status changes to determine the effectiveness of in scope controls. CC ID 16556 | Audits and risk management | Audits and Risk Management | |
| Determine whether individuals performing a control have the appropriate staff qualifications, staff clearances, and staff competencies. CC ID 16555 | Audits and risk management | Audits and Risk Management | |
| Review management's response to issues raised in past audit reports. CC ID 01149 | Audits and risk management | Audits and Risk Management | |
| Update the risk assessment upon changes to the risk profile. CC ID 11627 [The entity identifies and assesses changes (for example, environmental, regulatory, and technological changes and results of the assessment and monitoring of controls) that could significantly affect the system of internal control, and CC3.1(4) The entity reassesses, and revises, as necessary, risk assessments and mitigation strategies based on the identified changes. CC3.1(5)] | Audits and risk management | Establish/Maintain Documentation | |
| Assess the potential level of business impact risk associated with each business process. CC ID 06463 | Audits and risk management | Audits and Risk Management | |
| Assess the potential level of business impact risk associated with the business environment. CC ID 06464 | Audits and risk management | Audits and Risk Management | |
| Assess the potential level of business impact risk associated with business information of in scope systems. CC ID 06465 | Audits and risk management | Audits and Risk Management | |
| Identify changes to in scope systems that could threaten communication between business units. CC ID 13173 | Audits and risk management | Investigate | |
| Assess the potential business impact risk of in scope systems caused by deliberate threats to their confidentiality, integrity, and availability. CC ID 06466 | Audits and risk management | Audits and Risk Management | |
| Assess the potential level of business impact risk caused by accidental threats to the confidentiality, integrity and availability of critical systems. CC ID 06467 | Audits and risk management | Audits and Risk Management | |
| Assess the potential level of business impact risk associated with reputational damage. CC ID 15335 | Audits and risk management | Audits and Risk Management | |
| Assess the potential level of business impact risk associated with insider threats. CC ID 06468 | Audits and risk management | Audits and Risk Management | |
| Assess the potential level of business impact risk associated with external entities. CC ID 06469 | Audits and risk management | Audits and Risk Management | |
| Assess the potential level of business impact risk associated with natural disasters. CC ID 06470 | Audits and risk management | Actionable Reports or Measurements | |
| Assess the potential level of business impact risk associated with control weaknesses. CC ID 06471 | Audits and risk management | Audits and Risk Management | |
| Perform a gap analysis to review in scope controls for identified risks and implement new controls, as necessary. CC ID 00704 [The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2 The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2 Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Audits and risk management | Establish/Maintain Documentation | |
| Analyze the effect of threats on organizational strategies and objectives. CC ID 12850 | Audits and risk management | Process or Activity | |
| Analyze the effect of opportunities on organizational strategies and objectives. CC ID 12849 | Audits and risk management | Process or Activity | |
| Determine the effectiveness of risk control measures. CC ID 06601 | Audits and risk management | Testing | |
| Identify information system users. CC ID 12081 | Technical security | Technical Security | |
| Review user accounts. CC ID 00525 | Technical security | Technical Security | |
| Match user accounts to authorized parties. CC ID 12126 | Technical security | Configuration | |
| Identify and authenticate processes running on information systems that act on behalf of users. CC ID 12082 | Technical security | Technical Security | |
| Review shared accounts. CC ID 11840 | Technical security | Technical Security | |
| Disallow application IDs from running as privileged users. CC ID 10050 | Technical security | Configuration | |
| Perform a risk assessment prior to activating third party access to the organization's critical systems. CC ID 06455 | Technical security | Testing | |
| Notify interested personnel when user accounts are added or deleted. CC ID 14327 | Technical security | Communicate | |
| Employ unique identifiers. CC ID 01273 | Technical security | Testing | |
| Authenticate user identities before unlocking an account. CC ID 11837 | Technical security | Testing | |
| Authenticate user identities before manually resetting an authenticator. CC ID 04567 | Technical security | Testing | |
| Identify the user when enrolling them in the biometric system. CC ID 06882 | Technical security | Testing | |
| Configure firewalls to perform dynamic packet filtering. CC ID 01288 | Technical security | Testing | |
| Secure physical entry points with physical access controls or security guards. CC ID 01640 | Physical and environmental protection | Physical and Environmental Protection | |
| Test and inspect assets under full load working conditions. CC ID 06356 | Physical and environmental protection | Testing | |
| Monitor and review environmental protections. CC ID 12571 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and environmental protection | Monitor and Evaluate Occurrences | |
| Install and maintain seismic detectors in critical facilities. CC ID 06364 | Physical and environmental protection | Physical and Environmental Protection | |
| Install and maintain an environment control monitoring system. CC ID 06370 | Physical and environmental protection | Monitor and Evaluate Occurrences | |
| Determine which data elements to back up. CC ID 13483 | Operational and Systems Continuity | Data and Information Management | |
| Separate the off-site electronic media storage facilities from the primary facility through geographic separation. CC ID 01390 | Operational and Systems Continuity | Testing | |
| Review the security of the off-site electronic media storage facilities, as necessary. CC ID 00573 | Operational and Systems Continuity | Systems Continuity | |
| Test backup media for media integrity and information integrity, as necessary. CC ID 01401 | Operational and Systems Continuity | Testing | |
| Test backup media at the alternate facility in addition to testing at the primary facility. CC ID 06375 | Operational and Systems Continuity | Testing | |
| Test each restored system for media integrity and information integrity. CC ID 01920 | Operational and Systems Continuity | Testing | |
| Review the alternate facility preparation procedures. CC ID 04884 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Systems Continuity | |
| Test the continuity plan, as necessary. CC ID 00755 [Recovery plan procedures supporting system recovery are tested to help meet the entity’s availability commitments and system requirements. A1.3] | Operational and Systems Continuity | Testing | |
| Involve senior management, as necessary, when testing the continuity plan. CC ID 13793 | Operational and Systems Continuity | Testing | |
| Test the continuity plan under conditions that simulate a disaster or disruption. CC ID 00757 | Operational and Systems Continuity | Testing | |
| Analyze system interdependence during continuity plan tests. CC ID 13082 | Operational and Systems Continuity | Testing | |
| Test the continuity plan at the alternate facility. CC ID 01174 | Operational and Systems Continuity | Testing | |
| Review all third party's continuity plan test results. CC ID 01365 | Operational and Systems Continuity | Testing | |
| Automate the off-site testing to more thoroughly test the continuity plan. CC ID 01389 | Operational and Systems Continuity | Testing | |
| Retest the continuity plan after correcting reported deficiencies documented in the continuity plan test results. CC ID 06553 | Operational and Systems Continuity | Testing | |
| Conduct full recovery and restoration of service testing for high impact systems at the alternate facility. CC ID 01404 | Operational and Systems Continuity | Testing | |
| Employ individuals who have the appropriate staff qualifications, staff clearances, and staff competencies. CC ID 00782 | Human Resources management | Testing | |
| Perform a background check during personnel screening. CC ID 11758 | Human Resources management | Human Resources Management | |
| Document and communicate role descriptions to all applicable personnel. CC ID 00776 [Information necessary for designing, developing, implementing, operating, maintaining, and monitoring controls, relevant to the [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] of the system, is provided to personnel to carry out their responsibilities. CC2.4 {internal users} The responsibilities of internal and external users and others whose roles affect system operation are communicated to those parties. CC2.3 {internal users} The responsibilities of internal and external users and others whose roles affect system operation are communicated to those parties. CC2.3] | Human Resources management | Establish Roles | |
| Include the legal intellectual property responsibilities in the Code of Conduct. CC ID 04898 | Human Resources management | Establish/Maintain Documentation | |
| Establish, implement, and maintain performance reviews. CC ID 14777 | Human Resources management | Business Processes | |
| Conduct staff performance reviews, as necessary. CC ID 07205 [The entity has established procedures to evaluate the competency of personnel responsible for designing, developing, implementing, operating, maintaining, and monitoring the system affecting [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] and provides resources necessary for personnel to fulfill their responsibilities. CC1.3] | Human Resources management | Business Processes | |
| Analyze the documentation produced by staff during the performance review. CC ID 07207 | Human Resources management | Establish/Maintain Documentation | |
| Review the relevance of information supporting internal controls. CC ID 12420 | Operational management | Business Processes | |
| Include emergency response procedures in the internal control framework. CC ID 06779 | Operational management | Establish/Maintain Documentation | |
| Review and approve access controls, as necessary. CC ID 13074 | Operational management | Process or Activity | |
| Perform social network analysis, as necessary. CC ID 14864 | Operational management | Investigate | |
| Include individual commitment to the organization's Governance, Risk, and Compliance framework in the analysis of the organizational culture. CC ID 12922 | Operational management | Process or Activity | |
| Include the organizational climate in the analysis of the organizational culture. CC ID 12921 | Operational management | Process or Activity | |
| Include consistency of leadership actions to mission, vision, and values in the analysis of the organizational culture. CC ID 12920 | Operational management | Process or Activity | |
| Respond to and triage when an incident is detected. CC ID 06942 | Operational management | Monitor and Evaluate Occurrences | |
| Document the incident and any relevant evidence in the incident report. CC ID 08659 [[Insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] incidents, including logical and physical security breaches, failures, and identified vulnerabilities, are identified and reported to appropriate personnel and acted on in accordance with established incident response procedures to meet the entity’s commitments and system requirements. CC6.2] | Operational management | Establish/Maintain Documentation | |
| Submit an incident management audit log to the proper authorities for each security breach that affects a predefined number of individuals, as necessary. CC ID 06326 | Operational management | Log Management | |
| Determine whether or not incident response notifications are necessary during the privacy breach investigation. CC ID 00801 | Operational management | Behavior | |
| Avoid false positive incident response notifications. CC ID 04732 | Operational management | Behavior | |
| Include information required by law in incident response notifications. CC ID 00802 | Operational management | Establish/Maintain Documentation | |
| Include how the affected parties can protect themselves from identity theft in incident response notifications. CC ID 04738 | Operational management | Establish/Maintain Documentation | |
| Test proposed changes prior to their approval. CC ID 00548 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Testing | |
| Examine all changes to ensure they correspond with the change request. CC ID 12345 | Operational management | Business Processes | |
| Conduct network certifications prior to approving change requests for networks. CC ID 13121 | Operational management | Process or Activity | |
| Analyze mitigating controls for vulnerabilities in the network when certifying the network. CC ID 13126 | Operational management | Investigate | |
| Collect data about the network environment when certifying the network. CC ID 13125 | Operational management | Investigate | |
| Review the patch log for missing patches. CC ID 13186 | Operational management | Technical Security | |
| Perform a patch test prior to deploying a patch. CC ID 00898 | Operational management | Testing | |
| Test software patches for any potential compromise of the system's security. CC ID 13175 | Operational management | Testing | |
| Review changes to computer firmware. CC ID 12226 | Operational management | Testing | |
| Certify changes to computer firmware are free of malicious logic. CC ID 12227 | Operational management | Testing | |
| Implement cryptographic mechanisms to authenticate software and computer firmware before installation. CC ID 10682 | Operational management | Technical Security | |
| Establish, implement, and maintain approved change acceptance testing procedures. CC ID 06391 | Operational management | Establish/Maintain Documentation | |
| Test the system's operational functionality after implementing approved changes. CC ID 06294 | Operational management | Testing | |
| Perform and pass acceptance testing before moving a system back into operation after an approved change has occurred. CC ID 04541 | Operational management | Testing | |
| Establish, implement, and maintain a configuration change log. CC ID 08710 | Operational management | Configuration | |
| Define each system's preservation requirements for records and logs. CC ID 00904 | Records management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a data retention program. CC ID 00906 | Records management | Establish/Maintain Documentation | |
| Maintain continued integrity for all stored data and stored records. CC ID 00969 [Data is stored and maintained completely, accurately, and in a timely manner for its specified life span to meet the entity’s processing integrity commitments and system requirements. PI1.4] | Records management | Testing | |
| Establish, implement, and maintain data accuracy controls. CC ID 00921 [System inputs are measured and recorded completely, accurately, and timely to meet the entity’s processing integrity commitments and system requirements. PI1.2] | Records management | Monitor and Evaluate Occurrences | |
| Compare each record's data input to its final form. CC ID 11813 | Records management | Records Management | |
| Restrict system architects from being assigned as Administrators. CC ID 01064 | Systems design, build, and implementation | Testing | |
| Restrict the development team from having access to the production environment. CC ID 01066 | Systems design, build, and implementation | Testing | |
| Require a data protection impact assessment when profiling the data subject. CC ID 12680 | Privacy protection for information and data | Process or Activity | |
| Document privacy policies in clearly written and easily understood language. CC ID 00376 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Notify the individual of the reasons for delays in responding to data access requests. CC ID 00422 | Privacy protection for information and data | Behavior | |
| Notify the individual when a cost is imposed which must be paid in advance to gain access. CC ID 00423 | Privacy protection for information and data | Behavior | |
| Refrain from erasing personal data upon data subject request when it is being used for incident detection. CC ID 13778 | Privacy protection for information and data | Process or Activity | |
| Analyze requirements for processing personal data in contracts. CC ID 12550 | Privacy protection for information and data | Investigate | |
| Disclose personal data when the data subject has consented and has the ability to opt out. CC ID 00158 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data for judicial decisions, lawsuits, and investigations only after the data controller includes a note of the disclosure in the record. CC ID 00162 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include personal data that is for the state's economic interest as a reason for denial in the personal data request denial procedures. CC ID 00446 | Privacy protection for information and data | Data and Information Management | |
| Determine the financial impact for the unauthorized disclosure of privacy-related data and privacy-related information. CC ID 06488 | Privacy protection for information and data | Business Processes | |
| Confirm the data quality of personal data collected from third parties. CC ID 13510 | Privacy protection for information and data | Investigate | |
| Review the methods for collecting personal data, as necessary. CC ID 13511 | Privacy protection for information and data | Investigate | |
| Refrain from storing data elements containing payment card full magnetic stripe data. CC ID 04757 | Privacy protection for information and data | Testing | |
| Conduct personal data risk assessments. CC ID 00357 | Privacy protection for information and data | Testing | |
| Establish, implement, and maintain suspicious document procedures. CC ID 04852 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain suspicious personal data procedures. CC ID 04853 | Privacy protection for information and data | Data and Information Management | |
| Compare certain personal data such as name, date of birth, address, driver's license, or other identification against personal data on file for the applicant. CC ID 04855 | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain suspicious user account activity procedures. CC ID 04854 | Privacy protection for information and data | Monitor and Evaluate Occurrences | |
| Perform an identity check prior to approving an account change request. CC ID 13670 | Privacy protection for information and data | Investigate | |
| Use the contact information on file to contact the individual identified in an account change request. CC ID 04857 | Privacy protection for information and data | Behavior | |
| Match consumer reports with current accounts on file to ensure account misuse or information misuse has not occurred. CC ID 04873 | Privacy protection for information and data | Data and Information Management | |
| Log account access dates and report when dormant accounts suddenly exhibit unusual activity. CC ID 04874 | Privacy protection for information and data | Log Management | |
| Log dates for account name changes or address changes. CC ID 04876 | Privacy protection for information and data | Log Management | |
| Review accounts that are changed for additional user requests. CC ID 11846 | Privacy protection for information and data | Monitor and Evaluate Occurrences | |
| Send change notices for change of address requests to the old address and the new address. CC ID 04877 | Privacy protection for information and data | Data and Information Management | |
| Search the Internet for evidence of data leakage. CC ID 10419 | Privacy protection for information and data | Process or Activity | |
| Review monitored websites for data leakage. CC ID 10593 | Privacy protection for information and data | Monitor and Evaluate Occurrences | |
| Conduct internal data processing audits. CC ID 00374 | Privacy protection for information and data | Testing | |
| Review compliance with the organization's privacy objectives. CC ID 13490 | Privacy protection for information and data | Human Resources Management | |
| Investigate privacy rights violation complaints. CC ID 00480 | Privacy protection for information and data | Behavior | |
| Notify respondents after a privacy rights violation complaint investigation begins. CC ID 00491 | Privacy protection for information and data | Behavior | |
| Investigate privacy rights violation complaints in private. CC ID 00492 | Privacy protection for information and data | Behavior | |
| Make appropriate inquiries and obtain appropriate information regarding privacy rights violation complaints. CC ID 00493 | Privacy protection for information and data | Behavior | |
| Allow the complainant to appear before the commissioner and make a submission, orally or in writing, about the privacy rights violation complaint investigation prior to an adverse decision to the complainant is reached. CC ID 00494 | Privacy protection for information and data | Behavior | |
| Define the available administrative remedies in regards to a privacy rights violation complaint. CC ID 00497 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from subjecting individuals to retaliation or intimidation after a complaint is created. CC ID 06218 | Privacy protection for information and data | Testing | |
| Formalize client and third party relationships with contracts or nondisclosure agreements. CC ID 00794 | Third Party and supply chain oversight | Process or Activity | |
| Include third party acknowledgment of their data protection responsibilities in third party contracts. CC ID 01364 [The entity obtains confidentiality commitments that are consistent with the entity’s confidentiality system requirements from vendors and other third parties whose products and services are part of the system and have access to confidential information. C1.4] | Third Party and supply chain oversight | Testing | |
| Include auditing third party security controls and compliance controls in third party contracts. CC ID 01366 | Third Party and supply chain oversight | Testing | |
| Establish the third party's service continuity. CC ID 00797 | Third Party and supply chain oversight | Testing | |
| Determine the adequacy of a third party's alternate site preparations. CC ID 06879 | Third Party and supply chain oversight | Testing | |
| Employ access controls that meet the organization's compliance requirements on third party systems with access to the organization's restricted data. CC ID 04264 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Third Party and supply chain oversight | Data and Information Management | |
| Maintain the third party's compliance framework to be equivalent to that of the organization's compliance requirements. CC ID 06087 [The entity obtains privacy commitments from vendors and other third parties whose products and services are part of the system and who have access to personal information processed by the system that are consistent with the entity’s privacy commitments and system requirements. P6.4] | Third Party and supply chain oversight | Testing | |
| Assess third parties' compliance environment during due diligence. CC ID 13134 | Third Party and supply chain oversight | Process or Activity | |
| Request attestation of compliance from third parties. CC ID 12067 | Third Party and supply chain oversight | Establish/Maintain Documentation | |
| Assess third parties' compliance with the organization's third party security policies during due diligence. CC ID 12075 [Compliance with the entity’s privacy commitments and system requirements by vendors and others third parties whose products and services are part of the system and who have access to personal information processed by the system is assessed on a periodic and as-needed basis and corrective action is taken, if necessary. P6.5 Compliance with the entity’s confidentiality commitments and system requirements by vendors and others third parties whose products and services are part of the system is assessed on a periodic and as-needed basis, and corrective action is taken, if necessary. C1.5] | Third Party and supply chain oversight | Business Processes | |
IT Impact Zone | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | TYPE | |
|---|---|---|---|
| Leadership and high level objectives CC ID 00597 | Leadership and high level objectives | IT Impact Zone | |
| Monitoring and measurement CC ID 00636 | Monitoring and measurement | IT Impact Zone | |
| Audits and risk management CC ID 00677 | Audits and risk management | IT Impact Zone | |
| Technical security CC ID 00508 | Technical security | IT Impact Zone | |
| Physical and environmental protection CC ID 00709 | Physical and environmental protection | IT Impact Zone | |
| Operational and Systems Continuity CC ID 00731 | Operational and Systems Continuity | IT Impact Zone | |
| Human Resources management CC ID 00763 | Human Resources management | IT Impact Zone | |
| Operational management CC ID 00805 | Operational management | IT Impact Zone | |
| Records management CC ID 00902 | Records management | IT Impact Zone | |
| Systems design, build, and implementation CC ID 00989 | Systems design, build, and implementation | IT Impact Zone | |
| Privacy protection for information and data CC ID 00008 | Privacy protection for information and data | IT Impact Zone | |
| Third Party and supply chain oversight CC ID 08807 | Third Party and supply chain oversight | IT Impact Zone | |
Preventive | KEY: Primary Verb Primary Noun Secondary Verb Secondary Noun Limiting Term | |||
| Mandated - bold Implied - italic Implementation - regular | IMPACT ZONE | TYPE | |
|---|---|---|---|
| Analyze organizational objectives, functions, and activities. CC ID 00598 | Leadership and high level objectives | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain organizational objectives. CC ID 09959 | Leadership and high level objectives | Establish/Maintain Documentation | |
| Document and communicate the linkage between organizational objectives, functions, activities, and general controls. CC ID 12398 [The entity's [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. CC2.2] | Leadership and high level objectives | Establish/Maintain Documentation | |
| Identify threats that could affect achieving organizational objectives. CC ID 12827 | Leadership and high level objectives | Business Processes | |
| Identify how opportunities, threats, and external requirements are trending. CC ID 12829 | Leadership and high level objectives | Process or Activity | |
| Identify relationships between opportunities, threats, and external requirements. CC ID 12805 | Leadership and high level objectives | Process or Activity | |
| Review the organization's approach to managing information security, as necessary. CC ID 12005 | Leadership and high level objectives | Business Processes | |
| Monitor all outbound traffic from all systems. CC ID 12970 | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain intrusion management operations. CC ID 00580 | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain a risk monitoring program. CC ID 00658 | Monitoring and measurement | Establish/Maintain Documentation | |
| Monitor for new vulnerabilities. CC ID 06843 [Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Monitoring and measurement | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain a compliance monitoring policy. CC ID 00671 | Monitoring and measurement | Establish/Maintain Documentation | |
| Establish, implement, and maintain a metrics policy. CC ID 01654 | Monitoring and measurement | Establish/Maintain Documentation | |
| Establish, implement, and maintain an approach for compliance monitoring. CC ID 01653 | Monitoring and measurement | Establish/Maintain Documentation | |
| Identify and document instances of non-compliance with the compliance framework. CC ID 06499 | Monitoring and measurement | Establish/Maintain Documentation | |
| Identify and document events surrounding non-compliance with the organizational compliance framework. CC ID 12935 | Monitoring and measurement | Establish/Maintain Documentation | |
| Align disciplinary actions with the level of compliance violation. CC ID 12404 | Monitoring and measurement | Human Resources Management | |
| Establish, implement, and maintain disciplinary action notices. CC ID 16577 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include a copy of the order in the disciplinary action notice. CC ID 16606 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include the sanctions imposed in the disciplinary action notice. CC ID 16599 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include the effective date of the sanctions in the disciplinary action notice. CC ID 16589 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include the requirements that were violated in the disciplinary action notice. CC ID 16588 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include responses to charges from interested personnel and affected parties in the disciplinary action notice. CC ID 16587 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include the reasons for imposing sanctions in the disciplinary action notice. CC ID 16586 | Monitoring and measurement | Establish/Maintain Documentation | |
| Disseminate and communicate the disciplinary action notice to interested personnel and affected parties. CC ID 16585 | Monitoring and measurement | Communicate | |
| Include required information in the disciplinary action notice. CC ID 16584 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include a justification for actions taken in the disciplinary action notice. CC ID 16583 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include a statement on the conclusions of the investigation in the disciplinary action notice. CC ID 16582 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include the investigation results in the disciplinary action notice. CC ID 16581 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include a description of the causes of the actions taken in the disciplinary action notice. CC ID 16580 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include the name of the person responsible for the charges in the disciplinary action notice. CC ID 16579 | Monitoring and measurement | Establish/Maintain Documentation | |
| Include contact information in the disciplinary action notice. CC ID 16578 | Monitoring and measurement | Establish/Maintain Documentation | |
| Establish, implement, and maintain an audit program. CC ID 00684 | Audits and risk management | Establish/Maintain Documentation | |
| Accept the attestation engagement when all preconditions are met. CC ID 13933 | Audits and risk management | Business Processes | |
| Audit in scope audit items and compliance documents. CC ID 06730 | Audits and risk management | Audits and Risk Management | |
| Review documentation to determine the effectiveness of in scope controls. CC ID 16522 | Audits and risk management | Process or Activity | |
| Assign responsibility for remediation actions. CC ID 13622 | Audits and risk management | Human Resources Management | |
| Define penalties for uncorrected audit findings or remaining non-compliant with the audit report. CC ID 08963 | Audits and risk management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a risk management program. CC ID 12051 | Audits and risk management | Establish/Maintain Documentation | |
| Establish, implement, and maintain the risk assessment framework. CC ID 00685 | Audits and risk management | Establish/Maintain Documentation | |
| Define and assign the roles and responsibilities for the risk assessment framework, as necessary. CC ID 06456 [Responsibility and accountability for designing, developing, implementing, operating, maintaining, monitoring, and approving the entity’s system controls and other risk mitigation strategies are assigned to individuals within the entity with authority to ensure policies and other system requirements are effectively promulgated and implemented to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy or any combination thereof]. CC1.2] | Audits and risk management | Establish Roles | |
| Establish, implement, and maintain a risk assessment program. CC ID 00687 | Audits and risk management | Establish/Maintain Documentation | |
| Establish, implement, and maintain risk assessment procedures. CC ID 06446 | Audits and risk management | Establish/Maintain Documentation | |
| Employ risk assessment procedures that include appropriate risk treatment options for each identified risk. CC ID 06484 [The entity determines mitigation strategies for those risks (including implementation of controls, assessment and monitoring of vendors and other third parties providing goods or services, as well as their activities, and other mitigation strategies), CC3.1(3)] | Audits and risk management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a threat and risk classification scheme. CC ID 07183 | Audits and risk management | Establish/Maintain Documentation | |
| Include security threats and vulnerabilities in the threat and risk classification scheme. CC ID 00699 [The entity identifies potential threats that could impair system [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements (including threats arising from the use of vendors and other third parties providing goods and services, as well as threats arising from customer personnel and others with access to the system), CC3.1(1) Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Audits and risk management | Technical Security | |
| Perform risk assessments for all target environments, as necessary. CC ID 06452 | Audits and risk management | Testing | |
| Review the risk to the audit function when the audit personnel status changes. CC ID 01153 | Audits and risk management | Audits and Risk Management | |
| Document any reasons for modifying or refraining from modifying the organization's risk assessment when the risk assessment has been reviewed. CC ID 13312 | Audits and risk management | Establish/Maintain Documentation | |
| Correlate the business impact of identified risks in the risk assessment report. CC ID 00686 | Audits and risk management | Audits and Risk Management | |
| Analyze and quantify the risks to in scope systems and information. CC ID 00701 [The entity analyzes the significance of risks associated with the identified threats, CC3.1(2) Vulnerabilities of system components to [insert the principle(s)addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] breaches and incidents due to malicious acts, natural disasters, or errors are identified, monitored, and evaluated, and countermeasures are designed, implemented, and operated to compensate for known and newly identified vulnerabilities to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC6.1] | Audits and risk management | Audits and Risk Management | |
| Establish and maintain a Risk Scoping and Measurement Definitions Document. CC ID 00703 | Audits and risk management | Audits and Risk Management | |
| Identify the material risks in the risk assessment report. CC ID 06482 | Audits and risk management | Audits and Risk Management | |
| Establish a risk acceptance level that is appropriate to the organization's risk appetite. CC ID 00706 | Audits and risk management | Establish/Maintain Documentation | |
| Investigate alternative risk control strategies appropriate to the organization's risk appetite. CC ID 12887 | Audits and risk management | Investigate | |
| Select the appropriate risk treatment option for each identified risk in the risk register. CC ID 06483 | Audits and risk management | Establish/Maintain Documentation | |
| Disseminate and communicate the risk acceptance level in the risk treatment plan to all interested personnel and affected parties. CC ID 06849 | Audits and risk management | Behavior | |
| Document the results of the gap analysis. CC ID 16271 | Audits and risk management | Establish/Maintain Documentation | |
| Prioritize and select controls based on the risk assessment findings. CC ID 00707 | Audits and risk management | Audits and Risk Management | |
| Prioritize and categorize the effects of opportunities, threats and requirements on control activities. CC ID 12822 | Audits and risk management | Audits and Risk Management | |
| Develop key indicators to inform management on the effectiveness of risk control measures. CC ID 12946 | Audits and risk management | Audits and Risk Management | |
| Establish, implement, and maintain a risk treatment plan. CC ID 11983 | Audits and risk management | Establish/Maintain Documentation | |
| Include the risk treatment strategy in the risk treatment plan. CC ID 12159 | Audits and risk management | Establish/Maintain Documentation | |
| Include the implemented risk management controls in the risk treatment plan. CC ID 11979 [The entity designs, develops, implements, and operates controls, including policies and procedures, to implement its risk mitigation strategy; reassesses the suitability of the design and implementation of control activities based on the operation and monitoring of those activities; and updates the controls, as necessary. CC3.2] | Audits and risk management | Establish/Maintain Documentation | |
| Establish, implement, and maintain an access control program. CC ID 11702 [{internal users} Logical access controls support: identification and authentication of authorized internal and external users; CC5.1(1)] | Technical security | Establish/Maintain Documentation | |
| Include instructions to change authenticators as often as necessary in the access control program. CC ID 11931 | Technical security | Establish/Maintain Documentation | |
| Include guidance for how users should protect their authentication credentials in the access control program. CC ID 11929 | Technical security | Establish/Maintain Documentation | |
| Include guidance on selecting authentication credentials in the access control program. CC ID 11928 | Technical security | Establish/Maintain Documentation | |
| Establish, implement, and maintain access control policies. CC ID 00512 | Technical security | Establish/Maintain Documentation | |
| Include compliance requirements in the access control policy. CC ID 14006 | Technical security | Establish/Maintain Documentation | |
| Include coordination amongst entities in the access control policy. CC ID 14005 | Technical security | Establish/Maintain Documentation | |
| Include management commitment in the access control policy. CC ID 14004 | Technical security | Establish/Maintain Documentation | |
| Include roles and responsibilities in the access control policy. CC ID 14003 | Technical security | Establish/Maintain Documentation | |
| Include the scope in the access control policy. CC ID 14002 | Technical security | Establish/Maintain Documentation | |
| Include the purpose in the access control policy. CC ID 14001 | Technical security | Establish/Maintain Documentation | |
| Document the business need justification for user accounts. CC ID 15490 | Technical security | Establish/Maintain Documentation | |
| Establish, implement, and maintain an instant messaging and chat system usage policy. CC ID 11815 | Technical security | Establish/Maintain Documentation | |
| Disseminate and communicate the access control policies to all interested personnel and affected parties. CC ID 10061 | Technical security | Establish/Maintain Documentation | |
| Establish, implement, and maintain an access rights management plan. CC ID 00513 | Technical security | Establish/Maintain Documentation | |
| Implement safeguards to protect access credentials from unauthorized access. CC ID 16433 | Technical security | Technical Security | |
| Inventory all user accounts. CC ID 13732 | Technical security | Establish/Maintain Documentation | |
| Establish and maintain contact information for user accounts, as necessary. CC ID 15418 | Technical security | Data and Information Management | |
| Control access rights to organizational assets. CC ID 00004 [{internal users} Logical access controls support: restriction of authorized internal and external user access to system components, or portions thereof, authorized by management, including hardware, data, software, mobile devices, output, and offline elements; and CC5.1(2) {internal users} Logical access controls support: restriction of authorized internal and external user access to system components, or portions thereof, authorized by management, including hardware, data, software, mobile devices, output, and offline elements; and CC5.1(2) Access to data, software, functions, and other IT resources is authorized and is modified or removed based on roles, responsibilities, or the system design and changes to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.4 Access to data, software, functions, and other IT resources is authorized and is modified or removed based on roles, responsibilities, or the system design and changes to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.4 {internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2 {internal users} New internal and external users, whose access is administered by the entity, are registered and authorized prior to being issued system credentials and granted the ability to access the system to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC5.2] | Technical security | Technical Security | |
| Configure access control lists in accordance with organizational standards. CC ID 16465 | Technical security | Configuration | |
| Add all devices requiring access control to the Access Control List. CC ID 06264 | Technical security | Establish/Maintain Documentation | |
| Generate but refrain from storing authenticators or Personal Identification Numbers for systems involved in high risk activities. CC ID 06835 | Technical security | Technical Security | |
| Define roles for information systems. CC ID 12454 | Technical security | Human Resources Management | |
| Define access needs for each role assigned to an information system. CC ID 12455 | Technical security | Human Resources Management | |
| Define access needs for each system component of an information system. CC ID 12456 | Technical security | Technical Security | |
| Define the level of privilege required for each system component of an information system. CC ID 12457 | Technical security | Technical Security | |
| Establish access rights based on least privilege. CC ID 01411 | Technical security | Technical Security | |
| Assign user permissions based on job responsibilities. CC ID 00538 | Technical security | Technical Security | |
| Assign user privileges after they have management sign off. CC ID 00542 | Technical security | Technical Security | |
| Separate processing domains to segregate user privileges and enhance information flow control. CC ID 06767 | Technical security | Configuration | |
| Establish, implement, and maintain lockout procedures or lockout mechanisms to be triggered after a predetermined number of consecutive logon attempts. CC ID 01412 | Technical security | Technical Security | |
| Configure the lockout procedure to disregard failed logon attempts after the user is authenticated. CC ID 13822 | Technical security | Configuration | |
| Disallow unlocking user accounts absent system administrator approval. CC ID 01413 | Technical security | Technical Security | |
| Establish, implement, and maintain session lock capabilities. CC ID 01417 | Technical security | Configuration | |
| Limit concurrent sessions according to account type. CC ID 01416 | Technical security | Configuration | |
| Establish session authenticity through Transport Layer Security. CC ID 01627 | Technical security | Technical Security | |
| Configure the "tlsverify" argument to organizational standards. CC ID 14460 | Technical security | Configuration | |
| Configure the "tlscacert" argument to organizational standards. CC ID 14521 | Technical security | Configuration | |
| Configure the "tlscert" argument to organizational standards. CC ID 14520 | Technical security | Configuration | |
| Configure the "tlskey" argument to organizational standards. CC ID 14519 | Technical security | Configuration | |
| Enable access control for objects and users on each system. CC ID 04553 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7 {internal users} Internal and external users are identified and authenticated when accessing the system components (for example, infrastructure, software, and data) to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.3] | Technical security | Configuration | |
| Include all system components in the access control system. CC ID 11939 | Technical security | Technical Security | |
| Set access control for objects and users to "deny all" unless explicitly authorized. CC ID 06301 | Technical security | Process or Activity | |
| Enable access control for objects and users to match restrictions set by the system's security classification. CC ID 04850 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Technical security | Technical Security | |
| Enable attribute-based access control for objects and users on information systems. CC ID 16351 | Technical security | Technical Security | |
| Enable role-based access control for objects and users on information systems. CC ID 12458 | Technical security | Technical Security | |
| Include the objects and users subject to access control in the security policy. CC ID 11836 | Technical security | Establish/Maintain Documentation | |
| Assign Information System access authorizations if implementing segregation of duties. CC ID 06323 | Technical security | Establish Roles | |
| Enforce access restrictions for change control. CC ID 01428 | Technical security | Technical Security | |
| Enforce access restrictions for restricted data. CC ID 01921 [Confidential information within the boundaries of the system is protected against unauthorized access, use, and disclosure during input, processing, retention, output, and disposition to meet the entity’s confidentiality commitments and system requirements. C1.2] | Technical security | Data and Information Management | |
| Permit a limited set of user actions absent identification and authentication. CC ID 04849 | Technical security | Technical Security | |
| Activate third party maintenance accounts and user identifiers, as necessary. CC ID 04262 | Technical security | Technical Security | |
| Establish, implement, and maintain a system use agreement for each information system. CC ID 06500 | Technical security | Establish/Maintain Documentation | |
| Accept and sign the system use agreement before data or system access is enabled. CC ID 06501 | Technical security | Establish/Maintain Documentation | |
| Display a logon banner and appropriate logon message before granting access to the system. CC ID 06770 | Technical security | Technical Security | |
| Display previous logon information in the logon banner. CC ID 01415 | Technical security | Configuration | |
| Document actions that can be performed on an information system absent identification and authentication of the user. CC ID 06771 | Technical security | Establish/Maintain Documentation | |
| Use automatic equipment identification as a method of connection authentication absent an individual's identification and authentication. CC ID 06964 | Technical security | Technical Security | |
| Control user privileges. CC ID 11665 | Technical security | Technical Security | |
| Review all user privileges, as necessary. CC ID 06784 | Technical security | Technical Security | |
| Encrypt files and move them to a secure file server when a user account is disabled. CC ID 07065 | Technical security | Configuration | |
| Review each user's access capabilities when their role changes. CC ID 00524 | Technical security | Technical Security | |
| Change authenticators after personnel status changes. CC ID 12284 | Technical security | Human Resources Management | |
| Establish and maintain a Digital Rights Management program. CC ID 07093 | Technical security | Establish/Maintain Documentation | |
| Enable products restricted by Digital Rights Management to be used while offline. CC ID 07094 | Technical security | Technical Security | |
| Establish, implement, and maintain User Access Management procedures. CC ID 00514 [{internal users} Logical access controls support: identification and authentication of authorized internal and external users; CC5.1(1)] | Technical security | Technical Security | |
| Establish, implement, and maintain an authority for access authorization list. CC ID 06782 | Technical security | Establish/Maintain Documentation | |
| Review and approve logical access to all assets based upon organizational policies. CC ID 06641 | Technical security | Technical Security | |
| Control the addition and modification of user identifiers, user credentials, or other authenticators. CC ID 00515 | Technical security | Technical Security | |
| Assign roles and responsibilities for administering user account management. CC ID 11900 | Technical security | Human Resources Management | |
| Automate access control methods, as necessary. CC ID 11838 | Technical security | Technical Security | |
| Automate Access Control Systems, as necessary. CC ID 06854 | Technical security | Technical Security | |
| Refrain from storing logon credentials for third party applications. CC ID 13690 | Technical security | Technical Security | |
| Refrain from allowing user access to identifiers and authenticators used by applications. CC ID 10048 | Technical security | Technical Security | |
| Establish, implement, and maintain a password policy. CC ID 16346 | Technical security | Establish/Maintain Documentation | |
| Enforce the password policy. CC ID 16347 | Technical security | Technical Security | |
| Disseminate and communicate the password policies and password procedures to all users who have access to restricted data or restricted information. CC ID 00518 | Technical security | Establish/Maintain Documentation | |
| Limit superuser accounts to designated System Administrators. CC ID 06766 | Technical security | Configuration | |
| Enforce usage restrictions for superuser accounts. CC ID 07064 | Technical security | Technical Security | |
| Establish, implement, and maintain user accounts in accordance with the organizational Governance, Risk, and Compliance framework. CC ID 00526 | Technical security | Technical Security | |
| Protect and manage biometric systems and biometric data. CC ID 01261 | Technical security | Technical Security | |
| Establish, implement, and maintain biometric collection procedures. CC ID 15419 | Technical security | Establish/Maintain Documentation | |
| Document the business need justification for authentication data storage. CC ID 06325 | Technical security | Establish/Maintain Documentation | |
| Establish, implement, and maintain access control procedures. CC ID 11663 [Logical access security software, infrastructure, and architectures have been implemented to support CC5.1] | Technical security | Establish/Maintain Documentation | |
| Grant access to authorized personnel or systems. CC ID 12186 | Technical security | Configuration | |
| Document approving and granting access in the access control log. CC ID 06786 | Technical security | Establish/Maintain Documentation | |
| Disseminate and communicate the access control log to interested personnel and affected parties. CC ID 16442 | Technical security | Communicate | |
| Include the user identifiers of all personnel who are authorized to access a system in the system record. CC ID 15171 | Technical security | Establish/Maintain Documentation | |
| Include identity information of all personnel who are authorized to access a system in the system record. CC ID 16406 | Technical security | Establish/Maintain Documentation | |
| Include the date and time that access was reviewed in the system record. CC ID 16416 | Technical security | Data and Information Management | |
| Include the date and time that access rights were changed in the system record. CC ID 16415 | Technical security | Establish/Maintain Documentation | |
| Establish, implement, and maintain an identification and authentication policy. CC ID 14033 | Technical security | Establish/Maintain Documentation | |
| Include the purpose in the identification and authentication policy. CC ID 14234 | Technical security | Establish/Maintain Documentation | |
| Include the scope in the identification and authentication policy. CC ID 14232 | Technical security | Establish/Maintain Documentation | |
| Include roles and responsibilities in the identification and authentication policy. CC ID 14230 | Technical security | Establish/Maintain Documentation | |
| Include management commitment in the identification and authentication policy. CC ID 14229 | Technical security | Establish/Maintain Documentation | |
| Include coordination amongst entities in the identification and authentication policy. CC ID 14227 | Technical security | Establish/Maintain Documentation | |
| Include compliance requirements in the identification and authentication policy. CC ID 14225 | Technical security | Establish/Maintain Documentation | |
| Disseminate and communicate the identification and authentication policy to interested personnel and affected parties. CC ID 14197 | Technical security | Communicate | |
| Establish, implement, and maintain identification and authentication procedures. CC ID 14053 | Technical security | Establish/Maintain Documentation | |
| Disseminate and communicate the identification and authentication procedures to interested personnel and affected parties. CC ID 14223 | Technical security | Communicate | |
| Include digital identification procedures in the access control program. CC ID 11841 | Technical security | Technical Security | |
| Disseminate and communicate user identifiers and authenticators using secure communication protocols. CC ID 06791 | Technical security | Data and Information Management | |
| Include instructions to refrain from using previously used authenticators in the access control program. CC ID 11930 | Technical security | Establish/Maintain Documentation | |
| Disallow the use of Personal Identification Numbers as user identifiers. CC ID 06785 | Technical security | Technical Security | |
| Define the activation requirements for identification cards or badges. CC ID 06583 | Technical security | Process or Activity | |
| Require multiple forms of personal identification prior to issuing user identifiers. CC ID 08712 | Technical security | Human Resources Management | |
| Require proper authentication for user identifiers. CC ID 11785 | Technical security | Technical Security | |
| Assign authenticators to user accounts. CC ID 06855 | Technical security | Configuration | |
| Assign authentication mechanisms for user account authentication. CC ID 06856 | Technical security | Configuration | |
| Refrain from allowing individuals to share authentication mechanisms. CC ID 11932 | Technical security | Technical Security | |
| Establish and maintain a memorized secret list. CC ID 13791 | Technical security | Establish/Maintain Documentation | |
| Limit account credential reuse as a part of digital identification procedures. CC ID 12357 | Technical security | Configuration | |
| Refrain from assigning authentication mechanisms for shared accounts. CC ID 11910 | Technical security | Technical Security | |
| Use biometric authentication for identification and authentication, as necessary. CC ID 06857 | Technical security | Establish Roles | |
| Employ live scans to verify biometric authentication. CC ID 06847 | Technical security | Technical Security | |
| Disallow self-enrollment of biometric information. CC ID 11834 | Technical security | Process or Activity | |
| Notify a user when an authenticator for a user account is changed. CC ID 13820 | Technical security | Communicate | |
| Identify and control all network access controls. CC ID 00529 | Technical security | Technical Security | |
| Establish, implement, and maintain a Boundary Defense program. CC ID 00544 | Technical security | Establish/Maintain Documentation | |
| Configure network access and control points to protect restricted data or restricted information. CC ID 01284 | Technical security | Configuration | |
| Restrict outbound network traffic from systems that contain restricted data or restricted information. CC ID 01295 [Access to confidential information from outside the boundaries of the system and disclosure of confidential information is restricted to authorized parties to meet the entity’s confidentiality commitments and system requirements. C1.3] | Technical security | Data and Information Management | |
| Manage the use of encryption controls and cryptographic controls. CC ID 00570 | Technical security | Technical Security | |
| Use strong data encryption to transmit in scope data or in scope information, as necessary. CC ID 00564 | Technical security | Technical Security | |
| Establish trusted paths to transmit restricted data or restricted information over public networks or wireless networks. CC ID 00568 [{internal users} The transmission, movement, and removal of information is restricted to authorized internal and external users and processes and is protected during transmission, movement, or removal, enabling the entity to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.7] | Technical security | Technical Security | |
| Establish, implement, and maintain a malicious code protection program. CC ID 00574 | Technical security | Establish/Maintain Documentation | |
| Install security and protection software, as necessary. CC ID 00575 [Controls have been implemented to prevent or detect and act upon the introduction of unauthorized or malicious software to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.8 Logical access security measures have been implemented to protect against [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] threats from sources outside the boundaries of the system to meet the entity’s commitments and system requirements. CC5.6] | Technical security | Configuration | |
| Install and maintain container security solutions. CC ID 16178 | Technical security | Technical Security | |
| Establish, implement, and maintain a physical security program. CC ID 11757 | Physical and environmental protection | Establish/Maintain Documentation | |
| Establish, implement, and maintain a facility physical security program. CC ID 00711 | Physical and environmental protection | Establish/Maintain Documentation | |
| Identify and document physical access controls for all physical entry points. CC ID 01637 | Physical and environmental protection | Establish/Maintain Documentation | |
| Control physical access to (and within) the facility. CC ID 01329 [Physical access to facilities housing the system (for example, data centers, backup media storage, and other sensitive locations, as well as sensitive system components within those locations) is restricted to authorized personnel to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.5] | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain physical access procedures. CC ID 13629 | Physical and environmental protection | Establish/Maintain Documentation | |
| Meet the physical access requirements of disabled individuals, if reasonably possible. CC ID 00419 | Physical and environmental protection | Physical and Environmental Protection | |
| Configure the access control system to grant access only during authorized working hours. CC ID 12325 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain a visitor access permission policy. CC ID 06699 | Physical and environmental protection | Establish/Maintain Documentation | |
| Escort visitors within the facility, as necessary. CC ID 06417 | Physical and environmental protection | Establish/Maintain Documentation | |
| Check the visitor's stated identity against a provided government issued identification. CC ID 06701 | Physical and environmental protection | Physical and Environmental Protection | |
| Authorize visitors before granting entry to physical areas containing restricted data or restricted information. CC ID 01330 | Physical and environmental protection | Testing | |
| Disseminate and communicate the right of the organization to search visitors while at the facility. CC ID 06702 | Physical and environmental protection | Behavior | |
| Establish, implement, and maintain procedures for changing a visitor's access requirements. CC ID 12048 | Physical and environmental protection | Establish/Maintain Documentation | |
| Maintain and review facility access lists of personnel who have been granted authorized entry to (and within) facilities that contain restricted data or restricted information. CC ID 01436 | Physical and environmental protection | Establish/Maintain Documentation | |
| Authorize physical access to sensitive areas based on job functions. CC ID 12462 | Physical and environmental protection | Establish/Maintain Documentation | |
| Escort uncleared personnel who need to work in or access controlled access areas. CC ID 00747 | Physical and environmental protection | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain physical identification procedures. CC ID 00713 | Physical and environmental protection | Establish/Maintain Documentation | |
| Disallow opting out of wearing or displaying identification cards or badges. CC ID 13030 | Physical and environmental protection | Human Resources Management | |
| Implement physical identification processes. CC ID 13715 | Physical and environmental protection | Process or Activity | |
| Refrain from using knowledge-based authentication for in-person identity verification. CC ID 13717 | Physical and environmental protection | Process or Activity | |
| Issue photo identification badges to all employees. CC ID 12326 | Physical and environmental protection | Physical and Environmental Protection | |
| Implement operational requirements for card readers. CC ID 02225 | Physical and environmental protection | Testing | |
| Establish, implement, and maintain lost or damaged identification card procedures, as necessary. CC ID 14819 | Physical and environmental protection | Establish/Maintain Documentation | |
| Report lost badges, stolen badges, and broken badges to the Security Manager. CC ID 12334 | Physical and environmental protection | Physical and Environmental Protection | |
| Manage constituent identification inside the facility. CC ID 02215 | Physical and environmental protection | Behavior | |
| Direct each employee to be responsible for their identification card or badge. CC ID 12332 | Physical and environmental protection | Human Resources Management | |
| Manage visitor identification inside the facility. CC ID 11670 | Physical and environmental protection | Physical and Environmental Protection | |
| Issue visitor identification badges to all non-employees. CC ID 00543 | Physical and environmental protection | Behavior | |
| Secure unissued visitor identification badges. CC ID 06712 | Physical and environmental protection | Physical and Environmental Protection | |
| Retrieve visitor identification badges prior to the exit of a visitor from the facility. CC ID 01331 | Physical and environmental protection | Behavior | |
| Include name, date of entry, and validity period on disposable identification cards or badges. CC ID 12331 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain identification issuance procedures for identification cards or badges. CC ID 06598 | Physical and environmental protection | Establish/Maintain Documentation | |
| Record the assigned identification card or badge serial number when issuing an identification card or badge. CC ID 06714 | Physical and environmental protection | Process or Activity | |
| Include error handling controls in identification issuance procedures. CC ID 13709 | Physical and environmental protection | Establish/Maintain Documentation | |
| Include an appeal process in the identification issuance procedures. CC ID 15428 | Physical and environmental protection | Business Processes | |
| Include information security in the identification issuance procedures. CC ID 15425 | Physical and environmental protection | Establish/Maintain Documentation | |
| Include identity proofing processes in the identification issuance procedures. CC ID 06597 | Physical and environmental protection | Process or Activity | |
| Establish, implement, and maintain post-issuance update procedures for identification cards or badges. CC ID 15426 | Physical and environmental protection | Establish/Maintain Documentation | |
| Include an identity registration process in the identification issuance procedures. CC ID 11671 | Physical and environmental protection | Establish/Maintain Documentation | |
| Restrict access to the badge system to authorized personnel. CC ID 12043 | Physical and environmental protection | Physical and Environmental Protection | |
| Enforce dual control for badge assignments. CC ID 12328 | Physical and environmental protection | Physical and Environmental Protection | |
| Enforce dual control for accessing unassigned identification cards or badges. CC ID 12327 | Physical and environmental protection | Physical and Environmental Protection | |
| Refrain from imprinting the company name or company logo on identification cards or badges. CC ID 12282 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain identification renewal procedures for identification cards or badges. CC ID 06599 | Physical and environmental protection | Establish/Maintain Documentation | |
| Assign employees the responsibility for controlling their identification badges. CC ID 12333 | Physical and environmental protection | Human Resources Management | |
| Establish, implement, and maintain identification re-issuing procedures for identification cards or badges. CC ID 06596 | Physical and environmental protection | Establish/Maintain Documentation | |
| Establish, implement, and maintain identification mechanism termination procedures. CC ID 06306 | Physical and environmental protection | Establish/Maintain Documentation | |
| Prevent tailgating through physical entry points. CC ID 06685 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain an environmental control program. CC ID 00724 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain clean energy standards. CC ID 16285 | Physical and environmental protection | Establish/Maintain Documentation | |
| Establish, implement, and maintain environmental control procedures. CC ID 12246 | Physical and environmental protection | Establish/Maintain Documentation | |
| Establish and maintain a telecommunications equipment room, as necessary. CC ID 06708 | Physical and environmental protection | Configuration | |
| Protect power equipment and power cabling from damage or destruction. CC ID 01438 | Physical and environmental protection | Physical and Environmental Protection | |
| Install and maintain power distribution boards. CC ID 16486 | Physical and environmental protection | Systems Design, Build, and Implementation | |
| Establish, implement, and maintain a battery room, as necessary. CC ID 06706 | Physical and environmental protection | Configuration | |
| Establish and maintain a generator room, as necessary. CC ID 06704 | Physical and environmental protection | Configuration | |
| Place the Uninterruptible Power Supply in the generator room, as necessary. CC ID 11676 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain facility maintenance procedures. CC ID 00710 | Physical and environmental protection | Establish/Maintain Documentation | |
| Design the Information Technology facility with consideration given to natural disasters and man-made disasters. CC ID 00712 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and environmental protection | Physical and Environmental Protection | |
| Design the Information Technology facility with a low profile. CC ID 16140 | Physical and environmental protection | Physical and Environmental Protection | |
| Prohibit signage indicating computer room location and uses. CC ID 06343 | Physical and environmental protection | Physical and Environmental Protection | |
| Require critical facilities to have adequate room for facility maintenance. CC ID 06361 | Physical and environmental protection | Physical and Environmental Protection | |
| Require critical facilities to have adequate room for evacuation. CC ID 11686 | Physical and environmental protection | Physical and Environmental Protection | |
| Build critical facilities according to applicable building codes. CC ID 06366 | Physical and environmental protection | Physical and Environmental Protection | |
| Build critical facilities with fire resistant materials. CC ID 06365 | Physical and environmental protection | Physical and Environmental Protection | |
| Build critical facilities with materials that limit electromagnetic interference. CC ID 16131 | Physical and environmental protection | Physical and Environmental Protection | |
| Build critical facilities with water-resistant materials. CC ID 11679 | Physical and environmental protection | Physical and Environmental Protection | |
| Monitor operational conditions at unmanned facilities. CC ID 06327 | Physical and environmental protection | Physical and Environmental Protection | |
| Remotely control operational conditions at unmanned facilities. CC ID 11680 | Physical and environmental protection | Technical Security | |
| Inspect and maintain the facility and supporting assets. CC ID 06345 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Physical and environmental protection | Physical and Environmental Protection | |
| Define selection criteria for facility locations. CC ID 06351 | Physical and environmental protection | Establish/Maintain Documentation | |
| Establish, implement, and maintain facility demolition procedures. CC ID 16133 | Physical and environmental protection | Establish/Maintain Documentation | |
| Establish, implement, and maintain work environment requirements. CC ID 06613 | Physical and environmental protection | Establish/Maintain Documentation | |
| Apply noise-prevention devices to organizational assets, as necessary. CC ID 16141 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain system cleanliness requirements. CC ID 06614 | Physical and environmental protection | Establish/Maintain Documentation | |
| House system components in areas where the physical damage potential is minimized. CC ID 01623 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain a fire prevention and fire suppression standard. CC ID 06695 | Physical and environmental protection | Establish/Maintain Documentation | |
| Install and maintain fire protection equipment. CC ID 00728 | Physical and environmental protection | Configuration | |
| Install and maintain fire suppression systems. CC ID 00729 | Physical and environmental protection | Configuration | |
| Install and maintain smoke detectors. CC ID 15264 | Physical and environmental protection | Physical and Environmental Protection | |
| Conduct periodic fire marshal inspections for all organizational facilities. CC ID 04888 | Physical and environmental protection | Physical and Environmental Protection | |
| Install and maintain fire-retarding divisions such as fire doors in accordance with applicable building codes. CC ID 06362 | Physical and environmental protection | Physical and Environmental Protection | |
| Conduct fire drills, as necessary. CC ID 13985 | Physical and environmental protection | Process or Activity | |
| Employ environmental protections. CC ID 12570 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Physical and environmental protection | Process or Activity | |
| Establish, implement, and maintain electromagnetic compatibility requirements for in scope assets. CC ID 16472 | Physical and environmental protection | Establish/Maintain Documentation | |
| Protect physical assets against static electricity, as necessary. CC ID 06363 | Physical and environmental protection | Physical and Environmental Protection | |
| Install and maintain emergency lighting for use in a power failure. CC ID 01440 | Physical and environmental protection | Physical and Environmental Protection | |
| Install and maintain lightning protection mechanisms in critical facilities. CC ID 06367 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain pest control systems in organizational facilities. CC ID 16139 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain a Heating Ventilation and Air Conditioning system. CC ID 00727 | Physical and environmental protection | Configuration | |
| Protect air intakes into the organizational facility. CC ID 02211 | Physical and environmental protection | Physical and Environmental Protection | |
| Install and maintain dust collection and filtering as a part of the Heating Ventilation and Air Conditioning system. CC ID 06368 | Physical and environmental protection | Configuration | |
| Install and maintain backup Heating Ventilation and Air Conditioning equipment. CC ID 06369 | Physical and environmental protection | Configuration | |
| Install and maintain a moisture control system as a part of the climate control system. CC ID 06694 | Physical and environmental protection | Configuration | |
| Install and maintain hydrogen sensors, as necessary. CC ID 06705 | Physical and environmental protection | Configuration | |
| Protect physical assets from water damage. CC ID 00730 | Physical and environmental protection | Configuration | |
| Notify interested personnel and affected parties when water is detected in the vicinity of information systems. CC ID 14252 | Physical and environmental protection | Communicate | |
| Install and maintain water detection devices. CC ID 11678 | Physical and environmental protection | Physical and Environmental Protection | |
| Establish, implement, and maintain a business continuity program. CC ID 13210 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Establish, implement, and maintain system continuity plan strategies. CC ID 00735 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Include damaged site continuity procedures that cover continuing operations in a partially functional primary facility in the continuity plan. CC ID 01374 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Establish, implement, and maintain at-risk structure removal or relocation procedures. CC ID 01247 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Include technical preparation considerations for backup operations in the continuity plan. CC ID 01250 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Establish, implement, and maintain backup procedures for in scope systems. CC ID 01258 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Systems Continuity | |
| Document the backup method and backup frequency on a case-by-case basis in the backup procedures. CC ID 01384 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Systems Continuity | |
| Establish and maintain off-site electronic media storage facilities. CC ID 00957 | Operational and Systems Continuity | Physical and Environmental Protection | |
| Configure the off-site electronic media storage facilities to utilize timely and effective recovery operations. CC ID 01392 | Operational and Systems Continuity | Configuration | |
| Outline explicit mitigation actions for potential off-site electronic media storage facilities accessibility issues for when area-wide disruptions occur or area-wide disasters occur. CC ID 01393 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Store backup media at an off-site electronic media storage facility. CC ID 01332 | Operational and Systems Continuity | Data and Information Management | |
| Transport backup media in lockable electronic media storage containers. CC ID 01264 | Operational and Systems Continuity | Data and Information Management | |
| Store backup media in a fire-rated container which is not collocated with the operational system. CC ID 14289 | Operational and Systems Continuity | Systems Continuity | |
| Identify the access methods for backup media at both the primary facility and the off-site electronic media storage facility. CC ID 01257 | Operational and Systems Continuity | Data and Information Management | |
| Store backup vital records in a manner that is accessible for emergency retrieval. CC ID 12765 | Operational and Systems Continuity | Systems Continuity | |
| Establish, implement, and maintain security controls to protect offsite data. CC ID 16259 | Operational and Systems Continuity | Data and Information Management | |
| Perform backup procedures for in scope systems. CC ID 11692 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Process or Activity | |
| Perform full backups in accordance with organizational standards. CC ID 16376 | Operational and Systems Continuity | Data and Information Management | |
| Perform incremental backups in accordance with organizational standards. CC ID 16375 | Operational and Systems Continuity | Data and Information Management | |
| Back up all records. CC ID 11974 | Operational and Systems Continuity | Systems Continuity | |
| Use virtual machine snapshots for full backups and changed block tracking (CBT) for incremental backups. CC ID 16374 | Operational and Systems Continuity | Data and Information Management | |
| Document the Recovery Point Objective for triggering backup operations and restoration operations. CC ID 01259 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Encrypt backup data. CC ID 00958 | Operational and Systems Continuity | Configuration | |
| Log the execution of each backup. CC ID 00956 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Digitally sign disk images, as necessary. CC ID 06814 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Prepare the alternate facility for an emergency offsite relocation. CC ID 00744 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Systems Continuity | |
| Include coverage for alternate facilities for all offices in contingency arrangements. CC ID 00746 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Establish, implement, and maintain Service Level Agreements for all alternate facilities. CC ID 00745 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Include recovery time in Service Level Agreements for all alternate facilities. CC ID 16331 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Include priority-of-service provisions in Service Level Agreements for all alternate facilities. CC ID 16330 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Include backup media transportation in Service Level Agreements for alternate facilities. CC ID 16329 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Include transportation services in Service Level Agreements for alternate facilities. CC ID 16328 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Include that the shared service provider will not oversubscribe their services in the Service Level Agreement. CC ID 04892 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Include emergency scalability for services, capacity, and capability in the shared service provider's Service Level Agreement. CC ID 04893 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Establish, implement, and maintain Memorandums Of Understanding for all alternate facilities. CC ID 11695 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Configure the alternate facility to meet the least needed operational capabilities. CC ID 01395 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational and Systems Continuity | Configuration | |
| Establish, implement, and maintain logical access controls at alternate facilities. CC ID 13227 | Operational and Systems Continuity | Technical Security | |
| Establish, implement, and maintain physical access controls for alternate facilities. CC ID 13226 | Operational and Systems Continuity | Physical and Environmental Protection | |
| Notify the primary facilities of any changes at the alternate facilities that could affect the continuity plan. CC ID 13225 | Operational and Systems Continuity | Communicate | |
| Protect backup systems and restoration systems at the alternate facility. CC ID 04883 | Operational and Systems Continuity | Systems Continuity | |
| Establish, implement, and maintain a business continuity plan testing program. CC ID 14829 | Operational and Systems Continuity | Testing | |
| Include coverage of all major components in the scope of testing the continuity plan. CC ID 12767 | Operational and Systems Continuity | Testing | |
| Include third party recovery services in the scope of testing the continuity plan. CC ID 12766 | Operational and Systems Continuity | Testing | |
| Validate the emergency communications procedures during continuity plan tests. CC ID 12777 | Operational and Systems Continuity | Testing | |
| Include the coordination and interfaces among third parties in the coverage of the scope of testing the continuity plan. CC ID 12769 | Operational and Systems Continuity | Testing | |
| Validate the evacuation plans during continuity plan tests. CC ID 12760 | Operational and Systems Continuity | Testing | |
| Include predefined goals and realistic conditions during off-site testing. CC ID 01175 | Operational and Systems Continuity | Establish/Maintain Documentation | |
| Coordinate testing the continuity plan with all applicable business units and critical business functions. CC ID 01388 | Operational and Systems Continuity | Testing | |
| Document the continuity plan test results and provide them to interested personnel and affected parties. CC ID 06548 | Operational and Systems Continuity | Actionable Reports or Measurements | |
| Approve the continuity plan test results. CC ID 15718 | Operational and Systems Continuity | Systems Continuity | |
| Establish, implement, and maintain a personnel management program. CC ID 14018 | Human Resources management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a personnel security program. CC ID 10628 | Human Resources management | Establish/Maintain Documentation | |
| Establish, implement, and maintain personnel screening procedures. CC ID 11700 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Human Resources management | Establish/Maintain Documentation | |
| Perform a personal identification check during personnel screening. CC ID 06721 | Human Resources management | Human Resources Management | |
| Perform a criminal records check during personnel screening. CC ID 06643 | Human Resources management | Establish/Maintain Documentation | |
| Include all residences in the criminal records check. CC ID 13306 | Human Resources management | Process or Activity | |
| Document any reasons a full criminal records check could not be performed. CC ID 13305 | Human Resources management | Establish/Maintain Documentation | |
| Perform a personal references check during personnel screening. CC ID 06645 | Human Resources management | Human Resources Management | |
| Perform a credit check during personnel screening. CC ID 06646 | Human Resources management | Human Resources Management | |
| Perform an academic records check during personnel screening. CC ID 06647 | Human Resources management | Establish/Maintain Documentation | |
| Perform a drug test during personnel screening. CC ID 06648 | Human Resources management | Testing | |
| Perform a resume check during personnel screening. CC ID 06659 | Human Resources management | Human Resources Management | |
| Perform a curriculum vitae check during personnel screening. CC ID 06660 | Human Resources management | Human Resources Management | |
| Allow personnel being screened to appeal findings and appeal decisions. CC ID 06720 | Human Resources management | Human Resources Management | |
| Disseminate and communicate screening results to interested personnel and affected parties. CC ID 16445 | Human Resources management | Communicate | |
| Establish, implement, and maintain personnel status change and termination procedures. CC ID 06549 | Human Resources management | Establish/Maintain Documentation | |
| Establish and maintain the staff structure in line with the strategic plan. CC ID 00764 | Human Resources management | Establish Roles | |
| Train all personnel and third parties, as necessary. CC ID 00785 | Human Resources management | Behavior | |
| Establish, implement, and maintain training plans. CC ID 00828 | Human Resources management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a security awareness program. CC ID 11746 | Human Resources management | Establish/Maintain Documentation | |
| Disseminate and communicate the security awareness program to all interested personnel and affected parties. CC ID 00823 | Human Resources management | Behavior | |
| Train all personnel and third parties on how to recognize and report security incidents. CC ID 01211 [{internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5 {internal users} Internal and external users have been provided with information on how to report [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] failures, incidents, concerns, and other complaints to appropriate personnel. CC2.5] | Human Resources management | Behavior | |
| Establish, implement, and maintain a Code of Conduct. CC ID 04897 [The entity has established workforce conduct standards, implemented workforce candidate background screening procedures, and conducts enforcement procedures to enable it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.4] | Human Resources management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a code of conduct for financial recommendations. CC ID 16649 | Human Resources management | Establish/Maintain Documentation | |
| Include anti-coercion requirements and anti-tying requirements in the Code of Conduct. CC ID 16720 | Human Resources management | Establish/Maintain Documentation | |
| Include limitations on referrals for products and services in the Code of Conduct. CC ID 16719 | Human Resources management | Behavior | |
| Include classifications of ethics violations in the Code of Conduct. CC ID 14769 | Human Resources management | Establish/Maintain Documentation | |
| Include definitions of ethics violations in the Code of Conduct. CC ID 14768 | Human Resources management | Establish/Maintain Documentation | |
| Include exercising due professional care in the Code of Conduct. CC ID 14210 | Human Resources management | Establish/Maintain Documentation | |
| Include health and safety provisions in the Code of Conduct. CC ID 16206 | Human Resources management | Establish/Maintain Documentation | |
| Include organizational values in the Code of Conduct. CC ID 12919 | Human Resources management | Process or Activity | |
| Include key policies in the Code of Conduct. CC ID 12890 | Human Resources management | Establish/Maintain Documentation | |
| Include responsibilities to the public trust in the Code of Conduct. CC ID 14209 | Human Resources management | Establish/Maintain Documentation | |
| Include the vision statement in the Code of Conduct. CC ID 12889 | Human Resources management | Establish/Maintain Documentation | |
| Include the organization's mission in the Code of Conduct. CC ID 12875 | Human Resources management | Establish/Maintain Documentation | |
| Include classifications of desired conduct in the Code of Conduct. CC ID 12851 | Human Resources management | Establish/Maintain Documentation | |
| Include the information security responsibilities of the organization and the individual in the Terms and Conditions of employment. CC ID 12029 | Human Resources management | Human Resources Management | |
| Include environmental responsibility criteria in the Code of Conduct. CC ID 16209 | Human Resources management | Establish/Maintain Documentation | |
| Include social responsibility criteria in the Code of Conduct. CC ID 16210 | Human Resources management | Establish/Maintain Documentation | |
| Include that Information Security responsibilities extend outside normal business hours and organizational facilities in the Terms and Conditions of employment. CC ID 04580 | Human Resources management | Establish/Maintain Documentation | |
| Include labor rights criteria in the Code of Conduct. CC ID 16208 | Human Resources management | Establish/Maintain Documentation | |
| Include the employee's legal responsibilities and rights in the Terms and Conditions of employment. CC ID 15701 | Human Resources management | Establish/Maintain Documentation | |
| Notify designated personnel when a formal personnel sanctions process is initiated. CC ID 10632 | Human Resources management | Communicate | |
| Include definitions of desirable conduct in the Code of Conduct. CC ID 12846 | Human Resources management | Establish/Maintain Documentation | |
| Include notification procedures for allegations of undesirable conduct in the Code of Conduct. CC ID 12855 | Human Resources management | Establish/Maintain Documentation | |
| Include procedures to identify positive outcomes in the Code of Conduct. CC ID 12854 | Human Resources management | Establish/Maintain Documentation | |
| Take disciplinary actions against individuals who violate the Code of Conduct. CC ID 06435 | Human Resources management | Behavior | |
| Require personnel to sign the Code of Conduct as a part of the Terms and Conditions of employment. CC ID 06664 | Human Resources management | Establish/Maintain Documentation | |
| Require all personnel to re-sign the Code of Conduct, as necessary. CC ID 06666 | Human Resources management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a capacity management plan. CC ID 11751 | Operational management | Establish/Maintain Documentation | |
| Align critical Information Technology resource availability planning with capacity planning. CC ID 01618 | Operational management | Business Processes | |
| Limit any effects of a Denial of Service attack. CC ID 06754 [Current processing capacity and usage are maintained, monitored, and evaluated to manage capacity demand and to enable the implementation of additional capacity to help meet the entity’s availability commitments and system requirements. A1.1] | Operational management | Technical Security | |
| Implement network redundancy, as necessary. CC ID 13048 | Operational management | Systems Continuity | |
| Establish, implement, and maintain a Governance, Risk, and Compliance framework. CC ID 01406 [Infrastructure, data, software, and policies and procedures are updated as necessary to remain consistent with the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.2] | Operational management | Establish/Maintain Documentation | |
| Disseminate and communicate updates to the Governance, Risk, and Compliance framework to interested personnel and affected parties. CC ID 06955 [{internal users} Changes to the entity’s confidentiality commitments and system requirements are communicated to internal and external users, vendors, and other third parties whose products and services are part of the system. C1.6] | Operational management | Behavior | |
| Include enterprise architecture in the Governance, Risk, and Compliance framework. CC ID 13266 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain security requirements based on applicable regulations. CC ID 16283 | Operational management | Establish/Maintain Documentation | |
| Acquire resources necessary to support Governance, Risk, and Compliance. CC ID 12861 | Operational management | Acquisition/Sale of Assets or Services | |
| Integrate the use of technology in supporting the Governance, Risk, and Compliance capabilities. CC ID 12915 | Operational management | Process or Activity | |
| Establish, implement, and maintain a prioritized plan for updating the Governance, Risk, and Compliance framework. CC ID 12853 | Operational management | Establish/Maintain Documentation | |
| Evaluate the use of technology in supporting Governance, Risk, and Compliance capabilities. CC ID 12895 | Operational management | Process or Activity | |
| Analyze the effect of the Governance, Risk, and Compliance capability to achieve organizational objectives. CC ID 12809 | Operational management | Audits and Risk Management | |
| Assign accountability for maintaining the Governance, Risk, and Compliance framework. CC ID 12523 | Operational management | Human Resources Management | |
| Assign defining the program for disseminating and communicating the Governance, Risk, and Compliance framework. CC ID 12524 | Operational management | Human Resources Management | |
| Establish, implement, and maintain a compliance policy. CC ID 14807 | Operational management | Establish/Maintain Documentation | |
| Include the standard of conduct and accountability in the compliance policy. CC ID 14813 | Operational management | Establish/Maintain Documentation | |
| Include the scope in the compliance policy. CC ID 14812 | Operational management | Establish/Maintain Documentation | |
| Include roles and responsibilities in the compliance policy. CC ID 14811 | Operational management | Establish/Maintain Documentation | |
| Include a commitment to continual improvement in the compliance policy. CC ID 14810 | Operational management | Establish/Maintain Documentation | |
| Disseminate and communicate the compliance policy to interested personnel and affected parties. CC ID 14809 | Operational management | Communicate | |
| Include management commitment in the compliance policy. CC ID 14808 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a governance policy. CC ID 15587 | Operational management | Establish/Maintain Documentation | |
| Disseminate and communicate the governance policy to all interested personnel and affected parties. CC ID 15625 | Operational management | Communicate | |
| Include a commitment to continuous improvement in the governance policy. CC ID 15595 | Operational management | Establish/Maintain Documentation | |
| Include roles and responsibilities in the governance policy. CC ID 15594 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a positive information control environment. CC ID 00813 | Operational management | Business Processes | |
| Make compliance and governance decisions in a timely manner. CC ID 06490 | Operational management | Behavior | |
| Establish, implement, and maintain an internal control framework. CC ID 00820 | Operational management | Establish/Maintain Documentation | |
| Define the scope for the internal control framework. CC ID 16325 | Operational management | Business Processes | |
| Assign ownership of the internal control framework to the appropriate organizational role. CC ID 06437 | Operational management | Establish Roles | |
| Assign resources to implement the internal control framework. CC ID 00816 [The entity has established procedures to evaluate the competency of personnel responsible for designing, developing, implementing, operating, maintaining, and monitoring the system affecting [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] and provides resources necessary for personnel to fulfill their responsibilities. CC1.3] | Operational management | Business Processes | |
| Define and assign the roles and responsibilities for interested personnel and affected parties when establishing, implementing, and maintaining the internal control framework. CC ID 07146 | Operational management | Establish Roles | |
| Establish, implement, and maintain a baseline of internal controls. CC ID 12415 | Operational management | Business Processes | |
| Include the business need justification for excluding controls in the baseline of internal controls. CC ID 16129 | Operational management | Establish/Maintain Documentation | |
| Include the implementation status of controls in the baseline of internal controls. CC ID 16128 | Operational management | Establish/Maintain Documentation | |
| Leverage actionable information to support internal controls. CC ID 12414 | Operational management | Business Processes | |
| Include procedures for continuous quality improvement in the internal control framework. CC ID 00819 | Operational management | Establish/Maintain Documentation | |
| Include continuous service account management procedures in the internal control framework. CC ID 13860 | Operational management | Establish/Maintain Documentation | |
| Include threat assessment in the internal control framework. CC ID 01347 | Operational management | Establish/Maintain Documentation | |
| Automate threat assessments, as necessary. CC ID 06877 | Operational management | Configuration | |
| Include vulnerability management and risk assessment in the internal control framework. CC ID 13102 | Operational management | Establish/Maintain Documentation | |
| Automate vulnerability management, as necessary. CC ID 11730 | Operational management | Configuration | |
| Include personnel security procedures in the internal control framework. CC ID 01349 | Operational management | Establish/Maintain Documentation | |
| Include continuous security warning monitoring procedures in the internal control framework. CC ID 01358 | Operational management | Establish/Maintain Documentation | |
| Include incident alert thresholds in the continuous security warning monitoring procedures. CC ID 13205 | Operational management | Establish/Maintain Documentation | |
| Include security information sharing procedures in the internal control framework. CC ID 06489 | Operational management | Establish/Maintain Documentation | |
| Share security information with interested personnel and affected parties. CC ID 11732 | Operational management | Communicate | |
| Evaluate information sharing partners, as necessary. CC ID 12749 | Operational management | Process or Activity | |
| Include security incident response procedures in the internal control framework. CC ID 01359 | Operational management | Establish/Maintain Documentation | |
| Include incident response escalation procedures in the internal control framework. CC ID 11745 | Operational management | Establish/Maintain Documentation | |
| Include continuous user account management procedures in the internal control framework. CC ID 01360 | Operational management | Establish/Maintain Documentation | |
| Authorize and document all exceptions to the internal control framework. CC ID 06781 | Operational management | Establish/Maintain Documentation | |
| Disseminate and communicate the internal control framework to all interested personnel and affected parties. CC ID 15229 | Operational management | Communicate | |
| Disseminate and communicate the cybersecurity policy to interested personnel and affected parties. CC ID 16835 | Operational management | Communicate | |
| Establish, implement, and maintain a cybersecurity policy. CC ID 16833 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain an information security program. CC ID 00812 | Operational management | Establish/Maintain Documentation | |
| Include physical safeguards in the information security program. CC ID 12375 | Operational management | Establish/Maintain Documentation | |
| Include technical safeguards in the information security program. CC ID 12374 | Operational management | Establish/Maintain Documentation | |
| Include administrative safeguards in the information security program. CC ID 12373 | Operational management | Establish/Maintain Documentation | |
| Include system development in the information security program. CC ID 12389 | Operational management | Establish/Maintain Documentation | |
| Include system maintenance in the information security program. CC ID 12388 | Operational management | Establish/Maintain Documentation | |
| Include system acquisition in the information security program. CC ID 12387 | Operational management | Establish/Maintain Documentation | |
| Include access control in the information security program. CC ID 12386 | Operational management | Establish/Maintain Documentation | |
| Include operations management in the information security program. CC ID 12385 | Operational management | Establish/Maintain Documentation | |
| Include communication management in the information security program. CC ID 12384 | Operational management | Establish/Maintain Documentation | |
| Include environmental security in the information security program. CC ID 12383 | Operational management | Establish/Maintain Documentation | |
| Include physical security in the information security program. CC ID 12382 | Operational management | Establish/Maintain Documentation | |
| Include human resources security in the information security program. CC ID 12381 | Operational management | Establish/Maintain Documentation | |
| Include asset management in the information security program. CC ID 12380 | Operational management | Establish/Maintain Documentation | |
| Include a continuous monitoring program in the information security program. CC ID 14323 | Operational management | Establish/Maintain Documentation | |
| Include change management procedures in the continuous monitoring plan. CC ID 16227 | Operational management | Establish/Maintain Documentation | |
| include recovery procedures in the continuous monitoring plan. CC ID 16226 | Operational management | Establish/Maintain Documentation | |
| Include mechanisms for decommissioning a system in the continuous monitoring plan. CC ID 16225 | Operational management | Establish/Maintain Documentation | |
| Include mechanisms for appeal and override in the continuous monitoring plan. CC ID 16223 | Operational management | Establish/Maintain Documentation | |
| Include how the information security department is organized in the information security program. CC ID 12379 | Operational management | Establish/Maintain Documentation | |
| Include risk management in the information security program. CC ID 12378 | Operational management | Establish/Maintain Documentation | |
| Include mitigating supply chain risks in the information security program. CC ID 13352 | Operational management | Establish/Maintain Documentation | |
| Provide management direction and support for the information security program. CC ID 11999 | Operational management | Process or Activity | |
| Monitor and review the effectiveness of the information security program. CC ID 12744 | Operational management | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain an information security policy. CC ID 11740 | Operational management | Establish/Maintain Documentation | |
| Align the information security policy with the organization's risk acceptance level. CC ID 13042 | Operational management | Business Processes | |
| Include business processes in the information security policy. CC ID 16326 | Operational management | Establish/Maintain Documentation | |
| Include the information security strategy in the information security policy. CC ID 16125 | Operational management | Establish/Maintain Documentation | |
| Include a commitment to continuous improvement in the information security policy. CC ID 16123 | Operational management | Establish/Maintain Documentation | |
| Include roles and responsibilities in the information security policy. CC ID 16120 | Operational management | Establish/Maintain Documentation | |
| Include a commitment to the information security requirements in the information security policy. CC ID 13496 | Operational management | Establish/Maintain Documentation | |
| Include information security objectives in the information security policy. CC ID 13493 | Operational management | Establish/Maintain Documentation | |
| Include the use of Cloud Services in the information security policy. CC ID 13146 | Operational management | Establish/Maintain Documentation | |
| Include notification procedures in the information security policy. CC ID 16842 | Operational management | Establish/Maintain Documentation | |
| Approve the information security policy at the organization's management level or higher. CC ID 11737 | Operational management | Process or Activity | |
| Establish, implement, and maintain information security procedures. CC ID 12006 | Operational management | Business Processes | |
| Describe the group activities that protect restricted data in the information security procedures. CC ID 12294 | Operational management | Establish/Maintain Documentation | |
| Disseminate and communicate the information security procedures to all interested personnel and affected parties. CC ID 16303 | Operational management | Communicate | |
| Document the roles and responsibilities for all activities that protect restricted data in the information security procedures. CC ID 12304 | Operational management | Establish/Maintain Documentation | |
| Define thresholds for approving information security activities in the information security program. CC ID 15702 | Operational management | Process or Activity | |
| Assign ownership of the information security program to the appropriate role. CC ID 00814 | Operational management | Establish Roles | |
| Assign the responsibility for establishing, implementing, and maintaining the information security program to the appropriate role. CC ID 11884 | Operational management | Human Resources Management | |
| Assign information security responsibilities to interested personnel and affected parties in the information security program. CC ID 11885 | Operational management | Establish/Maintain Documentation | |
| Assign the responsibility for distributing the information security program to the appropriate role. CC ID 11883 | Operational management | Human Resources Management | |
| Disseminate and communicate the information security policy to interested personnel and affected parties. CC ID 11739 | Operational management | Communicate | |
| Establish, implement, and maintain a social media governance program. CC ID 06536 | Operational management | Establish/Maintain Documentation | |
| Refrain from requiring supervision when users are accessing social media applications. CC ID 14011 | Operational management | Business Processes | |
| Refrain from requiring users to disclose social media account usernames or authenticators. CC ID 14009 | Operational management | Business Processes | |
| Refrain from accepting instant messages from unknown senders. CC ID 12537 | Operational management | Behavior | |
| Include instant messaging, texting, and tweeting in the social media acceptable use policy. CC ID 04578 | Operational management | Establish/Maintain Documentation | |
| Include explicit restrictions in the social media acceptable use policy. CC ID 06655 | Operational management | Establish/Maintain Documentation | |
| Include contributive content sites in the social media acceptable use policy. CC ID 06656 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain operational control procedures. CC ID 00831 | Operational management | Establish/Maintain Documentation | |
| Include assigning and approving operations in operational control procedures. CC ID 06382 | Operational management | Establish/Maintain Documentation | |
| Include startup processes in operational control procedures. CC ID 00833 | Operational management | Establish/Maintain Documentation | |
| Include change control processes in the operational control procedures. CC ID 16793 | Operational management | Establish/Maintain Documentation | |
| Establish and maintain a data processing run manual. CC ID 00832 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a Standard Operating Procedures Manual. CC ID 00826 | Operational management | Establish/Maintain Documentation | |
| Use systems in accordance with the standard operating procedures manual. CC ID 15049 | Operational management | Process or Activity | |
| Include metrics in the standard operating procedures manual. CC ID 14988 | Operational management | Establish/Maintain Documentation | |
| Include maintenance measures in the standard operating procedures manual. CC ID 14986 | Operational management | Establish/Maintain Documentation | |
| Include the expected lifetime of the system in the standard operating procedures manual. CC ID 14984 | Operational management | Establish/Maintain Documentation | |
| Include technical measures used to interpret output in the standard operating procedures manual. CC ID 14982 | Operational management | Establish/Maintain Documentation | |
| Include predetermined changes in the standard operating procedures manual. CC ID 14977 | Operational management | Establish/Maintain Documentation | |
| Include specifications for input data in the standard operating procedures manual. CC ID 14975 | Operational management | Establish/Maintain Documentation | |
| Include risks to health and safety or fundamental rights in the standard operating procedures manual. CC ID 14973 | Operational management | Establish/Maintain Documentation | |
| Include circumstances that may impact the system in the standard operating procedures manual. CC ID 14972 | Operational management | Establish/Maintain Documentation | |
| Include what the system was tested and validated for in the standard operating procedures manual. CC ID 14969 | Operational management | Establish/Maintain Documentation | |
| Include the intended purpose in the standard operating procedures manual. CC ID 14967 | Operational management | Establish/Maintain Documentation | |
| Include information on system performance in the standard operating procedures manual. CC ID 14965 | Operational management | Establish/Maintain Documentation | |
| Include contact details in the standard operating procedures manual. CC ID 14962 | Operational management | Establish/Maintain Documentation | |
| Include information sharing procedures in standard operating procedures. CC ID 12974 | Operational management | Records Management | |
| Establish, implement, and maintain information sharing agreements. CC ID 15645 | Operational management | Business Processes | |
| Provide support for information sharing activities. CC ID 15644 | Operational management | Process or Activity | |
| Adhere to operating procedures as defined in the Standard Operating Procedures Manual. CC ID 06328 | Operational management | Business Processes | |
| Disseminate and communicate the Standard Operating Procedures Manual to all interested personnel and affected parties. CC ID 12026 [{internal users} {system boundaries} Information regarding the design and operation of the system and its boundaries has been prepared and communicated to authorized internal and external users of the system to permit users to understand their role in the system and the results of system operation. CC2.1 {internal users} {system boundaries} Information regarding the design and operation of the system and its boundaries has been prepared and communicated to authorized internal and external users of the system to permit users to understand their role in the system and the results of system operation. CC2.1] | Operational management | Communicate | |
| Establish, implement, and maintain a job scheduling methodology. CC ID 00834 | Operational management | Establish/Maintain Documentation | |
| Establish and maintain a job schedule exceptions list. CC ID 00835 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a data processing continuity plan. CC ID 00836 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain Voice over Internet Protocol operating procedures. CC ID 04583 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain the Acceptable Use Policy. CC ID 01350 | Operational management | Establish/Maintain Documentation | |
| Include that explicit management authorization must be given for the use of all technologies and their documentation in the Acceptable Use Policy. CC ID 01351 | Operational management | Establish/Maintain Documentation | |
| Include requiring users to protect restricted data in accordance with the Governance, Risk, and Compliance framework in the Acceptable Use Policy. CC ID 11894 | Operational management | Establish/Maintain Documentation | |
| Include Bring Your Own Device agreements in the Acceptable Use Policy. CC ID 15703 | Operational management | Establish/Maintain Documentation | |
| Include the obligations of users in the Bring Your Own Device agreement. CC ID 15708 | Operational management | Establish/Maintain Documentation | |
| Include the rights of the organization in the Bring Your Own Device agreement. CC ID 15707 | Operational management | Establish/Maintain Documentation | |
| Include the circumstances in which the organization may confiscate, audit, or inspect assets in the Bring Your Own Device agreement. CC ID 15706 | Operational management | Establish/Maintain Documentation | |
| Include the circumstances in which the organization may manage assets in the Bring Your Own Device agreement. CC ID 15705 | Operational management | Establish/Maintain Documentation | |
| Include Bring Your Own Device usage in the Acceptable Use Policy. CC ID 12293 | Operational management | Establish/Maintain Documentation | |
| Include a web usage policy in the Acceptable Use Policy. CC ID 16496 | Operational management | Establish/Maintain Documentation | |
| Include Bring Your Own Device security guidelines in the Acceptable Use Policy. CC ID 01352 | Operational management | Establish/Maintain Documentation | |
| Include asset tags in the Acceptable Use Policy. CC ID 01354 | Operational management | Establish/Maintain Documentation | |
| Specify the owner of applicable assets in the Acceptable Use Policy. CC ID 15699 | Operational management | Establish/Maintain Documentation | |
| Include asset use policies in the Acceptable Use Policy. CC ID 01355 | Operational management | Establish/Maintain Documentation | |
| Include authority for access authorization lists for assets in all relevant Acceptable Use Policies. CC ID 11872 | Operational management | Establish/Maintain Documentation | |
| Include access control mechanisms in the Acceptable Use Policy. CC ID 01353 | Operational management | Establish/Maintain Documentation | |
| Include temporary activation of remote access technologies for third parties in the Acceptable Use Policy. CC ID 11892 | Operational management | Technical Security | |
| Include prohibiting the copying or moving of restricted data from its original source onto local hard drives or removable storage media in the Acceptable Use Policy. CC ID 11893 | Operational management | Establish/Maintain Documentation | |
| Include a removable storage media use policy in the Acceptable Use Policy. CC ID 06772 | Operational management | Data and Information Management | |
| Correlate the Acceptable Use Policy with the network security policy. CC ID 01356 | Operational management | Establish/Maintain Documentation | |
| Include appropriate network locations for each technology in the Acceptable Use Policy. CC ID 11881 | Operational management | Establish/Maintain Documentation | |
| Correlate the Acceptable Use Policy with the approved product list. CC ID 01357 | Operational management | Establish/Maintain Documentation | |
| Include facility access and facility use in the Acceptable Use Policy. CC ID 06441 | Operational management | Establish/Maintain Documentation | |
| Include the usage restrictions of mobile code technologies in the Acceptable Use Policy. CC ID 15311 | Operational management | Establish/Maintain Documentation | |
| Include a software installation policy in the Acceptable Use Policy. CC ID 06749 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational management | Establish/Maintain Documentation | |
| Document idle session termination and logout for remote access technologies in the Acceptable Use Policy. CC ID 12472 | Operational management | Establish/Maintain Documentation | |
| Disseminate and communicate the Acceptable Use Policy to all interested personnel and affected parties. CC ID 12431 | Operational management | Communicate | |
| Require interested personnel and affected parties to sign Acceptable Use Policies. CC ID 06661 | Operational management | Establish/Maintain Documentation | |
| Require interested personnel and affected parties to re-sign Acceptable Use Policies, as necessary. CC ID 06663 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain an Intellectual Property Right program. CC ID 00821 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain domain name registration and renewal procedures. CC ID 07075 | Operational management | Business Processes | |
| Establish, implement, and maintain Intellectual Property Rights protection procedures. CC ID 11512 | Operational management | Establish/Maintain Documentation | |
| Protect against circumvention of the organization's Intellectual Property Rights. CC ID 11513 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain an e-mail policy. CC ID 06439 | Operational management | Establish/Maintain Documentation | |
| Include business use of personal e-mail in the e-mail policy. CC ID 14381 | Operational management | Establish/Maintain Documentation | |
| Identify the sender in all electronic messages. CC ID 13996 | Operational management | Data and Information Management | |
| Protect policies, standards, and procedures from unauthorized modification or disclosure. CC ID 10603 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain nondisclosure agreements. CC ID 04536 | Operational management | Establish/Maintain Documentation | |
| Disseminate and communicate nondisclosure agreements to interested personnel and affected parties. CC ID 16191 | Operational management | Communicate | |
| Require interested personnel and affected parties to sign nondisclosure agreements. CC ID 06667 | Operational management | Establish/Maintain Documentation | |
| Require interested personnel and affected parties to re-sign nondisclosure agreements, as necessary. CC ID 06669 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a use of information agreement. CC ID 06215 | Operational management | Establish/Maintain Documentation | |
| Include use limitations in the use of information agreement. CC ID 06244 | Operational management | Establish/Maintain Documentation | |
| Include disclosure requirements in the use of information agreement. CC ID 11735 | Operational management | Establish/Maintain Documentation | |
| Include information recipients in the use of information agreement. CC ID 06245 | Operational management | Establish/Maintain Documentation | |
| Include reporting out of scope use of information in the use of information agreement. CC ID 06246 | Operational management | Establish/Maintain Documentation | |
| Include disclosure of information in the use of information agreement. CC ID 11830 | Operational management | Establish/Maintain Documentation | |
| Include information security procedures assigned to the information recipient in the use of information agreement. CC ID 07130 | Operational management | Establish/Maintain Documentation | |
| Include information security procedures assigned to the originator in the use of information agreement. CC ID 14418 | Operational management | Establish/Maintain Documentation | |
| Include a do not contact rule for the individuals identified in a data set in the use of information agreement. CC ID 07131 | Operational management | Establish/Maintain Documentation | |
| Include the information recipient's third parties accepting the agreement in the use of information agreement. CC ID 07132 | Operational management | Establish/Maintain Documentation | |
| Implement and comply with the Governance, Risk, and Compliance framework. CC ID 00818 | Operational management | Business Processes | |
| Analyze how policies used to create management boundaries relates to the Governance, Risk, and Compliance approach. CC ID 12821 | Operational management | Process or Activity | |
| Analyze how the organization sets limits in policies relating to the Governance, Risk, and Compliance approach. CC ID 12819 | Operational management | Process or Activity | |
| Analyze how the Board of Directors' and senior management's tone influences the Governance, Risk, and Compliance approach. CC ID 12818 | Operational management | Process or Activity | |
| Analyze the degree to which the governing body is engaged in the Governance, Risk, and Compliance approach. CC ID 12817 | Operational management | Process or Activity | |
| Analyze the Governance, Risk, and Compliance approach. CC ID 12816 | Operational management | Process or Activity | |
| Analyze the organizational culture. CC ID 12899 | Operational management | Process or Activity | |
| Include employee engagement in the analysis of the organizational culture. CC ID 12914 | Operational management | Behavior | |
| Include contractual relationships with workforce members in the analysis of the organizational culture. CC ID 15674 | Operational management | Business Processes | |
| Include the number of workforce members who are not employees in the analysis of the organizational culture. CC ID 15673 | Operational management | Business Processes | |
| Include the type of work performed by workforce members in the analysis of the organizational culture. CC ID 15675 | Operational management | Business Processes | |
| Include skill development in the analysis of the organizational culture. CC ID 12913 | Operational management | Behavior | |
| Include employee turnover rates in the analysis of the organizational culture. CC ID 12912 | Operational management | Behavior | |
| Include demographic characteristics of employees in the analysis of the organizational culture. CC ID 15671 | Operational management | Business Processes | |
| Include employee loyalty in the analysis of the organizational culture. CC ID 12911 | Operational management | Behavior | |
| Include employee satisfaction in the analysis of the organizational culture. CC ID 12910 | Operational management | Behavior | |
| Comply with all implemented policies in the organization's compliance framework. CC ID 06384 | Operational management | Establish/Maintain Documentation | |
| Provide assurance to interested personnel and affected parties that the Governance, Risk, and Compliance capability is reliable, effective, efficient, and responsive. CC ID 12788 | Operational management | Communicate | |
| Review systems for compliance with organizational information security policies. CC ID 12004 | Operational management | Business Processes | |
| Disseminate and communicate the Governance, Risk, and Compliance framework to all interested personnel and affected parties. CC ID 00815 [The entity's [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. CC2.2] | Operational management | Behavior | |
| Establish, implement, and maintain an Asset Management program. CC ID 06630 | Operational management | Business Processes | |
| Establish, implement, and maintain a software accountability policy. CC ID 00868 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain software asset management procedures. CC ID 00895 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2 Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Operational management | Establish/Maintain Documentation | |
| Prevent users from disabling required software. CC ID 16417 | Operational management | Technical Security | |
| Establish, implement, and maintain software archives procedures. CC ID 00866 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain software distribution procedures. CC ID 00894 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain software documentation management procedures. CC ID 06395 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain software license management procedures. CC ID 06639 | Operational management | Establish/Maintain Documentation | |
| Automate software license monitoring, as necessary. CC ID 07057 | Operational management | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain a system preventive maintenance program. CC ID 00885 | Operational management | Establish/Maintain Documentation | |
| Perform periodic maintenance according to organizational standards. CC ID 01435 | Operational management | Behavior | |
| Control granting access to appropriate parties performing maintenance on organizational assets. CC ID 11873 | Operational management | Human Resources Management | |
| Identify and authenticate appropriate parties prior to granting access to maintain assets. CC ID 11874 [{internal users} Internal and external users are identified and authenticated when accessing the system components (for example, infrastructure, software, and data) to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC5.3] | Operational management | Physical and Environmental Protection | |
| Establish, implement, and maintain a customer service program. CC ID 00846 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain an Incident Management program. CC ID 00853 | Operational management | Business Processes | |
| Include detection procedures in the Incident Management program. CC ID 00588 | Operational management | Establish/Maintain Documentation | |
| Comply with privacy regulations and civil liberties requirements when sharing data loss event information. CC ID 10036 | Operational management | Data and Information Management | |
| Notify interested personnel and affected parties of an extortion payment in the event of a cybersecurity event. CC ID 16539 | Operational management | Communicate | |
| Notify interested personnel and affected parties of the reasons for the extortion payment, along with any alternative solutions. CC ID 16538 | Operational management | Communicate | |
| Document the justification for not reporting incidents to interested personnel and affected parties. CC ID 16547 | Operational management | Establish/Maintain Documentation | |
| Report to breach notification organizations the reasons for a delay in sending breach notifications. CC ID 16797 | Operational management | Communicate | |
| Report to breach notification organizations the distribution list to which the organization will send data loss event notifications. CC ID 16782 | Operational management | Communicate | |
| Include data loss event notifications in the Incident Response program. CC ID 00364 | Operational management | Establish/Maintain Documentation | |
| Include required information in the written request to delay the notification to affected parties. CC ID 16785 | Operational management | Establish/Maintain Documentation | |
| Submit written requests to delay the notification of affected parties. CC ID 16783 | Operational management | Communicate | |
| Revoke the written request to delay the notification. CC ID 16843 | Operational management | Process or Activity | |
| Design the text of the notice for all incident response notifications to be no smaller than 10-point type. CC ID 12985 | Operational management | Establish/Maintain Documentation | |
| Refrain from charging for providing incident response notifications. CC ID 13876 | Operational management | Business Processes | |
| Title breach notifications "Notice of Data Breach". CC ID 12977 | Operational management | Establish/Maintain Documentation | |
| Display titles of incident response notifications clearly and conspicuously. CC ID 12986 | Operational management | Establish/Maintain Documentation | |
| Display headings in incident response notifications clearly and conspicuously. CC ID 12987 | Operational management | Establish/Maintain Documentation | |
| Design the incident response notification to call attention to its nature and significance. CC ID 12984 | Operational management | Establish/Maintain Documentation | |
| Use plain language to write incident response notifications. CC ID 12976 | Operational management | Establish/Maintain Documentation | |
| Include directions for changing the user's authenticator or security questions and answers in the breach notification. CC ID 12983 | Operational management | Establish/Maintain Documentation | |
| Refrain from including restricted information in the incident response notification. CC ID 16806 | Operational management | Actionable Reports or Measurements | |
| Include the affected parties rights in the incident response notification. CC ID 16811 | Operational management | Establish/Maintain Documentation | |
| Include details of the investigation in incident response notifications. CC ID 12296 | Operational management | Establish/Maintain Documentation | |
| Include the issuer's name in incident response notifications. CC ID 12062 | Operational management | Establish/Maintain Documentation | |
| Include a "What Happened" heading in breach notifications. CC ID 12978 | Operational management | Establish/Maintain Documentation | |
| Include a general description of the data loss event in incident response notifications. CC ID 04734 | Operational management | Establish/Maintain Documentation | |
| Include time information in incident response notifications. CC ID 04745 | Operational management | Establish/Maintain Documentation | |
| Include the identification of the data source in incident response notifications. CC ID 12305 | Operational management | Establish/Maintain Documentation | |
| Include a "What Information Was Involved" heading in the breach notification. CC ID 12979 | Operational management | Establish/Maintain Documentation | |
| Include the type of information that was lost in incident response notifications. CC ID 04735 | Operational management | Establish/Maintain Documentation | |
| Include the type of information the organization maintains about the affected parties in incident response notifications. CC ID 04776 | Operational management | Establish/Maintain Documentation | |
| Include a "What We Are Doing" heading in the breach notification. CC ID 12982 | Operational management | Establish/Maintain Documentation | |
| Include what the organization has done to enhance data protection controls in incident response notifications. CC ID 04736 | Operational management | Establish/Maintain Documentation | |
| Include what the organization is offering or has already done to assist affected parties in incident response notifications. CC ID 04737 | Operational management | Establish/Maintain Documentation | |
| Include a "For More Information" heading in breach notifications. CC ID 12981 | Operational management | Establish/Maintain Documentation | |
| Include details of the companies and persons involved in incident response notifications. CC ID 12295 | Operational management | Establish/Maintain Documentation | |
| Include the credit reporting agencies' contact information in incident response notifications. CC ID 04744 | Operational management | Establish/Maintain Documentation | |
| Include the reporting individual's contact information in incident response notifications. CC ID 12297 | Operational management | Establish/Maintain Documentation | |
| Include any consequences in the incident response notifications. CC ID 12604 | Operational management | Establish/Maintain Documentation | |
| Include whether the notification was delayed due to a law enforcement investigation in incident response notifications. CC ID 04746 | Operational management | Establish/Maintain Documentation | |
| Include a "What You Can Do" heading in the breach notification. CC ID 12980 | Operational management | Establish/Maintain Documentation | |
| Include contact information in incident response notifications. CC ID 04739 | Operational management | Establish/Maintain Documentation | |
| Include a copy of the incident response notification in breach notifications, as necessary. CC ID 13085 | Operational management | Communicate | |
| Post the incident response notification on the organization's website. CC ID 16809 | Operational management | Process or Activity | |
| Document the determination for providing a substitute incident response notification. CC ID 16841 | Operational management | Process or Activity | |
| Send electronic substitute incident response notifications to affected parties, as necessary. CC ID 04747 | Operational management | Behavior | |
| Include contact information in the substitute incident response notification. CC ID 16776 | Operational management | Establish/Maintain Documentation | |
| Post substitute incident response notifications to the organization's website, as necessary. CC ID 04748 | Operational management | Establish/Maintain Documentation | |
| Send substitute incident response notifications to breach notification organizations, as necessary. CC ID 04750 | Operational management | Behavior | |
| Publish the substitute incident response notification in a general circulation periodical, as necessary. CC ID 04769 | Operational management | Behavior | |
| Establish, implement, and maintain incident management audit logs. CC ID 13514 | Operational management | Records Management | |
| Log incidents in the Incident Management audit log. CC ID 00857 [The entity creates and retains a complete, accurate, and timely record of detected or reported unauthorized disclosures of personal information, including breaches, consistent with the entity’s privacy commitments and system requirements. P6.3] | Operational management | Establish/Maintain Documentation | |
| Include who the incident was reported to in the incident management audit log. CC ID 16487 | Operational management | Log Management | |
| Include corrective actions in the incident management audit log. CC ID 16466 | Operational management | Establish/Maintain Documentation | |
| Include the organization's business products and services affected by disruptions in the Incident Management audit log. CC ID 12234 | Operational management | Log Management | |
| Establish, implement, and maintain a change control program. CC ID 00886 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Establish/Maintain Documentation | |
| Include potential consequences of unintended changes in the change control program. CC ID 12243 | Operational management | Establish/Maintain Documentation | |
| Include version control in the change control program. CC ID 13119 | Operational management | Establish/Maintain Documentation | |
| Include service design and transition in the change control program. CC ID 13920 | Operational management | Establish/Maintain Documentation | |
| Separate the production environment from development environment or test environment for the change control process. CC ID 11864 | Operational management | Maintenance | |
| Integrate configuration management procedures into the change control program. CC ID 13646 | Operational management | Technical Security | |
| Establish, implement, and maintain a back-out plan. CC ID 13623 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain back-out procedures for each proposed change in a change request. CC ID 00373 | Operational management | Establish/Maintain Documentation | |
| Manage change requests. CC ID 00887 [Change management processes are initiated when deficiencies in the design or operating effectiveness of controls are identified during system operation and are monitored to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.3] | Operational management | Business Processes | |
| Include documentation of the impact level of proposed changes in the change request. CC ID 11942 | Operational management | Establish/Maintain Documentation | |
| Establish and maintain a change request approver list. CC ID 06795 | Operational management | Establish/Maintain Documentation | |
| Document all change requests in change request forms. CC ID 06794 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Establish/Maintain Documentation | |
| Approve tested change requests. CC ID 11783 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Data and Information Management | |
| Validate the system before implementing approved changes. CC ID 01510 | Operational management | Systems Design, Build, and Implementation | |
| Disseminate and communicate proposed changes to all interested personnel and affected parties. CC ID 06807 [{internal users} System changes that affect internal and external users’ responsibilities or the entity's commitments and system requirements relevant to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] are communicated to those users in a timely manner. CC2.6 {internal users} System changes that affect internal and external users’ responsibilities or the entity's commitments and system requirements relevant to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] are communicated to those users in a timely manner. CC2.6] | Operational management | Behavior | |
| Establish, implement, and maintain emergency change procedures. CC ID 00890 | Operational management | Establish/Maintain Documentation | |
| Perform emergency changes, as necessary. CC ID 12707 | Operational management | Process or Activity | |
| Back up emergency changes after the change has been performed. CC ID 12734 | Operational management | Process or Activity | |
| Log emergency changes after they have been performed. CC ID 12733 | Operational management | Establish/Maintain Documentation | |
| Perform risk assessments prior to approving change requests. CC ID 00888 | Operational management | Testing | |
| Implement changes according to the change control program. CC ID 11776 [Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4 Change management processes are initiated when deficiencies in the design or operating effectiveness of controls are identified during system operation and are monitored to meet the entity’s commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC7.3 Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented to meet the entity’s [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof] commitments and system requirements. CC7.4] | Operational management | Business Processes | |
| Provide audit trails for all approved changes. CC ID 13120 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a patch management program. CC ID 00896 | Operational management | Process or Activity | |
| Document the sources of all software updates. CC ID 13316 | Operational management | Establish/Maintain Documentation | |
| Implement patch management software, as necessary. CC ID 12094 | Operational management | Technical Security | |
| Include updates and exceptions to hardened images as a part of the patch management program. CC ID 12087 | Operational management | Technical Security | |
| Establish, implement, and maintain a patch management policy. CC ID 16432 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain patch management procedures. CC ID 15224 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a patch log. CC ID 01642 | Operational management | Establish/Maintain Documentation | |
| Prioritize deploying patches according to vulnerability risk metrics. CC ID 06796 | Operational management | Business Processes | |
| Establish, implement, and maintain a software release policy. CC ID 00893 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain traceability documentation. CC ID 16388 | Operational management | Systems Design, Build, and Implementation | |
| Disseminate and communicate software update information to users and regulators. CC ID 06602 | Operational management | Behavior | |
| Allow interested personnel and affected parties to opt out of specific version releases and software updates. CC ID 06809 | Operational management | Data and Information Management | |
| Update associated documentation after the system configuration has been changed. CC ID 00891 | Operational management | Establish/Maintain Documentation | |
| Establish, implement, and maintain records management policies. CC ID 00903 | Records management | Establish/Maintain Documentation | |
| Determine how long to keep records and logs before disposing them. CC ID 11661 | Records management | Process or Activity | |
| Retain records in accordance with applicable requirements. CC ID 00968 [The entity retains confidential information to meet the entity’s confidentiality commitments and system requirements. C1.7 The entity retains personal information consistent with the entity’s privacy commitments and system requirements. P4.2 System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5] | Records management | Records Management | |
| Establish, implement, and maintain records management procedures. CC ID 11619 | Records management | Establish/Maintain Documentation | |
| Establish, implement, and maintain data completeness controls. CC ID 11649 [System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5 Data is processed completely, accurately, and timely as authorized to meet the entity’s processing integrity commitments and system requirements. PI1.3] | Records management | Process or Activity | |
| Establish, implement, and maintain data processing integrity controls. CC ID 00923 [Procedures exist to prevent, or detect and correct, processing errors to meet the entity’s processing integrity commitments and system requirements. PI1.1 Modification of data, other than routine transaction processing, is authorized and processed to meet with the entity’s processing integrity commitments and system requirements. PI1.6] | Records management | Establish Roles | |
| Sanitize user input in accordance with organizational standards. CC ID 16856 | Records management | Process or Activity | |
| Establish, implement, and maintain Automated Data Processing validation checks and editing checks. CC ID 00924 | Records management | Data and Information Management | |
| Establish, implement, and maintain Automated Data Processing error handling procedures. CC ID 00925 | Records management | Establish/Maintain Documentation | |
| Establish, implement, and maintain Automated Data Processing error handling reporting. CC ID 11659 | Records management | Establish/Maintain Documentation | |
| Establish, implement, and maintain output distribution procedures. CC ID 00927 [System output is complete, accurate, distributed, and retained to meet the entity’s processing integrity commitments and system requirements. PI1.5] | Records management | Establish/Maintain Documentation | |
| Include printed output in output distribution procedures. CC ID 13477 | Records management | Establish/Maintain Documentation | |
| Establish, implement, and maintain a System Development Life Cycle program. CC ID 11823 [The entity’s commitments and system requirements, as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof], are addressed during the system development lifecycle, including the authorization, design, acquisition, implementation, configuration, testing, modification, approval, and maintenance of system components. CC7.1] | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Include management commitment to secure development in the System Development Life Cycle program. CC ID 16386 | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Perform a feasibility study for product requests. CC ID 06895 | Systems design, build, and implementation | Acquisition/Sale of Assets or Services | |
| Prioritize opportunities to improve the product and service lifecycle process. CC ID 06898 | Systems design, build, and implementation | Acquisition/Sale of Assets or Services | |
| Assign senior management to approve the cost benefit analysis in the feasibility study. CC ID 13069 | Systems design, build, and implementation | Human Resources Management | |
| Update the system design, build, and implementation methodology to incorporate emerging standards. CC ID 07045 | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include information security throughout the system development life cycle. CC ID 12042 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Protect confidential information during the system development life cycle program. CC ID 13479 | Systems design, build, and implementation | Data and Information Management | |
| Disseminate and communicate the System Development Life Cycle program to all interested personnel and affected parties. CC ID 15469 | Systems design, build, and implementation | Communicate | |
| Initiate the System Development Life Cycle planning phase. CC ID 06266 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Establish, implement, and maintain system design principles and system design guidelines. CC ID 01057 | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Define and assign the system development project team roles and responsibilities. CC ID 01061 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish Roles | |
| Disseminate and communicate system development roles and responsibilities to interested personnel and affected parties. CC ID 01062 | Systems design, build, and implementation | Establish Roles | |
| Disseminate and communicate system development roles and responsibilities to business unit leaders. CC ID 01063 | Systems design, build, and implementation | Establish Roles | |
| Establish and maintain System Development Life Cycle documentation. CC ID 12079 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Define and document organizational structures for the System Development Life Cycle program. CC ID 12549 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1 {system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system and network monitoring reporting lines in the System Development Life Cycle documentation. CC ID 12562 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system maintenance authorities in the System Development Life Cycle documentation. CC ID 12566 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system development reporting lines in the System Development Life Cycle documentation. CC ID 12559 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system design reporting lines in the System Development Life Cycle documentation. CC ID 12558 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system development authorities in the System Development Life Cycle documentation. CC ID 12564 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system design authorities in the System Development Life Cycle documentation. CC ID 12572 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system and network monitoring authorities in the System Development Life Cycle documentation. CC ID 12568 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system operation authorities in the System Development Life Cycle documentation. CC ID 12567 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system maintenance responsibilities in the System Development Life Cycle documentation. CC ID 12556 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system implementation authorities in the System Development Life Cycle documentation. CC ID 12565 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system and network monitoring responsibilities in the System Development Life Cycle documentation. CC ID 12557 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system operation responsibilities in the System Development Life Cycle documentation. CC ID 12563 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system maintenance reporting lines in the System Development Life Cycle documentation. CC ID 12555 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system operation reporting lines in the System Development Life Cycle documentation. CC ID 12561 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include system implementation reporting lines in the System Development Life Cycle documentation. CC ID 12560 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Define and document organizational structures for system and network monitoring. CC ID 12554 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Define and document organizational structures for systems operations. CC ID 12553 [{system design} {system development} {system implementation} {system maintenance} The entity has defined organizational structures, reporting lines, authorities, and responsibilities for the design, development, implementation, operation, maintenance, and monitoring of the system enabling it to meet its commitments and system requirements as they relate to [insert the principle(s) addressed by the engagement: security, availability, processing integrity, confidentiality, or privacy, or any combination thereof]. CC1.1] | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Initiate the System Development Life Cycle development phase or System Development Life Cycle build phase. CC ID 06267 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Develop new products based on secure coding techniques. CC ID 11733 [Environmental protections, software, data backup processes, and recovery infrastructure are authorized, designed, developed, implemented, operated, approved, maintained, and monitored to meet the entity’s availability commitments and system requirements. A1.2] | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Establish and maintain a coding manual for secure coding techniques. CC ID 11863 | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Protect applications from insufficient anti-automation through secure coding techniques in source code. CC ID 16854 | Systems design, build, and implementation | Technical Security | |
| Protect applications from improper access control through secure coding techniques in source code. CC ID 11959 | Systems design, build, and implementation | Technical Security | |
| Protect applications from improper error handling through secure coding techniques in source code. CC ID 11937 | Systems design, build, and implementation | Technical Security | |
| Protect applications from insecure communications through secure coding techniques in source code. CC ID 11936 | Systems design, build, and implementation | Technical Security | |
| Protect applications from attacks on business logic through secure coding techniques in source code. CC ID 15472 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Protect applications from XML external entities through secure coding techniques in source code. CC ID 14806 | Systems design, build, and implementation | Technical Security | |
| Protect applications from insecure deserialization through secure coding techniques in source code. CC ID 14805 | Systems design, build, and implementation | Technical Security | |
| Refrain from hard-coding security parameters in source code. CC ID 14917 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Refrain from hard-coding usernames in source code. CC ID 06561 | Systems design, build, and implementation | Technical Security | |
| Refrain from hard-coding authenticators in source code. CC ID 11829 | Systems design, build, and implementation | Technical Security | |
| Refrain from hard-coding cryptographic keys in source code. CC ID 12307 | Systems design, build, and implementation | Technical Security | |
| Protect applications from injection flaws through secure coding techniques in source code. CC ID 11944 | Systems design, build, and implementation | Technical Security | |
| Protect applications from attacks on data and data structures through secure coding techniques in source code. CC ID 15482 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Control user account management through secure coding techniques in source code. CC ID 11909 | Systems design, build, and implementation | Technical Security | |
| Restrict direct access of databases to the database administrator through secure coding techniques in source code. CC ID 11933 | Systems design, build, and implementation | Technical Security | |
| Protect applications from buffer overflows through secure coding techniques in source code. CC ID 11943 | Systems design, build, and implementation | Technical Security | |
| Protect applications from cross-site scripting through secure coding techniques in source code. CC ID 11899 | Systems design, build, and implementation | Process or Activity | |
| Protect against coding vulnerabilities through secure coding techniques in source code. CC ID 11897 | Systems design, build, and implementation | Process or Activity | |
| Protect applications from broken authentication and session management through secure coding techniques in source code. CC ID 11896 | Systems design, build, and implementation | Process or Activity | |
| Protect applications from insecure cryptographic storage through secure coding techniques in source code. CC ID 11935 | Systems design, build, and implementation | Technical Security | |
| Protect applications from cross-site request forgery through secure coding techniques in source code. CC ID 11895 | Systems design, build, and implementation | Process or Activity | |
| Protect databases from unauthorized database management actions through secure coding techniques in source code. CC ID 12049 | Systems design, build, and implementation | Technical Security | |
| Refrain from displaying error messages to end users through secure coding techniques in source code. CC ID 12166 | Systems design, build, and implementation | Systems Design, Build, and Implementation | |
| Configure software development tools in accordance with organizational standards. CC ID 16387 | Systems design, build, and implementation | Configuration | |
| Standardize Application Programming Interfaces. CC ID 12167 | Systems design, build, and implementation | Technical Security | |
| Include all confidentiality, integrity, and availability functions in the system design specification. CC ID 04556 | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Include the relationships and dependencies between modules in the system design specification. CC ID 04559 | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Establish, implement, and maintain a security policy model document. CC ID 04560 | Systems design, build, and implementation | Establish/Maintain Documentation | |
| Establish, implement, and maintain a privacy framework that protects restricted data. CC ID 11850 [Confidential information is protected during the system design, development, testing, implementation, and change processes to meet the entity’s confidentiality commitments and system requirements. C1.1] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the roles and responsibilities of the organization's legal counsel in the privacy framework. CC ID 14862 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain a personal data transparency program. CC ID 00375 | Privacy protection for information and data | Data and Information Management | |
| Establish and maintain privacy notices, as necessary. CC ID 13443 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the purpose of the privacy notice in the privacy notice. CC ID 13526 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the processing purpose in the privacy notice. CC ID 16543 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include contact information in the privacy notice. CC ID 14432 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the data subject's choices for data collection, data processing, data disclosure, and data retention in the privacy notice. CC ID 13503 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the right to opt out of personal data disclosure in the privacy notice. CC ID 13460 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include instructions on how to opt out of personal data disclosure in the privacy notice. CC ID 13461 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the types of third parties to which personal data is disclosed in the privacy notice. CC ID 13459 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the organization's policies, standards, and procedures in the privacy notice. CC ID 13455 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the organization's privacy framework in the privacy notice, as necessary. CC ID 13456 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the personal data collection categories in the privacy notice. CC ID 13457 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include disclosure exceptions in the privacy notice. CC ID 13447 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the types of personal data disclosed in the privacy notice. CC ID 13446 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include descriptions of each type of personal data disclosed in the privacy notice. CC ID 13458 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Specify the time frame that notice will be given. CC ID 00385 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the information about the appeal process in the privacy notice. CC ID 15312 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Combine privacy notices into a joint notification with suppliers, as necessary. CC ID 13468 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from delivering privacy notices to data subjects, as necessary. CC ID 13445 | Privacy protection for information and data | Communicate | |
| Deliver privacy notices to data subjects, as necessary. CC ID 13444 | Privacy protection for information and data | Communicate | |
| Deliver a short-form initial notification along with an opt-out notice as an alternate to delivering a privacy notice, as necessary. CC ID 13464 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Update privacy notices, as necessary. CC ID 13474 | Privacy protection for information and data | Communicate | |
| Redeliver privacy notices, as necessary. CC ID 14850 | Privacy protection for information and data | Communicate | |
| Deliver privacy notices to third parties, as necessary. CC ID 13473 | Privacy protection for information and data | Communicate | |
| Obtain acknowledgment of receipt of the privacy notice. CC ID 14435 | Privacy protection for information and data | Communicate | |
| Establish and maintain short-form initial notifications of privacy notices that are clear and conspicuous. CC ID 13466 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the organization's privacy framework in the short-form initial notification, as necessary. CC ID 13472 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the methodology for accessing the privacy notice in the short-form initial notification. CC ID 13471 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include that the privacy notice is available upon request in the short-form initial notification. CC ID 13470 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain opt-out notices. CC ID 13448 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include how opt out directions for joint consumers are treated in the opt-out notice. CC ID 13465 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the opt out method for data subjects in the opt-out notice. CC ID 13467 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the data subject's right to opt out of personal data disclosure in the opt-out notice. CC ID 13463 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Explain the right to opt out in the opt-out notice. CC ID 13462 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the organization's right to share personal data in the opt-out notice. CC ID 13450 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Deliver opt-out notices, as necessary. CC ID 13449 | Privacy protection for information and data | Communicate | |
| Include an initial privacy notification when delivering the opt-out notice. CC ID 13453 | Privacy protection for information and data | Communicate | |
| Provide a copy of the organization's privacy program to statutory authorities, as necessary. CC ID 12376 | Privacy protection for information and data | Communicate | |
| Affirm adequate protection of personal data to applicable statutory authorities if the organization is not a member of a privacy program. CC ID 12372 | Privacy protection for information and data | Communicate | |
| Notify statutory authorities of the organization's withdrawal from the privacy program. CC ID 12391 | Privacy protection for information and data | Communicate | |
| Notify statutory authorities about how restricted data will be handled following withdrawal from the privacy program. CC ID 16819 | Privacy protection for information and data | Data and Information Management | |
| Notify statutory authorities concerned with the privacy program if the surviving organization will continue in the privacy program. CC ID 12393 | Privacy protection for information and data | Communicate | |
| Notify data subjects about the organization's external requirements relevant to the privacy program. CC ID 12354 | Privacy protection for information and data | Communicate | |
| Provide the data subject with a notice of participation procedures. CC ID 06241 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Deliver notices to the intended parties. CC ID 06240 | Privacy protection for information and data | Data and Information Management | |
| Notify data subjects about their privacy rights. CC ID 12989 | Privacy protection for information and data | Communicate | |
| Disseminate and communicate the critical third party list with relevance to the privacy program to all interested personnel and affected parties. CC ID 12352 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain adequate openness procedures. CC ID 00377 | Privacy protection for information and data | Data and Information Management | |
| Provide public proof the organization participates in a privacy program. CC ID 12349 | Privacy protection for information and data | Communicate | |
| Publish a description of processing activities in an official register. CC ID 00379 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish and maintain a records request manual. CC ID 00381 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish and maintain a description of voluntary disclosure and automatic availability of certain records. CC ID 00382 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Register with public bodies and notify the Data Commissioner before processing personal data. CC ID 00383 | Privacy protection for information and data | Behavior | |
| Define what is included in registration notices. CC ID 00386 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include roles and responsibilities in the registration notice. CC ID 16803 | Privacy protection for information and data | Establish Roles | |
| Include the verification method in the registration notice. CC ID 16798 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the statutory authority in the registration notice. CC ID 16799 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the address where the file or hardware supporting the data processing is located in the registration notice. CC ID 00387 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include a purpose specification description in the registration notice. CC ID 00388 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include information about the dispute resolution body in the registration notice. CC ID 16800 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the data subject category being processed in the registration notice. CC ID 00389 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the time period for data processing in the registration notice. CC ID 00390 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include procedures for when the registration notice for processing personal data is insufficient in the registration notice. CC ID 00392 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide legal authorities access to personal data, upon request. CC ID 06818 | Privacy protection for information and data | Data and Information Management | |
| Provide the data subject with information about automated decision-making during personal data processing. CC ID 12609 | Privacy protection for information and data | Process or Activity | |
| Provide the data subject with information about obtaining automated decision-making used during personal data processing. CC ID 12618 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with the name, title, and address of the individual accountable for the organizational policies. CC ID 00394 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with a copy of any brochures or other information that explain policies, standards, or codes. CC ID 00398 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with contractual requirements requiring the provision of personal data. CC ID 12588 | Privacy protection for information and data | Process or Activity | |
| Document the countries where restricted data may be stored. CC ID 12750 | Privacy protection for information and data | Data and Information Management | |
| Protect the rights of students and their parents or legal representatives. CC ID 00222 | Privacy protection for information and data | Data and Information Management | |
| Refrain from allowing access rights to education records maintained by another educational institution. CC ID 13014 | Privacy protection for information and data | Technical Security | |
| Refrain from allowing students the right to inspect the financial records of their parent or legal representative. CC ID 13025 | Privacy protection for information and data | Records Management | |
| Refrain from allowing students the right to inspect confidential letters and confidential letters of recommendation. CC ID 13019 | Privacy protection for information and data | Records Management | |
| Disseminate and communicate the notification of rights to students and their parent or legal representative. CC ID 12996 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the criteria for determining what constitutes a legitimate educational interest in the notification of rights. CC ID 13004 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the criteria for determining what constitutes a school official in the notification of rights. CC ID 13003 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disclose educational data, as necessary. CC ID 00223 | Privacy protection for information and data | Data and Information Management | |
| Grant access to education records in support of educational program audits. CC ID 13032 | Privacy protection for information and data | Records Management | |
| Grant access to education records in support of external requirements. CC ID 13033 | Privacy protection for information and data | Records Management | |
| Disclose statements added to education records, as necessary. CC ID 12990 | Privacy protection for information and data | Communicate | |
| Obtain explicit consent from students or their parent or legal representative prior to using or disclosing educational data. CC ID 00220 | Privacy protection for information and data | Data and Information Management | |
| Disclose education records when written consent is received. CC ID 00224 | Privacy protection for information and data | Data and Information Management | |
| Specify the parties to whom education records may be disclosed in the written consent. CC ID 13002 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Specify the purpose of the disclosure in the written consent. CC ID 13001 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Specify which education records may be disclosed in the written consent. CC ID 13000 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the conditions when consent is not required to disclose educational data. CC ID 00225 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disclose educational data absent consent when disclosure is in connection with a disciplinary proceeding. CC ID 13005 | Privacy protection for information and data | Communicate | |
| Refrain from disclosing disciplinary proceeding results unless the student has violated the institution's rules or policies. CC ID 13023 | Privacy protection for information and data | Communicate | |
| Disclose educational data absent consent when it concerns sex offenders. CC ID 13013 | Privacy protection for information and data | Communicate | |
| Disclose educational data absent consent to other school officials. CC ID 00226 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent to another institution's school officials. CC ID 00227 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent in connection with financial aid. CC ID 00229 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent to organizations conducting studies on tests. CC ID 00230 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent to organizations conducting studies if educational data is destroyed when no longer required. CC ID 12995 | Privacy protection for information and data | Communicate | |
| Disclose educational data absent consent to accrediting organizations. CC ID 00231 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent to a dependent student's parent or legal representative. CC ID 00232 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent in order to comply with a judicial order. CC ID 00233 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent for a health and safety emergency. CC ID 00234 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent when it is merely directory information. CC ID 00235 | Privacy protection for information and data | Data and Information Management | |
| Disclose educational data absent consent to a crime victim. CC ID 00236 | Privacy protection for information and data | Data and Information Management | |
| Record the health and safety threats of students when disclosing personal data. CC ID 12997 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from providing information to the data subject, as necessary. CC ID 12625 | Privacy protection for information and data | Communicate | |
| Refrain from providing information to the data subject when it is forbidden by law. CC ID 12651 | Privacy protection for information and data | Communicate | |
| Refrain from providing information to the data subject when it proves impossible due to statistical purposes. CC ID 12645 | Privacy protection for information and data | Communicate | |
| Provide the data subject with information about lifting any restriction of processing, as necessary. CC ID 12634 | Privacy protection for information and data | Communicate | |
| Refrain from providing information to the data subject when it proves impossible due to historical research purposes. CC ID 12633 | Privacy protection for information and data | Communicate | |
| Refrain from providing information to the data subject when it proves impossible due to scientific research purposes. CC ID 12632 | Privacy protection for information and data | Communicate | |
| Refrain from providing information to the data subject when it proves impossible due to archival purposes. CC ID 12631 | Privacy protection for information and data | Communicate | |
| Refrain from providing information to the data subject when providing information involves disproportionate effort. CC ID 12629 | Privacy protection for information and data | Communicate | |
| Refrain from providing information to the data subject when the data subject has the information. CC ID 12628 | Privacy protection for information and data | Communicate | |
| Provide adequate structures, policies, procedures, and mechanisms to support direct access by the data subject to personal data that is provided upon request. CC ID 00393 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with the data retention period for personal data. CC ID 12587 | Privacy protection for information and data | Process or Activity | |
| Provide the data subject with the criteria used to determine the data retention period for personal data. CC ID 12589 | Privacy protection for information and data | Process or Activity | |
| Provide the data subject with the adequacy decision. CC ID 12586 | Privacy protection for information and data | Process or Activity | |
| Provide the data subject with references to the appropriate safeguards used to protect the privacy of personal data. CC ID 12585 | Privacy protection for information and data | Process or Activity | |
| Provide the data subject with copies of the appropriate safeguards used to protect the privacy of personal data. CC ID 12608 | Privacy protection for information and data | Process or Activity | |
| Provide the data subject with the means of gaining access to personal data held by the organization. CC ID 00396 | Privacy protection for information and data | Data and Information Management | |
| Refrain from requiring the data subject to create an account in order to submit a consumer request. CC ID 13780 | Privacy protection for information and data | Business Processes | |
| Provide the data subject with the data protection officer's contact information. CC ID 12573 | Privacy protection for information and data | Business Processes | |
| Notify the data subject of the right to data portability. CC ID 12603 | Privacy protection for information and data | Process or Activity | |
| Provide the data subject with information about the right to erasure. CC ID 12602 | Privacy protection for information and data | Process or Activity | |
| Provide the data subject with a description of the type of information held by the organization and a general account of its use. CC ID 00397 [The entity provides to the data subjects an accounting of the personal information held and disclosure of a data subject’s personal information, upon the data subject’s request, consistent with the entity’s privacy commitments and system requirements. P6.8] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with what personal data is made available to related organizations or subsidiaries. CC ID 00399 | Privacy protection for information and data | Data and Information Management | |
| Include individual's names to whom restricted data may be disclosed in the disclosure accounting record. CC ID 13027 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish and maintain a disclosure accounting record. CC ID 13022 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the official authorities that are allowed to disclose restricted data absent consent in the disclosure accounting record. CC ID 13029 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the legitimate interests for accessing restricted data in the disclosure accounting record. CC ID 13028 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include what information was disclosed and to whom in the disclosure accounting record. CC ID 04680 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the personal data the organization refrained from disclosing in the disclosure accounting record. CC ID 13769 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the sale of personal data in the disclosure accounting record, as necessary. CC ID 13768 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the disclosure date in the disclosure accounting record. CC ID 07133 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the disclosure recipient in the disclosure accounting record. CC ID 07134 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the disclosure purpose in the disclosure accounting record. CC ID 07135 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the frequency, periodicity, or number of disclosures made during the accounting period in the disclosure accounting record. CC ID 07136 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the final date of multiple disclosures in the disclosure accounting record. CC ID 07137 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include how personal data was used for research purposes in the disclosure accounting record. CC ID 07138 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the research activity or research protocol in the disclosure accounting record. CC ID 07139 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the record selection criteria for research activities in the disclosure accounting record. CC ID 07140 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the contact information of the organization that sponsored the research activity in the disclosure accounting record. CC ID 07141 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disseminate and communicate the disclosure accounting record to interested personnel and affected parties. CC ID 14433 | Privacy protection for information and data | Communicate | |
| Provide shareholders with electronic messages regarding the shareholder meetings. CC ID 04586 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide shareholders access to electronic messages via electronic means. CC ID 11855 | Privacy protection for information and data | Process or Activity | |
| Make telephone directory information available to the public. CC ID 08698 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Display warning screens and confirmation screens for all payment transactions. CC ID 06409 | Privacy protection for information and data | Technical Security | |
| Define the acceptable data modifications before presenting the data to a data subject. CC ID 00400 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with information about the legitimate interests associated with personal data processing. CC ID 12614 | Privacy protection for information and data | Process or Activity | |
| Establish, implement, and maintain a privacy policy. CC ID 06281 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the data subject's rights in the privacy policy. CC ID 16355 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain a privacy policy model document. CC ID 14720 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Notify interested personnel and affected parties when changes are made to the privacy policy. CC ID 06943 [The entity provides notice to data subjects about its privacy practices to meet the entity’s privacy commitments and system requirements. The notice is updated and communicated to data subjects in a timely manner for changes to the entity’s privacy practices, including changes in the use of personal information, to meet the entity’s privacy commitments and system requirements. P1.1] | Privacy protection for information and data | Behavior | |
| Write privacy notices in the official languages required by law. CC ID 16529 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the notification of interested personnel and affected parties regarding privacy policy changes. CC ID 06944 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define what is included in the privacy policy. CC ID 00404 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define the information being collected in the privacy policy. CC ID 13115 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define which collection of information is voluntary and which is required in the privacy policy. CC ID 13110 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the means by which information is collected in the privacy policy. CC ID 13114 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include roles and responsibilities in the privacy policy. CC ID 14669 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include management commitment in the privacy policy. CC ID 14668 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include coordination amongst entities in the privacy policy. CC ID 14667 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the policy for disclosing personal data of persons who have ceased to be customers in the privacy policy. CC ID 14854 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include compliance requirements in the privacy policy. CC ID 14666 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the consequences of refusing to provide required information in the privacy policy. CC ID 13111 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include independent recourse mechanisms in the privacy policy, as necessary. CC ID 12366 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the privacy programs the organization is a member of in the privacy policy. CC ID 12365 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include a complaint form in the privacy policy. CC ID 12364 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the address where the files and hardware that support the data processing is located in the privacy policy. CC ID 00405 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the processing purpose in the privacy policy. CC ID 00406 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include an overview of applicable information security controls in the privacy policy, as necessary. CC ID 13117 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the data subject categories being processed in the privacy policy. CC ID 00407 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define the retention period for collected information in the privacy policy. CC ID 13116 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the time period for when the data processing will be carried out in the privacy policy. CC ID 00408 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include other organizations that personal data is being disclosed to in the privacy policy. CC ID 00409 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include how to gain access to personal data held by the organization in the privacy policy. CC ID 00410 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include instructions on how to opt-out in the privacy policy. CC ID 00411 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the privacy policy's Uniform Resource Locator in the privacy policy. CC ID 12363 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include instructions on how to disable devices that collect restricted data in the privacy policy. CC ID 15454 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include a description of devices that collect restricted data in the privacy policy. CC ID 15452 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define the audit method used to assess the privacy program in the privacy policy. CC ID 12390 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Post the privacy policy in an easily seen location. CC ID 00401 [The entity’s privacy commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. P1.2] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define who will receive the privacy policy. CC ID 00402 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disseminate and communicate the privacy policy to interested personnel and affected parties. CC ID 13346 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain privacy procedures. CC ID 14665 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disseminate and communicate the privacy procedures to all interested personnel and affected parties. CC ID 14664 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain a privacy plan. CC ID 14672 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Align the enterprise architecture with the privacy plan. CC ID 14705 | Privacy protection for information and data | Process or Activity | |
| Approve the privacy plan. CC ID 14700 | Privacy protection for information and data | Business Processes | |
| Include privacy requirements in the privacy plan. CC ID 14699 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the information types in the privacy plan. CC ID 14695 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include threats in the privacy plan. CC ID 14694 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include roles and responsibilities in the privacy plan. CC ID 14702 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include a description of the operational context in the privacy plan. CC ID 14692 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include risk assessment results in the privacy plan. CC ID 14701 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the security categorizations and rationale in the privacy plan. CC ID 14690 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include security controls in the privacy plan. CC ID 14681 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disseminate and communicate the privacy plan to interested personnel and affected parties. CC ID 14680 | Privacy protection for information and data | Communicate | |
| Include a description of the operational environment in the privacy plan. CC ID 14679 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include network diagrams in the privacy plan. CC ID 14678 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the results of the privacy risk assessment in the privacy plan. CC ID 14677 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain a privacy report. CC ID 14754 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disseminate and communicate the privacy report to interested personnel and affected parties. CC ID 14761 | Privacy protection for information and data | Communicate | |
| Protect private communications in keeping with compliance requirements. CC ID 14334 | Privacy protection for information and data | Business Processes | |
| Establish, implement, and maintain personal data choice and consent program. CC ID 12569 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain data request procedures. CC ID 16546 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from discriminating against data subjects who have exercised privacy rights. CC ID 13435 | Privacy protection for information and data | Human Resources Management | |
| Refrain from charging a fee to implement an opt-out request. CC ID 13877 | Privacy protection for information and data | Business Processes | |
| Establish and maintain disclosure authorization forms for authorization of consent to use personal data. CC ID 13433 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include procedures for revoking authorization of consent to use personal data in the disclosure authorization form. CC ID 13438 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the identity of the person seeking consent in the disclosure authorization. CC ID 13999 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the recipients of the disclosed personal data in the disclosure authorization form. CC ID 13440 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the signature of the data subject and the signing date in the disclosure authorization form. CC ID 13439 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the identity of the data subject in the disclosure authorization form. CC ID 13436 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the types of personal data to be disclosed in the disclosure authorization form. CC ID 13442 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include how personal data will be used in the disclosure authorization form. CC ID 13441 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include agreement termination information in the disclosure authorization form. CC ID 13437 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Offer incentives for consumers to opt-in to provide their personal data to the organization. CC ID 13781 | Privacy protection for information and data | Business Processes | |
| Refrain from using coercive financial incentive programs to entice opt-in consent. CC ID 13795 | Privacy protection for information and data | Business Processes | |
| Allow data subjects to opt out and refrain from granting an authorization of consent to use personal data. CC ID 00391 | Privacy protection for information and data | Data and Information Management | |
| Treat an opt-out direction by an individual joint consumer as applying to all associated joint consumers. CC ID 13452 | Privacy protection for information and data | Business Processes | |
| Treat opt-out directions separately for each customer relationship the data subject establishes with the organization. CC ID 13454 | Privacy protection for information and data | Business Processes | |
| Establish, implement, and maintain an opt-out method in accordance with organizational standards. CC ID 16526 | Privacy protection for information and data | Data and Information Management | |
| Comply with opt-out directions by the data subject, unless otherwise directed by compliance requirements. CC ID 13451 | Privacy protection for information and data | Business Processes | |
| Confirm the individual's identity before granting an opt-out request. CC ID 16813 | Privacy protection for information and data | Process or Activity | |
| Highlight the section regarding data subject's consent from other sections in contracts and agreements. CC ID 13988 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Allow consent requests to be provided in any official languages. CC ID 16530 | Privacy protection for information and data | Business Processes | |
| Notify interested personnel and affected parties of the reasons the opt-out request was refused. CC ID 16537 | Privacy protection for information and data | Communicate | |
| Collect and retain disclosure authorizations for each data subject. CC ID 13434 | Privacy protection for information and data | Records Management | |
| Refrain from requiring consent to collect, use, or disclose personal data beyond specified, legitimate reasons in order to receive products and services. CC ID 13605 | Privacy protection for information and data | Data and Information Management | |
| Refrain from obtaining consent through deception. CC ID 13556 | Privacy protection for information and data | Data and Information Management | |
| Give individuals the ability to change the uses of their personal data. CC ID 00469 | Privacy protection for information and data | Data and Information Management | |
| Notify data subjects of the implications of withdrawing consent. CC ID 13551 | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain a personal data accountability program. CC ID 13432 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Assign ownership of the privacy program to the appropriate organizational role. CC ID 11848 | Privacy protection for information and data | Human Resources Management | |
| Require data controllers to be accountable for their actions. CC ID 00470 | Privacy protection for information and data | Establish Roles | |
| Bind data controllers to secrecy concerning the performance of their duties. CC ID 12610 | Privacy protection for information and data | Human Resources Management | |
| Notify the supervisory authority. CC ID 00472 | Privacy protection for information and data | Behavior | |
| Establish, implement, and maintain approval applications. CC ID 16778 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define the requirements for approving or denying approval applications. CC ID 16780 | Privacy protection for information and data | Business Processes | |
| Submit approval applications to the supervisory authority. CC ID 16627 | Privacy protection for information and data | Communicate | |
| Include required information in the approval application. CC ID 16628 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Extend the time limit for approving or denying approval applications. CC ID 16779 | Privacy protection for information and data | Business Processes | |
| Approve the approval application unless applicant has been convicted. CC ID 16603 | Privacy protection for information and data | Process or Activity | |
| Provide the supervisory authority with any information requested by the supervisory authority. CC ID 12606 | Privacy protection for information and data | Process or Activity | |
| Notify the supervisory authority of the safeguards employed to protect the data subject's rights. CC ID 12605 | Privacy protection for information and data | Communicate | |
| Cooperate with Data Protection Authorities. CC ID 06870 | Privacy protection for information and data | Data and Information Management | |
| Submit a safe harbor self-certification letter. CC ID 06871 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from engaging other data processors absent written authorization from the data controller. CC ID 12647 | Privacy protection for information and data | Human Resources Management | |
| Establish, implement, and maintain Binding Corporate Rules for the international transfers of restricted data. CC ID 12584 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include cooperation mechanisms with the supervisory authority in the Binding Corporate Rules. CC ID 12682 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the tasks assigned to the role of data controller in the Binding Corporate Rules. CC ID 12612 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include data subject's rights in the Binding Corporate Rules. CC ID 12596 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the means to exercise the data subject's rights in the Binding Corporate Rules. CC ID 12597 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the organizational structure and contact information in the Binding Corporate Rules. CC ID 12595 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the acceptance of liability for breaches of the binding corporate rules in the Binding Corporate Rules. CC ID 12594 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the mechanisms for reporting legal requirements causing adverse effects on protecting restricted data in the Binding Corporate Rules. CC ID 12620 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include provisions for providing information on the binding corporate rules to the data subject in the Binding Corporate Rules. CC ID 12593 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include reporting changes to the binding corporate rules in the Binding Corporate Rules. CC ID 12591 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include reporting changes of the binding corporate rules to the supervisory authority in the Binding Corporate Rules. CC ID 12592 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include complaint procedures in the Binding Corporate Rules. CC ID 12613 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the data transfers in the Binding Corporate Rules. CC ID 12590 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include specifying the mechanisms for verifying compliance of the binding corporate rules in the Binding Corporate Rules. CC ID 12662 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the identification of the countries in question for the data transfers in the Binding Corporate Rules. CC ID 12601 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the type of data subjects affected by the data transfers in the Binding Corporate Rules. CC ID 12600 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include all pertinent data processing information for data transfers in the Binding Corporate Rules. CC ID 12599 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the categories of personal data for data transfers in the Binding Corporate Rules. CC ID 12598 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include specifying the legally binding nature of the binding corporate rules in the Binding Corporate Rules. CC ID 12627 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include privacy awareness and training in the Binding Corporate Rules. CC ID 12626 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Notify the data controller of any changes in data processors. CC ID 12648 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain Data Processing Contracts. CC ID 12650 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the corrective actions to be taken when conditions cannot be met in the Data Processing Contract. CC ID 16812 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include data processor confidentiality requirements in the Data Processing Contract. CC ID 12685 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the stipulation of notifying the data controller of legal requirements prior to processing restricted data unless the law prohibits such information on important grounds of public interest in the Data Processing Contract. CC ID 12687 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include instructions for processing restricted data in the Data Processing Contract. CC ID 14938 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the purpose for processing restricted data in the Data Processing Contract. CC ID 14937 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the types of restricted data subject to processing in the Data Processing Contract. CC ID 14936 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the duration of processing in the Data Processing Contract. CC ID 14935 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include personal data transfer procedures in the Data Processing Contract. CC ID 12683 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the stipulation of allowing auditing for compliance in the Data Processing Contract. CC ID 12679 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the stipulation that the Statement of Compliance will be made available in the Data Processing Contract. CC ID 12678 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the stipulation of complying with external requirements in the Data Processing Contract. CC ID 12676 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the stipulation that the data processor will respect the conditions for engaging another data processor in the Data Processing Contract. CC ID 12686 | Privacy protection for information and data | Human Resources Management | |
| Include the stipulation that copies of restricted data will be disposed, unless retention is required by law, in the Data Processing Contract. CC ID 12670 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the stipulation that personal data will be disposed or returned to the data subject in the Data Processing Contract. CC ID 12669 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain a personal data use limitation program. CC ID 13428 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain a personal data use purpose specification. CC ID 00093 [The entity limits the use of personal information to the purposes identified in the entity’s privacy commitments and system requirements. P4.1] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Display or print the least amount of personal data necessary. CC ID 04643 | Privacy protection for information and data | Data and Information Management | |
| Redact confidential information from public information, as necessary. CC ID 06872 | Privacy protection for information and data | Data and Information Management | |
| Notify the data subject of the collection purpose. CC ID 00095 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Privacy protection for information and data | Behavior | |
| Refrain from using restricted data collected for research and statistics for other purposes. CC ID 00096 | Privacy protection for information and data | Data and Information Management | |
| Document the law that requires restricted data to be collected. CC ID 00103 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Notify the data subject of the consequences for not providing personal data. CC ID 00104 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1 For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2] | Privacy protection for information and data | Behavior | |
| Notify the data subject of changes to personal data use. CC ID 00105 | Privacy protection for information and data | Behavior | |
| Establish, implement, and maintain data use change of purpose procedures. CC ID 00106 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of publicly accessible personal data as an acceptable secondary purpose. CC ID 00108 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of privacy-related data as acceptable if the information being used is publicly available information, the secondary use is marketing, and it is not practical to seek consent from the individual before use. CC ID 00110 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the data subject is not charged to request to opt out of direct marketing communications. CC ID 00111 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the data subject has not requested to opt out of direct marketing communications. CC ID 00112 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the organization highlights the opt out option during each direct marketing communication. CC ID 00113 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the organization displays contact information in each written direct marketing communication. CC ID 00114 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the data subject gives consent. CC ID 00115 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is Individually Identifiable Health Information used for research. CC ID 00116 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is used for statistical research, scholarly research, or scientific research and the data subject is anonymous. CC ID 00117 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the data controller believes the use is necessary to prevent a life-threatening emergency. CC ID 00118 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when required by law. CC ID 00119 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the personal data is necessary for public emergencies, public health and safety, or individual emergencies. CC ID 00121 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when the primary purpose is directly related to the secondary purpose. CC ID 00123 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary for the enforcement of care and custody. CC ID 15453 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of data as an acceptable secondary purpose when it is necessary for use in a legal proceeding. CC ID 15451 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary for a law enforcement investigation. CC ID 15449 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the use of personal data as an acceptable secondary purpose when it is necessary to perform a treaty with a foreign government. CC ID 15447 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Obtain the data subject's consent when the personal data use changes. CC ID 11832 | Privacy protection for information and data | Behavior | |
| Document restricted data that is disclosed for an acceptable secondary purpose. CC ID 00124 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Dispose of media and restricted data in a timely manner. CC ID 00125 [The entity disposes of confidential information to meet the entity’s confidentiality commitments and system requirements. C1.8 The entity securely disposes of personal information consistent with the entity’s privacy commitments and system requirements. P4.3] | Privacy protection for information and data | Data and Information Management | |
| Refrain from destroying records being inspected or reviewed. CC ID 13015 | Privacy protection for information and data | Records Management | |
| Notify the data subject after their personal data is disposed, as necessary. CC ID 13502 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain data access procedures. CC ID 00414 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Allow data subjects to submit data requests. CC ID 16545 | Privacy protection for information and data | Process or Activity | |
| Provide individuals with information about where their personal data was processed. CC ID 00415 | Privacy protection for information and data | Data and Information Management | |
| Provide individuals with information about the processing purpose of their personal data. CC ID 00416 | Privacy protection for information and data | Data and Information Management | |
| Provide individuals with information about disclosure of their personal data. CC ID 00417 [The entity provides to the data subjects an accounting of the personal information held and disclosure of a data subject’s personal information, upon the data subject’s request, consistent with the entity’s privacy commitments and system requirements. P6.8] | Privacy protection for information and data | Data and Information Management | |
| Allow guardians and legal representatives access to personal data about the individual for whom they are guardians or legal representatives. CC ID 00418 | Privacy protection for information and data | Data and Information Management | |
| Provide assistance to requesters in preparing data access requests. CC ID 13588 | Privacy protection for information and data | Data and Information Management | |
| Require data access requests to be in writing, unless the requester is unable. CC ID 00420 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define what is to be included in a data access request. CC ID 08699 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from requiring data subjects having to justify personal data access requests. CC ID 12394 | Privacy protection for information and data | Business Processes | |
| Respond to data access requests in a timely manner. CC ID 00421 | Privacy protection for information and data | Behavior | |
| Delay responding to data access requests, as necessary. CC ID 15504 | Privacy protection for information and data | Data and Information Management | |
| Expedite the processing of data access requests, as necessary. CC ID 15496 | Privacy protection for information and data | Data and Information Management | |
| Grant a waiver or reduction of fees for data access under defined conditions. CC ID 15502 | Privacy protection for information and data | Business Processes | |
| Define what is included in a request for a waiver or reduction of fees. CC ID 15522 | Privacy protection for information and data | Process or Activity | |
| Deliver the records described in the personal data access request, as necessary. CC ID 08701 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide individuals with an estimate of how much data was withheld from the data access request. CC ID 15503 | Privacy protection for information and data | Data and Information Management | |
| Document the outcome of the personal data access request review procedure. CC ID 00455 | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain procedures for individuals to be able to modify their personal data, as necessary. CC ID 11811 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Submit personal data removal requests in writing. CC ID 11973 | Privacy protection for information and data | Records Management | |
| Include a liability waiver for any harm caused by the exclusion of personal data in the personal data removal request. CC ID 11975 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Notify third parties of data access requests that relates to the third party. CC ID 08703 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Allow affected third parties to consent or object to a data access request. CC ID 08704 | Privacy protection for information and data | Process or Activity | |
| Establish, implement, and maintain restricted data use limitation procedures. CC ID 00128 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Identify any adverse effects the processing of personal data will have on the data subject. CC ID 15299 | Privacy protection for information and data | Data and Information Management | |
| Disclose de-identified data, as necessary. CC ID 13034 | Privacy protection for information and data | Communicate | |
| Notify the data subject after personal data is used or disclosed. CC ID 06247 | Privacy protection for information and data | Behavior | |
| Refrain from processing restricted data, as necessary. CC ID 12551 | Privacy protection for information and data | Records Management | |
| Refrain from processing restricted data if the restricted data is involved in a legal claim. CC ID 12668 | Privacy protection for information and data | Process or Activity | |
| Refrain from providing information to the data subject when the organization cannot identify the data subject. CC ID 12667 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data when the data subject consents to retention. CC ID 14326 | Privacy protection for information and data | Business Processes | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for statistical purposes. CC ID 12656 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for historical research purposes. CC ID 12655 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for scientific research purposes. CC ID 12654 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for exercising freedom of expression. CC ID 12684 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon data subject request when it is used to provide a service. CC ID 13779 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for archival purposes. CC ID 12653 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon data subject request when personal data processing is for compliance with a legal obligation. CC ID 12652 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon data subject request when personal data processing is necessary for the public interest. CC ID 12649 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon data subject request when personal data processing concerns legal claims. CC ID 12644 | Privacy protection for information and data | Process or Activity | |
| Refrain from processing personal data when it is likely to cause unlawful discrimination or arbitrary discrimination. CC ID 00197 | Privacy protection for information and data | Data and Information Management | |
| Refrain from processing personal data when it is used for behavioral monitoring. CC ID 16528 | Privacy protection for information and data | Data and Information Management | |
| Refrain from processing personal data when it reveals trade union membership. CC ID 12583 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data when it concerns an individual's sexual orientation. CC ID 12582 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data when it concerns an individual's sex life. CC ID 12581 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data when it contains Individually Identifiable Health Information. CC ID 12580 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data when biometric data is used for the purpose of identifying an individual. CC ID 12579 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data when the genetic data is used for the purpose of identifying individuals. CC ID 12578 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data when it reveals philosophical beliefs. CC ID 12577 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data when it reveals religious beliefs. CC ID 12576 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data when it reveals political opinions. CC ID 12575 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data if it reveals ethnic origin. CC ID 12574 | Privacy protection for information and data | Business Processes | |
| Refrain from processing personal data if the data subject opposes the data erasure of personal data. CC ID 12619 | Privacy protection for information and data | Process or Activity | |
| Establish and maintain a record of processing activities when processing restricted data. CC ID 12636 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from maintaining a record of processing activities if the data processor employs a limited number of persons. CC ID 13378 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from maintaining a record of processing activities if the personal data relates to criminal records. CC ID 13377 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from maintaining a record of processing activities if the data being processed is restricted data. CC ID 13376 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from maintaining a record of processing activities if it could result in a risk to the data subject's rights or data subject's freedom. CC ID 13375 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the data protection officer's contact information in the record of processing activities. CC ID 12640 | Privacy protection for information and data | Records Management | |
| Include the data processor's contact information in the record of processing activities. CC ID 12657 | Privacy protection for information and data | Records Management | |
| Include the data processor's representative's contact information in the record of processing activities. CC ID 12658 | Privacy protection for information and data | Records Management | |
| Include a general description of the implemented security measures in the record of processing activities. CC ID 12641 | Privacy protection for information and data | Records Management | |
| Include a description of the data subject categories in the record of processing activities. CC ID 12659 | Privacy protection for information and data | Records Management | |
| Include the purpose of processing restricted data in the record of processing activities. CC ID 12663 | Privacy protection for information and data | Records Management | |
| Include the personal data processing categories in the record of processing activities. CC ID 12661 | Privacy protection for information and data | Records Management | |
| Include the time limits for erasing each data category in the record of processing activities. CC ID 12690 | Privacy protection for information and data | Records Management | |
| Include the data recipient categories to whom restricted data has been or will be disclosed in the record of processing activities. CC ID 12664 | Privacy protection for information and data | Records Management | |
| Include a description of the personal data categories in the record of processing activities. CC ID 12660 | Privacy protection for information and data | Records Management | |
| Include the joint data controller's contact information in the record of processing activities. CC ID 12639 | Privacy protection for information and data | Records Management | |
| Include the data controller's representative's contact information in the record of processing activities. CC ID 12638 | Privacy protection for information and data | Records Management | |
| Include documentation of the transferee's safeguards for transferring restricted data in the record of processing activities. CC ID 12643 | Privacy protection for information and data | Records Management | |
| Include the identification of transferees for transferring restricted data in the record of processing activities. CC ID 12642 | Privacy protection for information and data | Records Management | |
| Include the data controller's contact information in the record of processing activities. CC ID 12637 | Privacy protection for information and data | Records Management | |
| Process restricted data lawfully and carefully. CC ID 00086 | Privacy protection for information and data | Establish Roles | |
| Implement technical controls that limit processing restricted data for specific purposes. CC ID 12646 | Privacy protection for information and data | Technical Security | |
| Process personal data pertaining to a patient's health in order to treat those patients. CC ID 00200 | Privacy protection for information and data | Data and Information Management | |
| Refrain from disclosing Individually Identifiable Health Information when in violation of territorial or federal law. CC ID 11966 | Privacy protection for information and data | Records Management | |
| Document the conditions for the use or disclosure of Individually Identifiable Health Information by a covered entity to another covered entity. CC ID 00210 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disclose Individually Identifiable Health Information for a covered entity's own use. CC ID 00211 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information for a healthcare provider's treatment activities by a covered entity. CC ID 00212 | Privacy protection for information and data | Data and Information Management | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is permitted with the consent of the data subject. CC ID 11970 | Privacy protection for information and data | Records Management | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is to support the treatment of the individual. CC ID 11969 | Privacy protection for information and data | Process or Activity | |
| Rely upon the warranty of the covered entity that the record disclosure request for Individually Identifiable Health Information is permitted by law. CC ID 11976 | Privacy protection for information and data | Records Management | |
| Disclose Individually Identifiable Health Information for payment activities between covered entities or healthcare providers. CC ID 00213 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information for Treatment, Payment, and Health Care Operations activities when both covered entities have a relationship with the data subject. CC ID 00214 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information for Treatment, Payment, and Health Care Operations activities between a covered entity and a participating healthcare provider when the information is collected from the data subject and a third party. CC ID 00215 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information in accordance with agreed upon restrictions. CC ID 06249 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information in accordance with the privacy notice. CC ID 06250 | Privacy protection for information and data | Data and Information Management | |
| Disclose permitted Individually Identifiable Health Information for facility directories. CC ID 06251 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information for cadaveric organ donation purposes, eye donation purposes, or tissue donation purposes. CC ID 06252 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information for medical suitability determinations. CC ID 06253 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information for armed forces personnel appropriately. CC ID 06254 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information in order to provide public benefits by government agencies. CC ID 06255 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information for fundraising. CC ID 06256 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information for research use when the appropriate requirements are included in the approval documentation or waiver documentation. CC ID 06257 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document the conditions for the disclosure of Individually Identifiable Health Information by an organization providing healthcare services to organizations other than business associates or other covered entities. CC ID 00201 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disclose Individually Identifiable Health Information when the data subject cannot physically or legally provide consent and the disclosing organization is a healthcare provider. CC ID 00202 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information to provide appropriate treatment to the data subject when the disclosing organization is a healthcare provider. CC ID 00203 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information when it is not contrary to the data subject's wish prior to becoming unable to provide consent and the disclosing organization is a healthcare provider. CC ID 00204 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information that is reasonable or necessary for the disclosure purpose when the disclosing organization is a healthcare provider. CC ID 00205 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information consistent with the law when the disclosing organization is a healthcare provider. CC ID 00206 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the disclosing organization is a healthcare provider. CC ID 00207 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the data subject has provided consent and the disclosing organization is a healthcare provider. CC ID 00208 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information in order to carry out treatment when the data subject's guardian or representative has provided consent and the disclosing organization is a healthcare provider. CC ID 00209 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information when the disclosing organization is a healthcare provider that supports public health and safety activities. CC ID 06248 | Privacy protection for information and data | Data and Information Management | |
| Disclose Individually Identifiable Health Information in order to report abuse or neglect when the disclosing organization is a healthcare provider. CC ID 06819 | Privacy protection for information and data | Data and Information Management | |
| Document how Individually Identifiable Health Information is used and disclosed when authorization has been granted. CC ID 00216 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define and implement valid authorization control requirements. CC ID 06258 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Obtain explicit consent for authorization to release Individually Identifiable Health Information. CC ID 00217 | Privacy protection for information and data | Data and Information Management | |
| Obtain explicit consent for authorization to release psychotherapy notes. CC ID 00218 | Privacy protection for information and data | Data and Information Management | |
| Refrain from using Individually Identifiable Health Information to determine eligibility or continued eligibility for credit. CC ID 00219 | Privacy protection for information and data | Data and Information Management | |
| Process personal data after the data subject has granted explicit consent. CC ID 00180 | Privacy protection for information and data | Data and Information Management | |
| Process personal data in order to perform a legal obligation or exercise a legal right. CC ID 00182 | Privacy protection for information and data | Data and Information Management | |
| Process personal data relating to criminal offenses when required by law. CC ID 00237 | Privacy protection for information and data | Data and Information Management | |
| Process personal data in order to prevent personal injury or damage to the data subject's health. CC ID 00183 | Privacy protection for information and data | Data and Information Management | |
| Process personal data in order to prevent personal injury or damage to a third party's health. CC ID 00184 | Privacy protection for information and data | Data and Information Management | |
| Process personal data for statistical purposes or scientific purposes. CC ID 00256 | Privacy protection for information and data | Data and Information Management | |
| Process personal data during legitimate activities with safeguards for the data subject's legal rights. CC ID 00185 | Privacy protection for information and data | Data and Information Management | |
| Process traffic data in a controlled manner. CC ID 00130 | Privacy protection for information and data | Data and Information Management | |
| Process personal data for health insurance, social insurance, state social benefits, social welfare, or child protection. CC ID 00186 | Privacy protection for information and data | Data and Information Management | |
| Process personal data when it is publicly accessible. CC ID 00187 | Privacy protection for information and data | Data and Information Management | |
| Process personal data for direct marketing and other personalized mail programs. CC ID 00188 | Privacy protection for information and data | Data and Information Management | |
| Refrain from processing personal data for marketing or advertising to children. CC ID 14010 | Privacy protection for information and data | Business Processes | |
| Process personal data for the purposes of employment. CC ID 16527 | Privacy protection for information and data | Data and Information Management | |
| Process personal data for justice administration, lawsuits, judicial decisions, and investigations. CC ID 00189 | Privacy protection for information and data | Data and Information Management | |
| Process personal data for debt collection or benefit payments. CC ID 00190 | Privacy protection for information and data | Data and Information Management | |
| Process personal data in order to advance the public interest. CC ID 00191 | Privacy protection for information and data | Data and Information Management | |
| Process personal data for surveys, archives, or scientific research. CC ID 00192 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00193 | Privacy protection for information and data | Data and Information Management | |
| Process personal data for academic purposes or religious purposes. CC ID 00194 | Privacy protection for information and data | Data and Information Management | |
| Process personal data when it is used by a public authority for National Security policy or criminal policy. CC ID 00195 | Privacy protection for information and data | Data and Information Management | |
| Refrain from storing data in newly created files or registers which directly or indirectly reveals the restricted data. CC ID 00196 | Privacy protection for information and data | Data and Information Management | |
| Follow legal obligations while processing personal data. CC ID 04794 | Privacy protection for information and data | Data and Information Management | |
| Start personal data processing only after the needed notifications are submitted. CC ID 04791 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent for specific and well-documented circumstances. CC ID 13537 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent in order to protect the vital interests of the data subject. CC ID 14012 | Privacy protection for information and data | Process or Activity | |
| Process personal data absent consent when the data subject has been notified the personal data may be collected, used, or disclosed. CC ID 13617 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13615 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when the data subject is notified that the business transaction is completed and their information was disclosed. CC ID 13612 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when the disclosure concerns the data subject's products and services obtained from the organization. CC ID 13611 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when it is impracticable to obtain consent. CC ID 13580 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when it is in the data subject's interest and consent cannot be obtained in a timely manner. CC ID 15282 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent to determine whether to proceed with business transactions. CC ID 13587 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent in order to perform a contract. CC ID 13586 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when the privacy commissioner is notified before the information is used. CC ID 13581 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent to perform obligations in the field of employment law. CC ID 16814 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 15294 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when it is used in a manner to ensure confidentiality. CC ID 13579 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when it is used for statistical research, scientific research, or scholarly research. CC ID 13578 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when it is needed by law. CC ID 13577 | Privacy protection for information and data | Data and Information Management | |
| Process personal data for public interests absent consent in order to protect historical records or archival records. CC ID 15296 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when it is from publicly available information. CC ID 13576 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent to create a credit report. CC ID 15288 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent if its use is consistent with the intended purpose. CC ID 13575 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent to administer a trust fund or benefit plan. CC ID 15291 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when produced for business purposes. CC ID 13563 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent for handling insurance claims. CC ID 13561 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent when it is necessary for corporate restructuring. CC ID 16533 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent if the information is contained in a witness statement. CC ID 13560 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent for life-threatening emergencies. CC ID 13558 | Privacy protection for information and data | Data and Information Management | |
| Process personal data absent consent for reasonable investigative purposes. CC ID 13557 | Privacy protection for information and data | Data and Information Management | |
| Notify the individual before restricted data is collected, used, or disclosed. CC ID 00132 | Privacy protection for information and data | Behavior | |
| Define security breach notification requirement exceptions. CC ID 04797 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from disclosing personal data absent consent of the individual or for defined exceptions. CC ID 11967 | Privacy protection for information and data | Records Management | |
| Disclose restricted data when the data subject has given unambiguous and implicit consent. CC ID 00157 [The entity discloses personal information to third parties with the explicit consent of the data subject to meet the entity’s privacy commitments and system requirements, and such consent is obtained prior to disclosure. P6.1] | Privacy protection for information and data | Data and Information Management | |
| Define what restricted data is not required to be disclosed absent consent. CC ID 00134 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define the exceptions to disclosure absent consent. CC ID 00135 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define opt-out exceptions for disclosing restricted data. CC ID 00159 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define how a data subject may give consent. CC ID 00160 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disclose Personal Identification Numbers absent consent in order to update address information. CC ID 04793 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent for specific and well-documented circumstances. CC ID 15267 | Privacy protection for information and data | Communicate | |
| Disclose restricted data absent consent when the law does not require consent. CC ID 00136 | Privacy protection for information and data | Data and Information Management | |
| Disclose data absent consent if its disclosure is consistent with the intended purpose. CC ID 15270 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data when a relevant connection exists between the data subject and the data controller's operations. CC ID 00137 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if the disclosure with the consent or knowledge of the data subject would compromise the ability to prevent, detect, or suppress fraud. CC ID 13594 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent when it is in the data subject's interest and consent cannot be obtained in a timely manner. CC ID 15284 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13616 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent when the data subject is notified that the business transaction is completed and their information was disclosed. CC ID 13613 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent when the data subject has been notified the personal data may be collected, used, or disclosed. CC ID 13603 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if disclosure is made a predetermined number of years after the death of the data subject. CC ID 13598 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent when disclosure is made a predetermined number of years after the information was created. CC ID 13597 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if the data subject is notified of the disclosure. CC ID 13596 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent to detect, suppress, or prevent fraud. CC ID 13592 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent to create a credit report. CC ID 15297 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if it is necessary to identify an individual who is injured, ill or deceased. CC ID 13595 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent if the disclosure is to a government institution. CC ID 13583 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent for reasonable investigative purposes. CC ID 13593 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent to determine whether to proceed with business transactions. CC ID 15285 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent for handling insurance claims. CC ID 13585 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if the information is contained in a witness statement. CC ID 13584 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if the data subject is believed to be a victim of financial abuse. CC ID 13555 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent for transactions related to the consumer. CC ID 14853 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent to a government institution that has requested the information. CC ID 13582 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 13554 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent when it is for the data controller's legitimate interest or third party's legitimate interest and it prevails over individual rights. CC ID 00138 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if the organization notifies the privacy commissioner before disclosing the information. CC ID 13553 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent if it is impracticable to obtain consent. CC ID 13552 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent in order to perform a contract. CC ID 00139 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent in order to assist Telecommunications Ombudsmen in resolving complaints. CC ID 00140 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent to administer a trust fund or benefit plan. CC ID 15290 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent for research purposes and the data subject is not identified. CC ID 15286 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent when the personal data is disclosed by calling an emergency service number. CC ID 00141 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent when the restricted data prevents life-threatening emergencies to third parties. CC ID 00142 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent when the restricted data preserves human life at sea. CC ID 00143 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent in order to process the restricted data for public interests. CC ID 00144 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data for public interests absent consent in order to provide social work assistance services. CC ID 00145 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data for public interests absent consent if confidentiality is assured and the disclosure is for statistical research, scientific research, or scholarly research. CC ID 00146 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data for public interests absent consent in order to protect historical records or archival records. CC ID 00147 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent for public economic interests. CC ID 00148 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data for public interests absent consent for National Security reasons. CC ID 00149 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00150 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent when it is publicly accessible. CC ID 00151 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent when it is related to publicly available information. CC ID 00152 | Privacy protection for information and data | Data and Information Management | |
| Disclose publicly accessible restricted data absent consent when the data subject has already published it. CC ID 00153 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent in order to protect the data subject's vital interests. CC ID 00154 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent in order to protect the data subject's vital interests when there is a life-threatening emergency. CC ID 00155 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent when it is for judicial decisions, lawsuits, and investigations. CC ID 00161 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent when it is needed by law. CC ID 00163 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data required by law absent consent for special cases involving security or law enforcement. CC ID 04796 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent when it is being disclosed to the data subject. CC ID 00164 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent for direct marketing or other personalized mail programs. CC ID 14855 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent in order to collect a debt owed by the data subject. CC ID 00165 | Privacy protection for information and data | Data and Information Management | |
| Disclose personal data absent consent when the data subject or data owner is anonymous. CC ID 00166 | Privacy protection for information and data | Data and Information Management | |
| Disclose restricted data absent consent when the disclosure concerns the individual's products or services obtained from the organization. CC ID 13469 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain restricted data retention procedures. CC ID 00167 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain personal data disposition procedures. CC ID 13498 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Capture personal data removal requests. CC ID 13507 | Privacy protection for information and data | Communicate | |
| Remove personal data from records after receiving a personal data removal request. CC ID 11972 | Privacy protection for information and data | Records Management | |
| Refrain from erasing personal data upon receiving a personal data removal request when it is necessary for maintaining information assets. CC ID 13789 | Privacy protection for information and data | Process or Activity | |
| Refrain from erasing personal data upon receiving a personal data removal request when it is necessary to complete a payment transaction. CC ID 13788 | Privacy protection for information and data | Process or Activity | |
| Dispose of personal data removal requests, as necessary. CC ID 13512 | Privacy protection for information and data | Business Processes | |
| Limit the redisclosure and reuse of restricted data. CC ID 00168 | Privacy protection for information and data | Data and Information Management | |
| Refrain from redisclosing or reusing restricted data. CC ID 00169 | Privacy protection for information and data | Data and Information Management | |
| Document the redisclosing restricted data exceptions. CC ID 00170 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Redisclose restricted data when the data subject consents. CC ID 00171 | Privacy protection for information and data | Data and Information Management | |
| Redisclose restricted data when it is for criminal law enforcement. CC ID 00172 | Privacy protection for information and data | Data and Information Management | |
| Redisclose restricted data in order to protect public revenue. CC ID 00173 | Privacy protection for information and data | Data and Information Management | |
| Redisclose restricted data in order to assist a Telecommunications Ombudsman. CC ID 00174 | Privacy protection for information and data | Data and Information Management | |
| Redisclose restricted data in order to prevent a life-threatening emergency. CC ID 00175 | Privacy protection for information and data | Data and Information Management | |
| Redisclose restricted data when it deals with installing, maintaining, operating, or providing access to a Public Telecommunications Network or a telecommunication facility. CC ID 00176 | Privacy protection for information and data | Data and Information Management | |
| Redisclose restricted data in order to preserve human life at sea. CC ID 00177 | Privacy protection for information and data | Data and Information Management | |
| Obtain explicit consent directly from the data subject prior to the use of that person's sensitive data. CC ID 00178 [The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to the data subjects and the consequences, if any, of each choice. Explicit consent for the collection, use, retention, disclosure, and disposal of personal information is obtained from the data subject or other authorized person, if required, and such consent is obtained only for the purpose for which the information is intended consistent with the entity’s privacy commitments and system requirements. The entity’s basis for determining implicit consent for the collection, use, retention, disclosure, and disposal of personal information is documented. P2.1] | Privacy protection for information and data | Data and Information Management | |
| Obtain consent from a parent or legal representative in order to use or disclose a child's data. CC ID 00198 | Privacy protection for information and data | Data and Information Management | |
| Obtain opt-in consent from teenagers prior to the collection, use, or disclosure of personal data. CC ID 00199 | Privacy protection for information and data | Data and Information Management | |
| Obtain explicit consent prior to using the data subject's Personal Identification Number. CC ID 00238 | Privacy protection for information and data | Data and Information Management | |
| Process Personal Identification Numbers with consent. CC ID 00239 | Privacy protection for information and data | Data and Information Management | |
| Refrain from requiring individuals to use Personal Identification Numbers as an account number or password. CC ID 00253 | Privacy protection for information and data | Behavior | |
| Obtain consent prior to selling a Personal Identification Number. CC ID 00240 | Privacy protection for information and data | Data and Information Management | |
| Obtain consent prior to displaying a Personal Identification Number. CC ID 00241 | Privacy protection for information and data | Data and Information Management | |
| Refrain from displaying Personal Identification Numbers on government-issued checks or other paperwork. CC ID 00254 | Privacy protection for information and data | Data and Information Management | |
| Refrain from displaying Personal Identification Numbers on identification cards or badges. CC ID 00255 | Privacy protection for information and data | Data and Information Management | |
| Document the conditions to use Personal Identification Numbers absent consent. CC ID 00242 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Use Personal Identification Numbers absent consent for granting credit or collecting a debt. CC ID 00252 | Privacy protection for information and data | Data and Information Management | |
| Use Personal Identification Numbers absent consent for research purposes. CC ID 00247 | Privacy protection for information and data | Data and Information Management | |
| Refrain from requiring consent to use a Personal Identification Number when protecting the public health and safety or an individual's safety in an emergency. CC ID 00244 | Privacy protection for information and data | Data and Information Management | |
| Use Personal Identification Numbers absent consent when a federal law mandates its use. CC ID 00243 | Privacy protection for information and data | Data and Information Management | |
| Allow data subjects the ability to restrict the use and disclosure of personal data. CC ID 06821 [Access to confidential information from outside the boundaries of the system and disclosure of confidential information is restricted to authorized parties to meet the entity’s confidentiality commitments and system requirements. C1.3] | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain data disclosure procedures. CC ID 00133 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Identify any adverse effects the disclosure of personal data will have on the data subject. CC ID 15298 | Privacy protection for information and data | Data and Information Management | |
| Review personal data disclosure requests. CC ID 07129 | Privacy protection for information and data | Data and Information Management | |
| Notify the data subject of the disclosure purpose. CC ID 15268 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain data request denial procedures. CC ID 00434 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include frivolous requests or vexatious requests as a reason for denial in the personal data request denial procedures. CC ID 00435 | Privacy protection for information and data | Data and Information Management | |
| Include when the required information is unavailable as a reason for denial in the personal data request denial procedures. CC ID 00436 | Privacy protection for information and data | Data and Information Management | |
| Include when the disclosure of personal data constitutes contempt of court or contempt of House of Representatives as a reason for denial in the personal data request denial procedures. CC ID 00437 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would identify suppliers or breaches an express promise of privacy or implied promise of privacy as a reason for denial in the personal data request denial procedures. CC ID 00438 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would compromise National Security as a reason for denial in the personal data request denial procedures. CC ID 00439 | Privacy protection for information and data | Data and Information Management | |
| Include information that is protected by attorney-client privilege as a reason for denial in the personal data request denial procedures. CC ID 00440 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would reveal trade secrets, commercial information, or harmful financial information as a reason for denial in the personal data request denial procedures. CC ID 00441 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would threaten an individual's life or an individual's security as a reason for denial in the personal data request denial procedures. CC ID 00442 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would have an unreasonable impact on another individual's privacy as a reason for denial in the personal data request denial procedures. CC ID 00443 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would threaten facilities, property, transport, or communication systems as a reason for denial in the personal data request denial procedures. CC ID 08702 | Privacy protection for information and data | Process or Activity | |
| Include responding to access requests after the time limit as a reason for denial in the personal data request denial procedures. CC ID 13600 | Privacy protection for information and data | Data and Information Management | |
| Include information that was generated from a formal dispute as a reason for denial in the personal data request denial procedures. CC ID 00444 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is used solely for scientific research, scholarly research, statistical research, library purposes, museum purposes, or archival purposes as a reason for denial in the personal data request denial procedures. CC ID 00445 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is for protecting the civil rights or other's freedoms as a reason for denial in the personal data request denial procedures. CC ID 00447 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that constitutes a state secret as a reason for denial in the personal data request denial procedures. CC ID 00448 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would result in interference with the operation of public functions as a reason for denial in the personal data request denial procedures. CC ID 00449 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would interrupt criminal investigation and surveillance or other legal purposes as a reason for denial in the personal data request denial procedures. CC ID 00450 | Privacy protection for information and data | Data and Information Management | |
| Include when a country's laws prevent disclosure as a reason for denial in the personal data request denial procedures. CC ID 00451 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would interfere with grievance proceeding or employee security investigations as a reason for denial in the personal data request denial procedures. CC ID 06873 | Privacy protection for information and data | Data and Information Management | |
| Include disclosing personal data that would interfere with commercial acquisitions or reorganizations as a reason for denial in the personal data request denial procedures. CC ID 06874 | Privacy protection for information and data | Data and Information Management | |
| Include if the cost or burden of disclosing the personal data is disproportionate as a reason for denial in the personal data request denial procedures. CC ID 06875 | Privacy protection for information and data | Data and Information Management | |
| Notify interested personnel and affected parties of the reasons the data access request was refused. CC ID 00453 [The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to the data subject consistent with the entity’s privacy commitments and system requirements. If access is denied, the data subject is informed of the denial and reason for such denial, as required, consistent with the entity’s privacy commitments and system requirements. P5.1] | Privacy protection for information and data | Data and Information Management | |
| Notify the individual of the organization's legal rights to refuse the personal data access request, as necessary. CC ID 13509 | Privacy protection for information and data | Communicate | |
| Notify individuals of their right to challenge a refusal to a data access request. CC ID 00454 | Privacy protection for information and data | Data and Information Management | |
| Include if the record would constitute an action for breach of a duty of confidence as a reason for denial in the personal data request denial procedures. CC ID 08700 | Privacy protection for information and data | Process or Activity | |
| Disseminate and communicate personal data to the individual that it relates to. CC ID 00428 | Privacy protection for information and data | Data and Information Management | |
| Provide personal data to an individual after the individual's identity has been confirmed. CC ID 06876 | Privacy protection for information and data | Data and Information Management | |
| Notify that data subject of any exclusions to requested personal data. CC ID 15271 | Privacy protection for information and data | Communicate | |
| Provide data or records in a reasonable time frame. CC ID 00429 | Privacy protection for information and data | Data and Information Management | |
| Notify individuals of the new time limit for responding to an access request in a notice of extension. CC ID 13599 | Privacy protection for information and data | Communicate | |
| Extend the time limit for providing personal data in order to convert it to an alternative format. CC ID 13591 | Privacy protection for information and data | Data and Information Management | |
| Extend the time limit for providing personal data if the time is impracticable to respond to the access request. CC ID 13590 | Privacy protection for information and data | Data and Information Management | |
| Extend the time limit for providing data if it would unreasonably interfere with the organization's activities. CC ID 13589 | Privacy protection for information and data | Data and Information Management | |
| Provide data at a cost that is not excessive. CC ID 00430 | Privacy protection for information and data | Data and Information Management | |
| Provide records or data in a reasonable manner. CC ID 00431 | Privacy protection for information and data | Data and Information Management | |
| Provide personal data in a form that is intelligible. CC ID 00432 | Privacy protection for information and data | Data and Information Management | |
| Provide restricted data that would threaten the life or security of another individual after that information has been redacted. CC ID 13604 | Privacy protection for information and data | Data and Information Management | |
| Provide restricted data that would reveal confidential commercial information after that information has been redacted. CC ID 13602 | Privacy protection for information and data | Data and Information Management | |
| Remove data pertaining to third parties before giving the requestor access to the information. CC ID 13601 | Privacy protection for information and data | Data and Information Management | |
| Document that a data search was conducted in case the requested data cannot be found. CC ID 06953 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include cookie management in the privacy framework. CC ID 13809 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain cookie management procedures. CC ID 13810 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain a personal data collection program. CC ID 06487 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Identify any adverse effects the collection of personal data will have on the data subject. CC ID 15279 | Privacy protection for information and data | Data and Information Management | |
| Refrain from collecting personal data, as necessary. CC ID 15269 | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain personal data collection limitation boundaries. CC ID 00507 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain a personal data use policy. CC ID 00076 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Use personal data for specified purposes. CC ID 11831 | Privacy protection for information and data | Data and Information Management | |
| Post the collection purpose. CC ID 00101 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Obtain the data subject's consent and acknowledgment before collecting data. CC ID 00012 [For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2 For information requiring explicit consent, the entity communicates the need for such consent, as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information consistent with the entity’s privacy commitments and system requirements. P3.2] | Privacy protection for information and data | Data and Information Management | |
| Document each individual's personal data collection consent preferences. CC ID 06945 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide explicit consent that is clear and unambiguous. CC ID 00181 | Privacy protection for information and data | Data and Information Management | |
| Allow individuals to change their personal data collection consent preferences. CC ID 06946 | Privacy protection for information and data | Data and Information Management | |
| Adhere to each individual's personal data collection consent preferences. CC ID 06947 | Privacy protection for information and data | Data and Information Management | |
| Notify the data subject of the source of collected personal data. CC ID 00083 | Privacy protection for information and data | Behavior | |
| Furnish disclosure of information and usage of information to data subjects when oral consent is given. CC ID 04717 | Privacy protection for information and data | Data and Information Management | |
| Disclose the direct marketing purpose before obtaining consent for collecting information. CC ID 04718 | Privacy protection for information and data | Data and Information Management | |
| Establish and maintain a personal data definition. CC ID 00028 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include an individual's name in the personal data definition. CC ID 04710 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's name combined with other personal data in the personal data definition. CC ID 04709 | Privacy protection for information and data | Data and Information Management | |
| Include the legal surname of the parent or legal representative prior to marriage in the personal data definition. CC ID 04686 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's signature in the personal data definition. CC ID 04711 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's date of birth in the personal data definition. CC ID 04770 | Privacy protection for information and data | Data and Information Management | |
| Include the number of children in the personal data definition. CC ID 13759 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the individual's religion in the personal data definition. CC ID 13765 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include an individual's physical characteristics or description in the personal data definition. CC ID 04712 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's biometric data in the personal data definition. CC ID 04698 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's photographic image in the personal data definition. CC ID 04779 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's fingerprints in the personal data definition. CC ID 04689 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's address in the personal data definition. CC ID 04687 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's telephone number in the personal data definition. CC ID 04688 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's fax number in the personal data definition. CC ID 07120 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's political party affiliation in the personal data definition. CC ID 13764 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include an individual's license plate number in the personal data definition. CC ID 13763 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include an individual's financial account number in the personal data definition. CC ID 04692 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's account balances in the personal data definition. CC ID 13770 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include stock numbers, bond numbers, and other security certificate numbers in the personal data definition. CC ID 04768 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's electronic identification name or number in the personal data definition. CC ID 04694 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's logon credentials in the personal data definition. CC ID 13771 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include an individual's Alien Registration Number in the personal data definition. CC ID 04743 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's passport number in the personal data definition. CC ID 04713 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's driver's license number or an individual's state identification card number in the personal data definition. CC ID 04691 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's Social Security Number or Personal Identification Number in the personal data definition. CC ID 04690 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's military identification number in the personal data definition. CC ID 13083 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include an individual's e-mail address in the personal data definition. CC ID 04696 | Privacy protection for information and data | Data and Information Management | |
| Include electronic signatures in the personal data definition. CC ID 04697 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's payment card information in the personal data definition. CC ID 04751 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's credit card number or an individual's debit card number in the personal data definition. CC ID 04693 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's payment card service code in the personal data definition. CC ID 04753 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's payment card expiration date in the personal data definition. CC ID 04755 | Privacy protection for information and data | Data and Information Management | |
| Include the payment transaction data and transaction authentication data in the personal data definition. CC ID 04825 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's Individually Identifiable Health Information in the personal data definition. CC ID 04700 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's medical history in the personal data definition. CC ID 04701 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's medical treatment in the personal data definition. CC ID 04702 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's medical diagnosis in the personal data definition. CC ID 04703 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's mental condition or an individual's physical condition in the personal data definition. CC ID 04704 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's medical record numbers in the personal data definition. CC ID 07121 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's health insurance information in the personal data definition. CC ID 04705 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's health insurance policy number in the personal data definition. CC ID 04706 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's health insurance application and health insurance claims history (including appeals) in the personal data definition. CC ID 04707 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's education information in the personal data definition. CC ID 04714 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's professional certification numbers or an individual's professional license numbers in the personal data definition. CC ID 07122 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's employment information in the personal data definition. CC ID 04715 | Privacy protection for information and data | Data and Information Management | |
| Include an employer's Taxpayer Identification Number in the personal data definition. CC ID 04767 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's Taxpayer Identification Number in the personal data definition. CC ID 04763 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's employment history in the personal data definition. CC ID 04716 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's place of employment in the personal data definition. CC ID 04765 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's Employee Identification Number in the personal data definition. CC ID 04766 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's property information in the personal data definition. CC ID 04780 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's property title in the personal data definition. CC ID 04781 | Privacy protection for information and data | Data and Information Management | |
| Include an individual's vehicle registration in the personal data definition. CC ID 04782 | Privacy protection for information and data | Data and Information Management | |
| Include hardware asset identification information in the personal data definition. CC ID 07123 | Privacy protection for information and data | Data and Information Management | |
| Include MAC addresses in the personal data definition. CC ID 04778 | Privacy protection for information and data | Data and Information Management | |
| Include Internet Protocol addresses in the personal data definition. CC ID 04777 | Privacy protection for information and data | Data and Information Management | |
| Include asset serial numbers in the personal data definition. CC ID 07124 | Privacy protection for information and data | Data and Information Management | |
| Include Uniform Resource Locators in the personal data definition. CC ID 07125 | Privacy protection for information and data | Data and Information Management | |
| Refrain from including publicly available information in the personal data definition. CC ID 13084 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define specially restricted data. CC ID 00037 | Privacy protection for information and data | Data and Information Management | |
| Protect an individual's civil rights during personal data collection and personal data processing. CC ID 00079 | Privacy protection for information and data | Data and Information Management | |
| Refrain from compiling data that is likely to give rise to unlawful discrimination or arbitrary discrimination. CC ID 00075 | Privacy protection for information and data | Data and Information Management | |
| Refrain from subjecting an individual to a solely automated decision process that produces legal effects based on the evaluation of certain characteristics. CC ID 00080 | Privacy protection for information and data | Data and Information Management | |
| Implement a nondiscrimination principle. CC ID 00081 | Privacy protection for information and data | Data and Information Management | |
| Include the collection and use of personal data in the nondiscrimination principle. CC ID 11799 | Privacy protection for information and data | Data and Information Management | |
| Preserve each individual's right to human dignity. CC ID 00082 | Privacy protection for information and data | Data and Information Management | |
| Manage Personal Identification Numbers and PIN verification code numbers. CC ID 00058 | Privacy protection for information and data | Data and Information Management | |
| Employ a random number generator to create authenticators. CC ID 13782 | Privacy protection for information and data | Technical Security | |
| Collect Personal Identification Numbers with the individual's consent. CC ID 00059 | Privacy protection for information and data | Data and Information Management | |
| Collect Personal Identification Numbers absent consent when the law mandates. CC ID 00061 | Privacy protection for information and data | Data and Information Management | |
| Collect Personal Identification Numbers absent consent for research purposes. CC ID 00065 | Privacy protection for information and data | Data and Information Management | |
| Collect Personal Identification Numbers absent consent to realize the rights or duties of the data subject or data controller. CC ID 04792 | Privacy protection for information and data | Data and Information Management | |
| Refrain from requiring a Personal Identification Number to purchase goods or services. CC ID 00069 | Privacy protection for information and data | Behavior | |
| Manage health data collection. CC ID 00050 | Privacy protection for information and data | Data and Information Management | |
| Collect Individually Identifiable Health Information to provide health care services. CC ID 00052 | Privacy protection for information and data | Data and Information Management | |
| Collect Individually Identifiable Health Information when the law dictates. CC ID 00053 | Privacy protection for information and data | Data and Information Management | |
| Collect Individually Identifiable Health Information for research. CC ID 00054 | Privacy protection for information and data | Data and Information Management | |
| Remove personal data before disclosing health data. CC ID 00055 | Privacy protection for information and data | Data and Information Management | |
| Give special attention to collecting children's data. CC ID 00038 | Privacy protection for information and data | Data and Information Management | |
| Use simple understandable language to collect information from children. CC ID 00039 | Privacy protection for information and data | Behavior | |
| Notify parents or legal representatives of what information is collected from children. CC ID 00040 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Obtain consent from a parent or legal representative before collecting information from children. CC ID 00041 | Privacy protection for information and data | Data and Information Management | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to collect online contact information for a one-time only response to a specific request. CC ID 00043 | Privacy protection for information and data | Data and Information Management | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to request the parent or legal representative's information to obtain consent. CC ID 00044 | Privacy protection for information and data | Data and Information Management | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to additional requests which do not go beyond the scope of the request. CC ID 00045 | Privacy protection for information and data | Data and Information Management | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to protect the child's safety. CC ID 00046 | Privacy protection for information and data | Data and Information Management | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to take liability precautions. CC ID 00047 | Privacy protection for information and data | Data and Information Management | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to a judicial process. CC ID 00048 | Privacy protection for information and data | Data and Information Management | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to respond to a request for law enforcement purposes. CC ID 00049 | Privacy protection for information and data | Data and Information Management | |
| Waive verifiable consent from a parent or legal representative for collecting information from children in order to protect the website's security or integrity or the online service's security or integrity. CC ID 06199 | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain a personal data collection policy. CC ID 00029 [The entity collects and maintains accurate, up-to-date, complete, and relevant personal information consistent with the entity’s privacy commitments and system requirements. P7.1] | Privacy protection for information and data | Establish/Maintain Documentation | |
| Collect personal data directly from the data subject. CC ID 00011 | Privacy protection for information and data | Data and Information Management | |
| Create and manage user account aliases to maintain pseudonymity. CC ID 04549 | Privacy protection for information and data | Data and Information Management | |
| Provide unlinkability for users and resources. CC ID 04550 | Privacy protection for information and data | Data and Information Management | |
| Provide unobservability of users and resources. CC ID 04551 | Privacy protection for information and data | Technical Security | |
| Collect restricted data in a fair and lawful manner. CC ID 00010 [Personal information is collected consistent with the entity’s privacy commitments and system requirements. P3.1] | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data absent consent for specific and well-documented circumstances. CC ID 00013 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data absent consent when the data collection is in the individual's interests and consent can not be obtained in a timely manner. CC ID 00014 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data absent consent when consent compromises data accuracy. CC ID 00015 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent in order to make a disclosure. CC ID 13550 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent for reasonable investigative purposes. CC ID 11801 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent if the collection is consistent with the intended purpose. CC ID 13548 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent when the personal data was produced by the data subject in the course of employment, business, or profession. CC ID 13544 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent for handling insurance claims. CC ID 13543 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent when the data subject has authorized the collection through another individual. CC ID 00016 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent if the disclosure is to the next of kin or authorized representative. CC ID 15295 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent in order to establish, manage, or terminate employment contracts. CC ID 13614 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent in order to protect the data subject's vital interests. CC ID 15277 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data for public interests absent consent in order to protect historical records or archival records. CC ID 15289 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent to administer a trust fund or benefit plan. CC ID 15292 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data absent consent for journalistic purposes, artistic purposes, or literary purposes. CC ID 00017 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent in order to collect a debt owed by the data subject. CC ID 15293 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent for statistical purposes or research purposes and the data subject is not identified. CC ID 00018 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data absent consent from publicly available information. CC ID 00019 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data absent consent when needed by law. CC ID 00020 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent to create a credit report. CC ID 15287 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data absent consent when no potential harm can come to the data subject. CC ID 00021 | Privacy protection for information and data | Data and Information Management | |
| Collect personal data absent consent when collecting personal data from the data subject is impossible or the data collection involves a disproportionate effort. CC ID 00022 | Privacy protection for information and data | Data and Information Management | |
| Collect the minimum amount of restricted data necessary. CC ID 00078 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data in a proper information framework. CC ID 00009 [The entity collects and maintains accurate, up-to-date, complete, and relevant personal information consistent with the entity’s privacy commitments and system requirements. P7.1] | Privacy protection for information and data | Data and Information Management | |
| Collect and record restricted data for specific, explicit, and legitimate purposes. CC ID 00027 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data when required by law. CC ID 00031 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data to prevent life-threatening emergencies. CC ID 00032 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data relating solely to nonprofit organization members or individuals who are in regular contact during the nonprofit organization's activities. CC ID 00034 | Privacy protection for information and data | Data and Information Management | |
| Collect restricted data for legal purposes. CC ID 00036 | Privacy protection for information and data | Data and Information Management | |
| Provide the data subject with information about the data controller during the collection process. CC ID 00023 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Disseminate and communicate the data collector's name and contact information to all interested personnel. CC ID 13760 | Privacy protection for information and data | Communicate | |
| Provide the data subject with the data collector's name and contact information. CC ID 00024 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with the name of the data collector who will hold the collected restricted data. CC ID 00025 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with the third party processor's contact information when the data controller is not processing the restricted data. CC ID 00026 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain a data handling program. CC ID 13427 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain data handling policies. CC ID 00353 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain data and information confidentiality policies. CC ID 00361 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Prohibit personal data from being sent by e-mail or instant messaging. CC ID 00565 | Privacy protection for information and data | Data and Information Management | |
| Protect electronic messaging information. CC ID 12022 | Privacy protection for information and data | Technical Security | |
| Establish, implement, and maintain record structures to support information confidentiality. CC ID 00360 | Privacy protection for information and data | Data and Information Management | |
| Include passwords, Personal Identification Numbers, and card security codes in the personal data definition. CC ID 04699 | Privacy protection for information and data | Configuration | |
| Store payment card data in secure chips, if possible. CC ID 13065 | Privacy protection for information and data | Configuration | |
| Refrain from storing data elements containing sensitive authentication data after authorization is approved. CC ID 04758 | Privacy protection for information and data | Configuration | |
| Render unrecoverable sensitive authentication data after authorization is approved. CC ID 11952 | Privacy protection for information and data | Technical Security | |
| Automate the disposition process for records that contain "do not store" data or "delete after transaction process" data. CC ID 06083 | Privacy protection for information and data | Data and Information Management | |
| Log the disclosure of personal data. CC ID 06628 [The entity creates and retains a complete, accurate, and timely record of authorized disclosures of personal information consistent with the entity’s privacy commitments and system requirements. P6.2] | Privacy protection for information and data | Log Management | |
| Log the modification of personal data. CC ID 11844 | Privacy protection for information and data | Log Management | |
| Encrypt, truncate, or tokenize data fields, as necessary. CC ID 06850 | Privacy protection for information and data | Technical Security | |
| Implement security measures to protect personal data. CC ID 13606 | Privacy protection for information and data | Technical Security | |
| Implement physical controls to protect personal data. CC ID 00355 | Privacy protection for information and data | Testing | |
| Limit data leakage. CC ID 00356 | Privacy protection for information and data | Data and Information Management | |
| Identify potential red flags to alert the organization before a data leakage has occurred. CC ID 04654 | Privacy protection for information and data | Monitor and Evaluate Occurrences | |
| Establish, implement, and maintain Consumer Reporting Agency notification procedures. CC ID 04851 | Privacy protection for information and data | Business Processes | |
| Acquire enough insurance to cover the liability for damages due to data leakage. CC ID 06408 | Privacy protection for information and data | Acquisition/Sale of Assets or Services | |
| Alert appropriate personnel when data leakage is detected. CC ID 14715 | Privacy protection for information and data | Process or Activity | |
| Include text about data ownership in the data handling policy. CC ID 15720 | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain a telephone systems usage policy. CC ID 15170 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain call metadata controls. CC ID 04790 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain de-identifying and re-identifying procedures. CC ID 07126 | Privacy protection for information and data | Data and Information Management | |
| Use de-identifying code and re-identifying code that is not derived from or related to information about the data subject. CC ID 07127 | Privacy protection for information and data | Data and Information Management | |
| Store de-identifying code and re-identifying code separately. CC ID 16535 | Privacy protection for information and data | Data and Information Management | |
| Prevent the disclosure of de-identifying code and re-identifying code. CC ID 07128 | Privacy protection for information and data | Data and Information Management | |
| Disseminate and communicate the data handling policy to all interested personnel and affected parties. CC ID 15465 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain data handling procedures. CC ID 11756 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define personal data that falls under breach notification rules. CC ID 00800 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include data elements that contain an individual's name combined with account numbers or other identifying information as personal data that falls under the breach notification rules. CC ID 04662 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's legal surname prior to marriage as personal data that falls under the breach notification rules. CC ID 04669 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's date of birth as personal data that falls under the breach notification rules. CC ID 04771 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's address as personal data that falls under the breach notification rules. CC ID 04671 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's telephone number as personal data that falls under the breach notification rules. CC ID 04672 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's fingerprints as personal data that falls under the breach notification rules. CC ID 04670 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's Social Security Number or Personal Identification Number as personal data that falls under the breach notification rules. CC ID 04656 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's driver's license number or an individual's state identification card number as personal data that falls under the breach notification rules. CC ID 04657 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's passport number as personal data that falls under the breach notification rules. CC ID 04774 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's Alien Registration Number as personal data that falls under the breach notification rules. CC ID 04775 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's Taxpayer Identification Number as personal data that falls under the breach notification rules. CC ID 04764 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's financial account number as personal data that falls under the breach notification rules. CC ID 04658 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's financial account number with associated password or password hint as personal data that falls under the breach notification rules. CC ID 04660 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's electronic identification name or number as personal data that falls under the breach notification rules. CC ID 04663 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain electronic signatures as personal data that falls under the breach notification rules. CC ID 04666 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's biometric data as personal data that falls under the breach notification rules. CC ID 04667 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's account number, password, or password hint as personal data that falls under the breach notification rules. CC ID 04668 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's payment card information as personal data that falls under the breach notification rules. CC ID 04752 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's credit card number or an individual's debit card number as personal data that falls under the breach notification rules. CC ID 04659 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's payment card service code as personal data that falls under the breach notification rules. CC ID 04754 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's payment card expiration date as personal data that falls under the breach notification rules. CC ID 04756 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's payment card full magnetic stripe data as personal data that falls under the breach notification rules. CC ID 04759 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's payment card security codes (Card Authentication Value 2/Card Validation Code Value 2/Card Verification Value 2/Card Identification Number) as personal data that falls under the breach notification rules. CC ID 04760 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's payment card associated password or password hint as personal data that falls under the breach notification rules. CC ID 04661 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's Individually Identifiable Health Information as personal data that falls under the breach notification rules. CC ID 04673 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's medical history as personal data that falls under the breach notification rules. CC ID 04674 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's medical treatment as personal data that falls under the breach notification rules. CC ID 04675 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's medical diagnosis as personal data that falls under the breach notification rules. CC ID 04676 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's mental condition or physical condition as personal data that falls under the breach notification rules. CC ID 04682 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's health insurance information as personal data that falls under the breach notification rules. CC ID 04681 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's health insurance policy number as personal data that falls under the breach notification rules. CC ID 04683 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's health insurance application and health insurance claims history (including appeals) as personal data that falls under the breach notification rules. CC ID 04684 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's employment information as personal data that falls under the breach notification rules. CC ID 04772 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's Employee Identification Number as personal data that falls under the breach notification rules. CC ID 04773 | Privacy protection for information and data | Data and Information Management | |
| Include data elements that contain an individual's place of employment as personal data that falls under the breach notification rules. CC ID 04788 | Privacy protection for information and data | Data and Information Management | |
| Define an out of scope privacy breach. CC ID 04677 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include personal data that is publicly available information as an out of scope privacy breach. CC ID 04678 | Privacy protection for information and data | Business Processes | |
| Include personal data that is encrypted or redacted as an out of scope privacy breach. CC ID 04679 | Privacy protection for information and data | Monitor and Evaluate Occurrences | |
| Include cryptographic keys not being accessed during a privacy breach as an out of scope privacy breach. CC ID 04761 | Privacy protection for information and data | Monitor and Evaluate Occurrences | |
| Include any personal data that is on an encrypted mobile device as an out of scope privacy breach, if the encryption keys were not accessed and the mobile device was recovered. CC ID 04762 | Privacy protection for information and data | Monitor and Evaluate Occurrences | |
| Disseminate and communicate the data handling procedures to all interested personnel and affected parties. CC ID 15466 | Privacy protection for information and data | Communicate | |
| Establish, implement, and maintain a personal data transfer program. CC ID 00307 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Obtain consent from an individual prior to transferring personal data. CC ID 06948 | Privacy protection for information and data | Data and Information Management | |
| Include procedures for transferring personal data from one data controller to another data controller in the personal data transfer program. CC ID 00351 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from requiring independent recourse mechanisms when transferring personal data from one data controller to another data controller. CC ID 12528 | Privacy protection for information and data | Business Processes | |
| Notify data subjects when their personal data is transferred. CC ID 00352 | Privacy protection for information and data | Behavior | |
| Include procedures for transferring personal data to third parties in the personal data transfer program. CC ID 00333 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Notify data subjects of the geographic locations of the third parties when transferring personal data to third parties. CC ID 14414 | Privacy protection for information and data | Communicate | |
| Provide an adequate data protection level by the transferee prior to transferring personal data to another country. CC ID 00314 | Privacy protection for information and data | Data and Information Management | |
| Refrain from restricting personal data transfers to member states of the European Union. CC ID 00312 | Privacy protection for information and data | Data and Information Management | |
| Prohibit the transfer of personal data when security is inadequate. CC ID 00345 | Privacy protection for information and data | Data and Information Management | |
| Meet the use of limitation exceptions in order to transfer personal data. CC ID 00346 | Privacy protection for information and data | Data and Information Management | |
| Refrain from transferring past the first transfer. CC ID 00347 | Privacy protection for information and data | Data and Information Management | |
| Document transfer disagreements by the data subject in writing. CC ID 00348 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Allow the data subject the right to object to the personal data transfer. CC ID 00349 | Privacy protection for information and data | Data and Information Management | |
| Authorize the transfer of restricted data in accordance with organizational standards. CC ID 16428 | Privacy protection for information and data | Records Management | |
| Follow the instructions of the data transferrer. CC ID 00334 | Privacy protection for information and data | Behavior | |
| Define the personal data transfer exceptions for transferring personal data to another country when adequate protection level standards are not met. CC ID 00315 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include publicly available information as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00316 | Privacy protection for information and data | Data and Information Management | |
| Include transfer agreements between data controllers and third parties when it is for the data subject's interest as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00317 | Privacy protection for information and data | Data and Information Management | |
| Include personal data for the health field and for treatment as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00318 | Privacy protection for information and data | Data and Information Management | |
| Include personal data for journalistic purposes or private purposes as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00319 | Privacy protection for information and data | Data and Information Management | |
| Include personal data for important public interest as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00320 | Privacy protection for information and data | Data and Information Management | |
| Include consent by the data subject as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00321 | Privacy protection for information and data | Data and Information Management | |
| Include personal data used for a contract as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00322 | Privacy protection for information and data | Data and Information Management | |
| Include personal data for protecting the data subject or the data subject's interests, such as saving his/her life or providing healthcare as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00323 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is necessary to fulfill international law obligations as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00324 | Privacy protection for information and data | Data and Information Management | |
| Include personal data used for legal investigations as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00325 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is authorized by a legislative act as a personal data transfer exception for transferring personal data to another country outside an adequate data protection level. CC ID 00326 | Privacy protection for information and data | Data and Information Management | |
| Require transferees to implement adequate data protection levels for the personal data. CC ID 00335 | Privacy protection for information and data | Data and Information Management | |
| Refrain from requiring a contract between the data controller and trusted third parties when personal information is transferred. CC ID 12527 | Privacy protection for information and data | Business Processes | |
| Define the personal data transfer exceptions for transferring personal data to another organization when adequate protection level standards are not met. CC ID 00336 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include personal data that is publicly available information as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00337 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is used for journalistic purposes or private purposes as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00338 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is used for important public interest as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00339 | Privacy protection for information and data | Data and Information Management | |
| Include consent by the data subject as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00340 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is used for a contract as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00341 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is used for protecting the data subject or the data subject's interests, such as providing healthcare or saving his/her life as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00342 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is used for a legal investigation as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00343 | Privacy protection for information and data | Data and Information Management | |
| Include personal data that is authorized by a legislative act as a personal data transfer exception for transferring personal data to a third party outside adequate data protection levels. CC ID 00344 | Privacy protection for information and data | Data and Information Management | |
| Notify data subjects about organizational liability when transferring personal data to third parties. CC ID 12353 | Privacy protection for information and data | Communicate | |
| Notify the data subject of any personal data changes during the personal data transfer. CC ID 00350 | Privacy protection for information and data | Behavior | |
| Establish, implement, and maintain Internet interactivity data transfer procedures. CC ID 06949 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Obtain consent prior to storing cookies on an individual's browser. CC ID 06950 | Privacy protection for information and data | Data and Information Management | |
| Obtain consent prior to downloading software to an individual's computer. CC ID 06951 | Privacy protection for information and data | Data and Information Management | |
| Refrain from installing software on an individual's computer unless acting in accordance with a court order. CC ID 14000 | Privacy protection for information and data | Process or Activity | |
| Remove or uninstall software from an individual's computer, as necessary. CC ID 13998 | Privacy protection for information and data | Process or Activity | |
| Remove or uninstall software from an individual's computer when consent is revoked. CC ID 13997 | Privacy protection for information and data | Process or Activity | |
| Obtain consent prior to tracking Internet traffic patterns or browsing history of an individual. CC ID 06961 | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain a privacy impact assessment. CC ID 13712 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the individuals with whom information is shared in the privacy impact assessment. CC ID 15520 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include how to grant consent in the privacy impact assessment. CC ID 15519 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the opportunities for individuals to consent to using their information in the privacy impact assessment. CC ID 15518 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the opportunities for opting out of information collection in the privacy impact assessment. CC ID 15517 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include data handling procedures in the privacy impact assessment. CC ID 15516 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the intended use of information in the privacy impact assessment. CC ID 15515 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the reason information is being collected in the privacy impact assessment. CC ID 15514 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the type of information to be collected in the privacy impact assessment. CC ID 15513 | Privacy protection for information and data | Business Processes | |
| Disseminate and communicate the results of the Privacy Impact Assessment to interested personnel and affected parties. CC ID 15458 | Privacy protection for information and data | Communicate | |
| Develop remedies and sanctions for privacy policy violations. CC ID 00474 [The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance with the entity’s privacy commitments and system requirements; corrections and other necessary actions related to identify deficiencies are taken in a timely manner. P8.1] | Privacy protection for information and data | Data and Information Management | |
| Define the behaviors and actions that are included in privacy rights violations. CC ID 14852 | Privacy protection for information and data | Behavior | |
| Include the individual's name who is the subject of the complaint in the privacy rights violation complaint. CC ID 14359 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refrain from charging a fee to file a privacy rights violation complaint. CC ID 16807 | Privacy protection for information and data | Business Processes | |
| Refrain from updating personal data on a regular basis, unless it is necessary for the purposes it was collected. CC ID 13610 | Privacy protection for information and data | Data and Information Management | |
| Establish, implement, and maintain a privacy dispute resolution program. CC ID 12526 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include potential remedies in the privacy dispute resolution program. CC ID 12531 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Provide the data subject with the name, title, and address to whom complaints are forwarded. CC ID 00395 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the time frames in which privacy rights violation complaints are processed in the privacy dispute resolution program. CC ID 12529 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Document unresolved challenges. CC ID 13568 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Establish, implement, and maintain an accuracy resolution policy. CC ID 00460 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Notify individuals of their right to challenge personal data. CC ID 00457 | Privacy protection for information and data | Data and Information Management | |
| Notify individuals of their right to object to personal data for legitimate reasons. CC ID 00458 | Privacy protection for information and data | Data and Information Management | |
| Terminate an individual's restriction agreement under specific circumstances. CC ID 06260 | Privacy protection for information and data | Configuration | |
| Notify individuals of their ability to challenge personal behavioral assessments on record. CC ID 04798 | Privacy protection for information and data | Human Resources Management | |
| Notify individuals of their ability to object to personal data processing, absent cost. CC ID 00459 | Privacy protection for information and data | Data and Information Management | |
| Investigate the disputed accuracy of personal data. CC ID 00461 | Privacy protection for information and data | Data and Information Management | |
| Notify third parties of unresolved challenges. CC ID 13559 | Privacy protection for information and data | Communicate | |
| Document disagreements as to whether personal data is complete and accurate. CC ID 06952 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the change to the personal data that the data subject requested and the reason the organization refused to make the change in the statement of disagreement. CC ID 06954 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Include the allegations against the organization in the notice of investigation. CC ID 13031 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Refer privacy rights violation complaints to the Privacy Commissioner under certain conditions. CC ID 00481 | Privacy protection for information and data | Behavior | |
| Determine not to investigate privacy rights violation complaints under certain conditions. CC ID 00482 | Privacy protection for information and data | Behavior | |
| Refrain from investigating a privacy rights violation complaint when the act or practice does not interfere with an individual's privacy. CC ID 00483 | Privacy protection for information and data | Behavior | |
| Refrain from investigating a privacy rights violation complaint when the complaint is created outside the stipulated time frame after the complainant became aware of it. CC ID 00484 | Privacy protection for information and data | Behavior | |
| Refrain from investigating a privacy rights violation complaint when the complaint is frivolous, vexatious, misconceived, or lacking in substance. CC ID 00485 | Privacy protection for information and data | Behavior | |
| Refrain from investigating a privacy rights violation complaint if the act or practice is subject to an application under another commonwealth law, state law, or territory law, and the complaint was or is being dealt with adequately under the law. CC ID 00486 | Privacy protection for information and data | Behavior | |
| Defer privacy rights violation complaint investigations under certain conditions. CC ID 00487 | Privacy protection for information and data | Behavior | |
| Defer privacy rights violation complaint investigations when the respondent has made an application for a determination. CC ID 00488 | Privacy protection for information and data | Behavior | |
| Defer privacy rights violation complaint investigations when the Privacy Commissioner believes the data subject's interests would not be affected if the investigation or further investigation were deferred until the application was disposed of. CC ID 00489 | Privacy protection for information and data | Behavior | |
| Define the organization's liability based on the applicable law. CC ID 00504 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define the sanctions and fines available for privacy rights violations based on applicable law. CC ID 00505 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define the appeal process based on the applicable law. CC ID 00506 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Define the fee structure for the appeal process. CC ID 16532 | Privacy protection for information and data | Process or Activity | |
| Define the time requirements for the appeal process. CC ID 16531 | Privacy protection for information and data | Process or Activity | |
| Disseminate and communicate instructions for the appeal process to interested personnel and affected parties. CC ID 16544 | Privacy protection for information and data | Communicate | |
| Disseminate and communicate a written explanation of the reasons for appeal decisions to interested personnel and affected parties. CC ID 16542 | Privacy protection for information and data | Communicate | |
| Provide notice of proposed penalties. CC ID 06216 | Privacy protection for information and data | Establish/Maintain Documentation | |
| Notify the public and other agencies after a penalty becomes final. CC ID 06217 | Privacy protection for information and data | Behavior | |
| Establish, implement, and maintain a supply chain management program. CC ID 11742 | Third Party and supply chain oversight | Establish/Maintain Documentation | |
| Include text that organizations must meet organizational compliance requirements in third party contracts. CC ID 06506 | Third Party and supply chain oversight | Establish/Maintain Documentation | |
| Include compliance with the organization's incident response policy and incident notification policy in third party contracts. CC ID 06515 | Third Party and supply chain oversight | Establish/Maintain Documentation | |
| Include text about the expected actions to be taken in case of a breach of contract in third party contracts. CC ID 06504 [The entity obtains commitments from vendors and other third parties that may have access to personal information processed by the system, to notify the entity in the event of actual or suspected unauthorized disclosures of personal information. Such notifications are reported to appropriate personnel and acted on to meet the entity's established incident response procedures, privacy commitments, and system requirements. P6.6] | Third Party and supply chain oversight | Establish/Maintain Documentation | |
| Include compliance with the organization's privacy policy in third party contracts. CC ID 06518 [The entity’s privacy commitments are communicated to external users, as appropriate, and those commitments and the associated system requirements are communicated to internal users to enable them to carry out their responsibilities. P1.2] | Third Party and supply chain oversight | Establish/Maintain Documentation | |
| Include responding to privacy rights violation complaints in third party contracts. CC ID 12432 | Third Party and supply chain oversight | Establish/Maintain Documentation | |
| Conduct all parts of the supply chain due diligence process. CC ID 08854 | Third Party and supply chain oversight | Business Processes | |