Search Control Objectives

Actively manage (inventory, track, and correct) all enterprise assets (end-user devices, including portable and mobile; network devices; non-computing/Internet of Things (IoT) devices; and servers) connected to the infrastructure physically, virtually, remotely, and those within cloud environments,

Establish and maintain an accurate, detailed, and up-to-date inventory of all enterprise assets with the potential to store or process data, to include: end-user devices (including portable and mobile), network devices, non-computing/IoT devices, and servers. Ensure the inventory records the network

Ensure that a process exists to address unauthorized assets on a weekly basis. The enterprise may choose to remove the asset from the network, deny the asset from connecting remotely to the network, or quarantine the asset.

Utilize an active discovery tool to identify assets connected to the enterprise’s network. Configure the active discovery tool to execute daily, or more frequently.

Use DHCP logging on all DHCP servers or Internet Protocol (IP) address management tools to update the enterprise’s asset inventory. Review and use logs to update the enterprise’s asset inventory weekly, or more frequently.

Use a passive discovery tool to identify assets connected to the enterprise’s network. Review and use scans to update the enterprise’s asset inventory at least weekly, or more frequently.

Prevent or control the installation, spread, and execution of malicious applications, code, or scripts on enterprise assets.

Deploy and maintain anti-malware software on all enterprise assets.

Configure automatic updates for anti-malware signature files on all enterprise assets.

Disable autorun and autoplay auto-execute functionality for removable media.

Configure anti-malware software to automatically scan removable media.

Enable anti-exploitation features on enterprise assets and software, where possible, such as Microsoft® Data Execution Prevention (DEP), Windows® Defender Exploit Guard (WDEG), or Apple® System Integrity Protection (SIP) and Gatekeeper™.

Centrally manage anti-malware software.

Use behavior-based anti-malware software.

Establish and maintain data recovery practices sufficient to restore in-scope enterprise assets to a pre-incident and trusted state.

Establish and maintain a data recovery process. In the process, address the scope of data recovery activities, recovery prioritization, and the security of backup data. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

Perform automated backups of in-scope enterprise assets. Run backups weekly, or more frequently, based on the sensitivity of the data.

Protect recovery data with equivalent controls to the original data. Reference encryption or data separation, based on requirements.

Establish and maintain an isolated instance of recovery data. Example implementations include, version controlling backup destinations through offline, cloud, or off-site systems or services.

Test backup recovery quarterly, or more frequently, for a sampling of in-scope enterprise assets.

Establish, implement, and actively manage (track, report, correct) network devices, in order to prevent attackers from exploiting vulnerable network services and access points.

Ensure network infrastructure is kept up-to-date. Example implementations include running the latest stable release of software and/or using currently supported network-as-a-service (NaaS) offerings. Review software versions monthly, or more frequently, to verify software support.

Establish and maintain a secure network architecture. A secure network architecture must address segmentation, least privilege, and availability, at a minimum.

Securely manage network infrastructure. Example implementations include version-controlled-infrastructure-as-code, and the use of secure network protocols, such as SSH and HTTPS.

Establish and maintain architecture diagram(s) and/or other network system documentation. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

Centralize network AAA.

Use secure network management and communication protocols (e.g., 802.1X, Wi-Fi Protected Access 2 (WPA2) Enterprise or greater).

Require users to authenticate to enterprise-managed VPN and authentication services prior to accessing enterprise resources on end-user devices.

Establish and maintain dedicated computing resources, either physically or logically separated, for all administrative tasks or tasks requiring administrative access. The computing resources should be segmented from the enterprise's primary network and not be allowed internet access.

Operate processes and tooling to establish and maintain comprehensive network monitoring and defense against security threats across the enterprise’s network infrastructure and user base.

Centralize security event alerting across enterprise assets for log correlation and analysis. Best practice implementation requires the use of a SIEM, which includes vendor-defined event correlation alerts. A log analytics platform configured with security-relevant correlation alerts also satisfies

Perform application layer filtering. Example implementations include a filtering proxy, application layer firewall, or gateway.

Tune security event alerting thresholds monthly, or more frequently.

Deploy a host-based intrusion detection solution on enterprise assets, where appropriate and/or supported.

Deploy a network intrusion detection solution on enterprise assets, where appropriate. Example implementations include the use of a Network Intrusion Detection System (NIDS) or equivalent cloud service provider (CSP) service.

Perform traffic filtering between network segments, where appropriate.

Manage access control for assets remotely connecting to enterprise resources. Determine amount of access to enterprise resources based on: up-to-date anti-malware software installed, configuration compliance with the enterprise’s secure configuration process, and ensuring the operating system and ap

Collect network traffic flow logs and/or network traffic to review and alert upon from network devices.

Deploy a host-based intrusion prevention solution on enterprise assets, where appropriate and/or supported. Example implementations include use of an Endpoint Detection and Response (EDR) client or host-based IPS agent.

Deploy a network intrusion prevention solution, where appropriate. Example implementations include the use of a Network Intrusion Prevention System (NIPS) or equivalent CSP service.

Deploy port-level access control. Port-level access control utilizes 802.1x, or similar network access control protocols, such as certificates, and may incorporate user and/or device authentication.

Establish and maintain a security awareness program to influence behavior among the workforce to be security conscious and properly skilled to reduce cybersecurity risks to the enterprise.

Establish and maintain a security awareness program. The purpose of a security awareness program is to educate the enterprise’s workforce on how to interact with enterprise assets and data in a secure manner. Conduct training at hire and, at a minimum, annually. Review and update content annually, o

Train workforce members to recognize social engineering attacks, such as phishing, pre-texting, and tailgating.

Train workforce members on authentication best practices. Example topics include MFA, password composition, and credential management.

Train workforce members on how to identify and properly store, transfer, archive, and destroy sensitive data. This also includes training workforce members on clear screen and desk best practices, such as locking their screen when they step away from their enterprise asset, erasing physical and virt

Train workforce members to be aware of causes for unintentional data exposure. Example topics include mis-delivery of sensitive data, losing a portable end-user device, or publishing data to unintended audiences.

Train workforce members to be able to recognize a potential incident and be able to report such an incident.

Train workforce to understand how to verify and report out-of-date software patches or any failures in automated processes and tools. Part of this training should include notifying IT personnel of any failures in automated processes and tools.

Train workforce members on the dangers of connecting to, and transmitting data over, insecure networks for enterprise activities. If the enterprise has remote workers, training must include guidance to ensure that all users securely configure their home network infrastructure.

Conduct role-specific security awareness and skills training. Example implementations include secure system administration courses for IT professionals, (OWASP® Top 10 vulnerability awareness and prevention training for web application developers, and advanced social engineering awareness training f

Develop a process to evaluate service providers who hold sensitive data, or are responsible for an enterprise’s critical IT platforms or processes, to ensure these providers are protecting those platforms and data appropriately.

Establish and maintain an inventory of service providers. The inventory is to list all known service providers, include classification(s), and designate an enterprise contact for each service provider. Review and update the inventory annually, or when significant enterprise changes occur that could

Establish and maintain a service provider management policy. Ensure the policy addresses the classification, inventory, assessment, monitoring, and decommissioning of service providers. Review and update the policy annually, or when significant enterprise changes occur that could impact this Safegua

Classify service providers. Classification consideration may include one or more characteristics, such as data sensitivity, data volume, availability requirements, applicable regulations, inherent risk, and mitigated risk. Update and review classifications annually, or when significant enterprise ch

Ensure service provider contracts include security requirements. Example requirements may include minimum security program requirements, security incident and/or data breach notification and response, data encryption requirements, and data disposal commitments. These security requirements must be co

Assess service providers consistent with the enterprise’s service provider management policy. Assessment scope may vary based on classification(s), and may include review of standardized assessment reports, such as Service Organization Control 2 (SOC 2) and Payment Card Industry (PCI) Attestation of

Monitor service providers consistent with the enterprise’s service provider management policy. Monitoring may include periodic reassessment of service provider compliance, monitoring service provider release notes, and dark web monitoring.

Securely decommission service providers. Example considerations include user and service account deactivation, termination of data flows, and secure disposal of enterprise data within service provider systems.

Manage the security life cycle of in-house developed, hosted, or acquired software to prevent, detect, and remediate security weaknesses before they can impact the enterprise.

Establish and maintain a secure application development process. In the process, address such items as: secure application design standards, secure coding practices, developer training, vulnerability management, security of third-party code, and application security testing procedures. Review and up

Apply secure design principles in application architectures. Secure design principles include the concept of least privilege and enforcing mediation to validate every operation that the user makes, promoting the concept of "never trust user input." Examples include ensuring that explicit error check

Leverage vetted modules or services for application security components, such as identity management, encryption, and auditing and logging. Using platform features in critical security functions will reduce developers’ workload and minimize the likelihood of design or implementation errors. Modern o

Apply static and dynamic analysis tools within the application life cycle to verify that secure coding practices are being followed.

Conduct application penetration testing. For critical applications, authenticated penetration testing is better suited to finding business logic vulnerabilities than code scanning and automated security testing. Penetration testing relies on the skill of the tester to manually manipulate an applicat

Conduct threat modeling. Threat modeling is the process of identifying and addressing application security design flaws within a design, before code is created. It is conducted through specially trained individuals who evaluate the application design and gauge security risks for each entry point and

Establish and maintain a process to accept and address reports of software vulnerabilities, including providing a means for external entities to report. The process is to include such items as: a vulnerability handling policy that identifies reporting process, responsible party for handling vulnerab

Perform root cause analysis on security vulnerabilities. When reviewing vulnerabilities, root cause analysis is the task of evaluating underlying issues that create vulnerabilities in code, and allows development teams to move beyond just fixing individual vulnerabilities as they arise.

Establish and manage an updated inventory of third-party components used in development, often referred to as a “bill of materials,” as well as components slated for future use. This inventory is to include any risks that each third-party component could pose. Evaluate the list at least monthly to i

Use up-to-date and trusted third-party software components. When possible, choose established and proven frameworks and libraries that provide adequate security. Acquire these components from trusted sources or evaluate the software for vulnerabilities before use.

Establish and maintain a severity rating system and process for application vulnerabilities that facilitates prioritizing the order in which discovered vulnerabilities are fixed. This process includes setting a minimum level of security acceptability for releasing code or applications. Severity rati

Use standard, industry-recommended hardening configuration templates for application infrastructure components. This includes underlying servers, databases, and web servers, and applies to cloud containers, Platform as a Service (PaaS) components, and SaaS components. Do not allow in-house developed

Maintain separate environments for production and non-production systems.

Ensure that all software development personnel receive training in writing secure code for their specific development environment and responsibilities. Training can include general security principles and application security standard practices. Conduct training at least annually and design in a way

Establish a program to develop and maintain an incident response capability (e.g., policies, plans, procedures, defined roles, training, and communications) to prepare, detect, and quickly respond to an attack.

Designate one key person, and at least one backup, who will manage the enterprise’s incident handling process. Management personnel are responsible for the coordination and documentation of incident response and recovery efforts and can consist of employees internal to the enterprise, third-party ve

Establish and maintain contact information for parties that need to be informed of security incidents. Contacts may include internal staff, third-party vendors, law enforcement, cyber insurance providers, relevant government agencies, Information Sharing and Analysis Center (ISAC) partners, or other

Establish and maintain an enterprise process for the workforce to report security incidents. The process includes reporting timeframe, personnel to report to, mechanism for reporting, and the minimum information to be reported. Ensure the process is publicly available to all of the workforce. Review

Establish and maintain an incident response process that addresses roles and responsibilities, compliance requirements, and a communication plan. Review annually, or when significant enterprise changes occur that could impact this Safeguard.

Assign key roles and responsibilities for incident response, including staff from legal, IT, information security, facilities, public relations, human resources, incident responders, and analysts, as applicable. Review annually, or when significant enterprise changes occur that could impact this Saf

Determine which primary and secondary mechanisms will be used to communicate and report during a security incident. Mechanisms can include phone calls, emails, or letters. Keep in mind that certain mechanisms, such as emails, can be affected during a security incident. Review annually, or when signi

Plan and conduct routine incident response exercises and scenarios for key personnel involved in the incident response process to prepare for responding to real-world incidents. Exercises need to test communication channels, decision making, and workflows. Conduct testing on an annual basis, at a mi

Conduct post-incident reviews. Post-incident reviews help prevent incident recurrence through identifying lessons learned and follow-up action.

Establish and maintain security incident thresholds, including, at a minimum, differentiating between an incident and an event. Examples can include: abnormal activity, security vulnerability, security weakness, data breach, privacy incident, etc. Review annually, or when significant enterprise chan

Test the effectiveness and resiliency of enterprise assets through identifying and exploiting weaknesses in controls (people, processes, and technology), and simulating the objectives and actions of an attacker.

Establish and maintain a penetration testing program appropriate to the size, complexity, and maturity of the enterprise. Penetration testing program characteristics include scope, such as network, web application, Application Programming Interface (API), hosted services, and physical premise contro

Perform periodic external penetration tests based on program requirements, no less than annually. External penetration testing must include enterprise and environmental reconnaissance to detect exploitable information. Penetration testing requires specialized skills and experience and must be conduc

Remediate penetration test findings based on the enterprise’s policy for remediation scope and prioritization.

Validate security measures after each penetration test. If deemed necessary, modify rulesets and capabilities to detect the techniques used during testing.

Perform periodic internal penetration tests based on program requirements, no less than annually. The testing may be clear box or opaque box.

Actively manage (inventory, track, and correct) all software (operating systems and applications) on the network so that only authorized software is installed and can execute, and that unauthorized and unmanaged software is found and prevented from installation or execution.

Establish and maintain a detailed inventory of all licensed software installed on enterprise assets. The software inventory must document the title, publisher, initial install/use date, and business purpose for each entry; where appropriate, include the Uniform Resource Locator (URL), app store(s),

Ensure that only currently supported software is designated as authorized in the software inventory for enterprise assets. If software is unsupported, yet necessary for the fulfillment of the enterprise’s mission, document an exception detailing mitigating controls and residual risk acceptance. For

Ensure that unauthorized software is either removed from use on enterprise assets or receives a documented exception. Review monthly, or more frequently.

Utilize software inventory tools, when possible, throughout the enterprise to automate the discovery and documentation of installed software.

Use technical controls, such as application allowlisting, to ensure that only authorized software can execute or be accessed. Reassess bi-annually, or more frequently.

Use technical controls to ensure that only authorized software libraries, such as specific .dll, .ocx, .so, etc., files, are allowed to load into a system process. Block unauthorized libraries from loading into a system process. Reassess bi-annually, or more frequently.

Use technical controls, such as digital signatures and version control, to ensure that only authorized scripts, such as specific .ps1, .py, etc., files, are allowed to execute. Block unauthorized scripts from executing. Reassess bi-annually, or more frequently.

Develop processes and technical controls to identify, classify, securely handle, retain, and dispose of data.

Establish and maintain a data management process. In the process, address data sensitivity, data owner, handling of data, data retention limits, and disposal requirements, based on sensitivity and retention standards for the enterprise. Review and update documentation annually, or when significant e

Encrypt sensitive data in transit. Example implementations can include: Transport Layer Security (TLS) and Open Secure Shell (OpenSSH).

Encrypt sensitive data at rest on servers, applications, and databases containing sensitive data. Storage-layer encryption, also known as server-side encryption, meets the minimum requirement of this Safeguard. Additional encryption methods may include application-layer encryption, also known as cli

Segment data processing and storage based on the sensitivity of the data. Do not process sensitive data on enterprise assets intended for lower sensitivity data.

Implement an automated tool, such as a host-based Data Loss Prevention (DLP) tool to identify all sensitive data stored, processed, or transmitted through enterprise assets, including those located onsite or at a remote service provider, and update the enterprise's sensitive data inventory.

Log sensitive data access, including modification and disposal.

Establish and maintain a data inventory, based on the enterprise’s data management process. Inventory sensitive data, at a minimum. Review and update inventory annually, at a minimum, with a priority on sensitive data.

Configure data access control lists based on a user’s need to know. Apply data access control lists, also known as access permissions, to local and remote file systems, databases, and applications.

Retain data according to the enterprise’s data management process. Data retention must include both minimum and maximum timelines.

Securely dispose of data as outlined in the enterprise’s data management process. Ensure the disposal process and method are commensurate with the data sensitivity.

Encrypt data on end-user devices containing sensitive data. Example implementations can include: Windows BitLocker®, Apple FileVault®, Linux® dm-crypt.

Establish and maintain an overall data classification scheme for the enterprise. Enterprises may use labels, such as “Sensitive,” “Confidential,” and “Public,” and classify their data according to those labels. Review and update the classification scheme annually, or when significant enterprise chan

Document data flows. Data flow documentation includes service provider data flows and should be based on the enterprise’s data management process. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

Encrypt data on removable media.

Establish and maintain the secure configuration of enterprise assets (end-user devices, including portable and mobile; network devices; non-computing/IoT devices; and servers) and software (operating systems and applications).

Establish and maintain a secure configuration process for enterprise assets (end-user devices, including portable and mobile, non-computing/IoT devices, and servers) and software (operating systems and applications). Review and update documentation annually, or when significant enterprise changes oc

Enforce automatic device lockout following a predetermined threshold of local failed authentication attempts on portable end-user devices, where supported. For laptops, do not allow more than 20 failed authentication attempts; for tablets and smartphones, no more than 10 failed authentication attemp

Remotely wipe enterprise data from enterprise-owned portable end-user devices when deemed appropriate such as lost or stolen devices, or when an individual no longer supports the enterprise.

Ensure separate enterprise workspaces are used on mobile end-user devices, where supported. Example implementations include using an Apple® Configuration Profile or Android™ Work Profile to separate enterprise applications and data from personal applications and data.

Establish and maintain a secure configuration process for network devices. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

Configure automatic session locking on enterprise assets after a defined period of inactivity. For general purpose operating systems, the period must not exceed 15 minutes. For mobile end-user devices, the period must not exceed 2 minutes.

Implement and manage a firewall on servers, where supported. Example implementations include a virtual firewall, operating system firewall, or a third-party firewall agent.

Implement and manage a host-based firewall or port-filtering tool on end-user devices, with a default-deny rule that drops all traffic except those services and ports that are explicitly allowed.

Securely manage enterprise assets and software. Example implementations include managing configuration through version-controlled-infrastructure-as-code and accessing administrative interfaces over secure network protocols, such as Secure Shell (SSH) and Hypertext Transfer Protocol Secure (HTTPS). D

Manage default accounts on enterprise assets and software, such as root, administrator, and other pre-configured vendor accounts. Example implementations can include: disabling default accounts or making them unusable.

Uninstall or disable unnecessary services on enterprise assets and software, such as an unused file sharing service, web application module, or service function.

Configure trusted DNS servers on enterprise assets. Example implementations include: configuring assets to use enterprise-controlled DNS servers and/or reputable externally accessible DNS servers.

Use processes and tools to assign and manage authorization to credentials for user accounts, including administrator accounts, as well as service accounts, to enterprise assets and software.

Establish and maintain an inventory of all accounts managed in the enterprise. The inventory must include both user and administrator accounts. The inventory, at a minimum, should contain the person’s name, username, start/stop dates, and department. Validate that all active accounts are authorized,

Use unique passwords for all enterprise assets. Best practice implementation includes, at a minimum, an 8-character password for accounts using MFA and a 14-character password for accounts not using MFA.

Delete or disable any dormant accounts after a period of 45 days of inactivity, where supported.

Restrict administrator privileges to dedicated administrator accounts on enterprise assets. Conduct general computing activities, such as internet browsing, email, and productivity suite use, from the user’s primary, non-privileged account.

Establish and maintain an inventory of service accounts. The inventory, at a minimum, must contain department owner, review date, and purpose. Perform service account reviews to validate that all active accounts are authorized, on a recurring schedule at a minimum quarterly, or more frequently.

Centralize account management through a directory or identity service.

Use processes and tools to create, assign, manage, and revoke access credentials and privileges for user, administrator, and service accounts for enterprise assets and software.

Establish and follow a process, preferably automated, for granting access to enterprise assets upon new hire, rights grant, or role change of a user

Establish and follow a process, preferably automated, for revoking access to enterprise assets, through disabling accounts immediately upon termination, rights revocation, or role change of a user. Disabling accounts, instead of deleting accounts, may be necessary to preserve audit trails.

Require all externally-exposed enterprise or third-party applications to enforce MFA, where supported. Enforcing MFA through a directory service or SSO provider is a satisfactory implementation of this Safeguard.

Require MFA for remote network access.

Require MFA for all administrative access accounts, where supported, on all enterprise assets, whether managed on-site or through a third-party provider.

Establish and maintain an inventory of the enterprise’s authentication and authorization systems, including those hosted on-site or at a remote service provider. Review and update the inventory, at a minimum, annually, or more frequently.

Centralize access control for all enterprise assets through a directory service or SSO provider, where supported.

Define and maintain role-based access control, through determining and documenting the access rights necessary for each role within the enterprise to successfully carry out its assigned duties. Perform access control reviews of enterprise assets to validate that all privileges are authorized, on a r

Develop a plan to continuously assess and track vulnerabilities on all enterprise assets within the enterprise’s infrastructure, in order to remediate, and minimize, the window of opportunity for attackers. Monitor public and private industry sources for new threat and vulnerability information.

Establish and maintain a documented vulnerability management process for enterprise assets. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

Establish and maintain a risk-based remediation strategy documented in a remediation process, with monthly, or more frequent, reviews.

Perform operating system updates on enterprise assets through automated patch management on a monthly, or more frequent, basis.

Perform application updates on enterprise assets through automated patch management on a monthly, or more frequent, basis.

Perform automated vulnerability scans of internal enterprise assets on a quarterly, or more frequent, basis. Conduct both authenticated and unauthenticated scans, using a SCAP-compliant vulnerability scanning tool.

Perform automated vulnerability scans of externally-exposed enterprise assets using a SCAP-compliant vulnerability scanning tool. Perform scans on a monthly, or more frequent, basis.

Remediate detected vulnerabilities in software through processes and tooling on a monthly, or more frequent, basis, based on the remediation process.

Collect, alert, review, and retain audit logs of events that could help detect, understand, or recover from an attack.

Establish and maintain an audit log management process that defines the enterprise’s logging requirements. At a minimum, address the collection, review, and retention of audit logs for enterprise assets. Review and update documentation annually, or when significant enterprise changes occur that coul

Retain audit logs across enterprise assets for a minimum of 90 days.

Conduct reviews of audit logs to detect anomalies or abnormal events that could indicate a potential threat. Conduct reviews on a weekly, or more frequent, basis.

Collect service provider logs, where supported. Example implementations include collecting authentication and authorization events, data creation and disposal events, and user management events.

Collect audit logs. Ensure that logging, per the enterprise’s audit log management process, has been enabled across enterprise assets.

Ensure that logging destinations maintain adequate storage to comply with the enterprise’s audit log management process.

Standardize time synchronization. Configure at least two synchronized time sources across enterprise assets, where supported.

Configure detailed audit logging for enterprise assets containing sensitive data. Include event source, date, username, timestamp, source addresses, destination addresses, and other useful elements that could assist in a forensic investigation.

Collect DNS query audit logs on enterprise assets, where appropriate and supported.

Collect URL request audit logs on enterprise assets, where appropriate and supported.

Collect command-line audit logs. Example implementations include collecting audit logs from PowerShell®, BASH™, and remote administrative terminals.

Centralize, to the extent possible, audit log collection and retention across enterprise assets.

Improve protections and detections of threats from email and web vectors, as these are opportunities for attackers to manipulate human behavior through direct engagement.

Ensure only fully supported browsers and email clients are allowed to execute in the enterprise, only using the latest version of browsers and email clients provided through the vendor.

Use DNS filtering services on all enterprise assets to block access to known malicious domains.

Enforce and update network-based URL filters to limit an enterprise asset from connecting to potentially malicious or unapproved websites. Example implementations include category-based filtering, reputation-based filtering, or through the use of block lists. Enforce filters for all enterprise asset

Restrict, either through uninstalling or disabling, any unauthorized or unnecessary browser or email client plugins, extensions, and add-on applications.

To lower the chance of spoofed or modified emails from valid domains, implement DMARC policy and verification, starting with implementing the Sender Policy Framework (SPF) and the DomainKeys Identified Mail (DKIM) standards.

Block unnecessary file types attempting to enter the enterprise’s email gateway.

Deploy and maintain email server anti-malware protections, such as attachment scanning and/or sandboxing.

Establish, document, approve, communicate, apply, evaluate and maintain audit and assurance policies and procedures and standards. Review and update the policies and procedures at least annually.

Conduct independent audit and assurance assessments according to relevant standards at least annually.

Perform independent audit and assurance assessments according to risk-based plans and policies.

Verify compliance with all relevant standards, regulations, legal/contractual, and statutory requirements applicable to the audit.

Define and implement an Audit Management process to support audit planning, risk analysis, security control assessment, conclusion, remediation schedules, report generation, and review of past reports and supporting evidence.

Establish, document, approve, communicate, apply, evaluate and maintain a risk-based corrective action plan to remediate audit findings, review and report remediation status to relevant stakeholders.

Establish, document, approve, communicate, apply, evaluate and maintain policies and procedures for application security to provide guidance to the appropriate planning, delivery and support of the organization's application security capabilities. Review and update the policies and procedures at lea

Establish, document and maintain baseline requirements for securing different applications.

Define and implement technical and operational metrics in alignment with business objectives, security requirements, and compliance obligations.

Define and implement a SDLC process for application design, development, deployment, and operation in accordance with security requirements defined by the organization.

Implement a testing strategy, including criteria for acceptance of new information systems, upgrades and new versions, which provides application security assurance and maintains compliance while enabling organizational speed of delivery goals. Automate when applicable and possible.

Establish and implement strategies and capabilities for secure, standardized, and compliant application deployment. Automate where possible.

Define and implement a process to remediate application security vulnerabilities, automating remediation when possible.

Access to the manufacturing system should be restricted based on communication source (trusted network, external network, wireless network).

Access to the manufacturing system should be restricted to authorized users/devices/3rd parties only and follow the principle of least privilege.

Actively manage the life cycle of system and application accounts - their creation, use, dormancy, deletion - in order to minimize opportunities for attackers to leverage them.

Accounts and authenticators management for the Manufacturing system and applications should be based (where technically possible) on the Active Directory (AD).

Acquisition or sale of facilities, technology, and services

Ensure that local logging has been enabled on all systems and networking devices.

Activate the continuity plan if the damage assessment report indicates the activation criterion has been met.

Activate third party maintenance accounts and User IDs as necessary.

Add all devices requiring access control to the Access Control List.

Add inventoried assets to the asset register database, as necessary.

Ensure that unauthorized assets are either removed from the network, quarantined, or the inventory is updated in a timely manner.

Ensure that unauthorized software is either removed or the inventory is updated in a timely manner.

As stated in the Roche Code of Conduct, "Any information related to an identified or identifiable person must be collected and processed in compliance with applicable data privacy laws (e.g. Swiss Federal Act on Data Protection, EU General Data Protection Regulation and the US Health Insurance Porta

Software RPA Robots and Chatbots must be implemented and operated in compliance with Roche Software RoBOT security standard

Adhere to operating procedures as defined in the Standard Operating Procedures Manual.

Alert appropriate personnel when rogue network devices are discovered.

Alert interested personnel when suspicious activity is detected by an Intrusion Detection System or Intrusion Prevention System.

Alert when users deviate from normal login behavior, such as time-of-day, workstation location and duration.

Align critical Information Technology resource availability planning with capacity planning.

Allocate sufficient resources to protect Information Systems during capital planning.

Analyze and evaluate training records to improve the training program.

Analyze and quantify the risks to in scope systems and information.

Analyze organizational objectives, functions, and activities.

Analyze security violations in Suspicious Activity Reports.

Analyze system audit reports and determine the need to perform more tests.

Any domain controller connected to the manufacturing system must be hardened and comply with the established vulnerability scanning and patch management procedures.

Manage the security life cycle of all in-house developed and acquired software in order to prevent, detect, and correct security weaknesses.

Apply host-based firewalls or port filtering tools on end systems, with a default-deny rule that drops all traffic except those services and ports that are explicitly allowed.

Apply static and dynamic analysis tools to verify that secure coding practices are being adhered to for internally developed software.

Approve all compliance documents.

Approve and authorize the newly implemented system.

Approve change requests prior to implementing approved changes.

Approve each system's Configurable Items (and changes to those Configurable Items).

Approve risk assessment methodologies at the executive management level within the organization.

Approve the results of the risk assessment as documented in the risk assessment report.

Approve the risk assessment report of operational risks as a part of the acquisition feasibility study.

Business sensitive information and data with compliance requirements (e.g. GxP, Personal Data), must be processed by an approved supplier at approved processing locations.

Archive outdated cryptographic keys.

Archive the audit trail in accordance with compliance requirements.

Data Science is a multidisciplinary field that encompasses various techniques, methods, and processes for extracting knowledge and gaining insights from data. In the context of artificial intelligence (AI), data science plays a crucial role as a foundational component. Therefore, to process the da

Assess all security incidents to determine what information was accessed.

Assess customer satisfaction.

Assess the potential level of business impact risk associated with control weaknesses.

Assess the quality of the audit program in regards to the staff and their qualifications.

Assign Information System access authorizations if implementing segregation of duties.

Assign job titles and duties for handling computer and network incidents to specific individuals and ensure tracking and documentation throughout the incident through resolution.

Assign a probability of occurrence to all types of threats in the threat and risk classification scheme.

Assign and maintain user accounts and User Access Management for all systems.

Assign and staff all roles appropriately.

Assign biometric authentication to user accounts as necessary.

Assign ownership of the information security governance program to the appropriate role.

Assign ownership of the internal control framework to the appropriate organizational role.

Assign passwords or passphrases to user accounts as necessary.

Assign penetration testing to a qualified internal resource or external third party.

Assign resources to implement the internal control framework.

Assign the audit to impartial auditors.

Assign the corporate governance of Information Technology to the compliance oversight committee.

Assign the internal Information Technology audit staff to be independent from the Information Technology group reporting to the Board of Directors.

Assign the review of Information Technology policies and procedures to the compliance oversight committee.

Assign the review of custom code changes to individuals other than the code author.

Assign the role of asset physical security to applicable controls.

Assign the role of information security management as a part of developing systems.

Assign the role of logical access control to applicable controls.

Assign the role of the Quality Management committee to applicable controls.

Assign the roles and responsibilities for the Board of Directors and senior management in the Audit function.

Assign token-based authentication or Smart Card Logon to user accounts as necessary.

Assign user permissions based on job responsibilities.

Assign user privileges after they have management sign off.

Assign vulnerability scanning to a qualified internal resource or external third party.

Associate active ports, services and protocols to the hardware assets in the asset inventory.

Associate records with their security attributes.

Audit all modifications to the application being developed.

Audit in scope audit items and compliance documents as defined in the audit scope.

Audit the in scope system according to the test plan using relevant evidence.

Audits and risk management

Authorize visitors before granting entry to physical areas containing restricted data or restricted information.

Automate a programmatic process to remove stored data and records that exceed retention requirements.

Automate the continuous monitoring of Configuration Management, as necessary.

Automatically respond when an integrity violation is detected.

Establish, document, approve, communicate, apply, evaluate and maintain business continuity management and operational resilience policies and procedures. Review and update the policies and procedures at least annually.

Determine the impact of business disruptions and risks to establish criteria for developing business continuity and operational resilience strategies and capabilities.

Establish strategies to reduce the impact of, withstand, and recover from business disruptions within risk appetite.

Establish, document, approve, communicate, apply, evaluate and maintain a business continuity plan based on the results of the operational resilience strategies and capabilities.

Develop, identify, and acquire documentation that is relevant to support the business continuity and operational resilience programs. Make the documentation available to authorized stakeholders and review periodically.

Exercise and test business continuity and operational resilience plans at least annually or upon significant changes.

Establish communication with stakeholders and participants in the course of business continuity and resilience procedures.

Periodically backup data stored in the cloud. Ensure the confidentiality, integrity and availability of the backup, and verify data restoration from backup for resiliency.

Establish, document, approve, communicate, apply, evaluate and maintain a disaster response plan to recover from natural and man-made disasters. Update the plan at least annually or upon significant changes.

Exercise the disaster response plan annually or upon significant changes, including if possible local emergency authorities.

Supplement business-critical equipment with redundant equipment independently located at a reasonable minimum distance in accordance with applicable industry standards.

Back up audit trails according to backup procedures.

Back up logs according to backup procedures.

Data backup and restore testing procedures aligned with business requirements are in place to prevent data loss.

Block all e-mail attachments entering the organization's e-mail gateway if the file types are unnecessary for the organization's business.

Block and/or remove unused software and unauthorized software.

Detect/prevent/correct the flow of information transferring networks of different trust levels with a focus on security-damaging data.

Budget appropriately for Information Security.

Establish, document, approve, communicate, apply, evaluate and maintain policies and procedures for managing the risks associated with applying changes to organization assets, including application, systems, infrastructure, configuration, etc., regardless of whether the assets are managed internally

Follow a defined quality change control, approval and testing process with established baselines, testing, and release standards.

Manage the risks associated with applying changes to organization assets, including application, systems, infrastructure, configuration, etc., regardless of whether the assets are managed internally or externally (i.e., outsourced).

Restrict the unauthorized addition, removal, update, and management of organization assets.

Include provisions limiting changes directly impacting CSCs owned environments/tenants to explicitly authorized requests within service level agreements between CSPs and CSCs.

Establish change management baselines for all relevant authorized changes on organization assets.

Implement detection measures with proactive notification in case of changes deviating from the established baseline.

Implement a procedure for the management of exceptions, including emergencies, in the change and configuration process. Align the procedure with the requirements of GRC-04: Policy Exception Process.'

Define and implement a process to proactively roll back changes to a previous known good state in case of errors or security concerns.

Establish, document, approve, communicate, apply, evaluate and maintain policies and procedures for Cryptography, Encryption and Key Management. Review and update the policies and procedures at least annually.

Define and implement cryptographic, encryption and key management roles and responsibilities.

Provide cryptographic protection to data at-rest and in-transit, using cryptographic libraries certified to approved standards.

Use encryption algorithms that are appropriate for data protection, considering the classification of data, associated risks, and usability of the encryption technology.

Establish a standard change management procedure, to accommodate changes from internal and external sources, for review, approval, implementation and communication of cryptographic, encryption and key management technology changes.

Manage and adopt changes to cryptography-, encryption-, and key management-related systems (including policies and procedures) that fully account for downstream effects of proposed changes, including residual risk, cost, and benefits analysis.

Establish and maintain an encryption and key management risk program that includes provisions for risk assessment, risk treatment, risk context, monitoring, and feedback.

CSPs must provide the capability for CSCs to manage their own data encryption keys.

Audit encryption and key management systems, policies, and processes with a frequency that is proportional to the risk exposure of the system with audit occurring preferably continuously but at least annually and after any security event(s).

Generate Cryptographic keys using industry accepted cryptographic libraries specifying the algorithm strength and the random number generator used.

Manage cryptographic secret and private keys that are provisioned for a unique purpose.

Rotate cryptographic keys in accordance with the calculated cryptoperiod, which includes provisions for considering the risk of information disclosure and legal and regulatory requirements.

Define, implement and evaluate processes, procedures and technical measures to revoke and remove cryptographic keys prior to the end of its established cryptoperiod, when a key is compromised, or an entity is no longer part of the organization, which include provisions for legal and regulatory requi

Define, implement and evaluate processes, procedures and technical measures to destroy keys stored outside a secure environment and revoke keys stored in Hardware Security Modules (HSMs) when they are no longer needed, which include provisions for legal and regulatory requirements.

Define, implement and evaluate processes, procedures and technical measures to create keys in a pre-activated state when they have been generated but not authorized for use, which include provisions for legal and regulatory requirements.

Define, implement and evaluate processes, procedures and technical measures to monitor, review and approve key transitions from any state to/from suspension, which include provisions for legal and regulatory requirements.

Define, implement and evaluate processes, procedures and technical measures to deactivate keys at the time of their expiration date, which include provisions for legal and regulatory requirements.

Define, implement and evaluate processes, procedures and technical measures to manage archived keys in a secure repository requiring least privilege access, which include provisions for legal and regulatory requirements.

Define, implement and evaluate processes, procedures and technical measures to use compromised keys to encrypt information only in controlled circumstance, and thereafter exclusively for decrypting data and never for encrypting data, which include provisions for legal and regulatory requirements.

Define, implement and evaluate processes, procedures and technical measures to assess the risk to operational continuity versus the risk of the keying material and the information it protects being exposed if control of the keying material is lost, which include provisions for legal and regulatory r

Define, implement and evaluate processes, procedures and technical measures in order for the key management system to track and report all cryptographic materials and changes in status, which include provisions for legal and regulatory requirements.

Capture the records required by organizational compliance requirements.

Categorize all suppliers in the supply chain management program.

Categorize the systems, information, and data by risk profile in the threat and risk classification scheme.

Ensure that appropriate logs are being aggregated to a central log management system for analysis and review.

The important aspect of this requirement is getting the logs off of the endpoint so a malware infection doesn’t clear them out.

Centralize network time servers to as few as practical.

A framework of policies, processes, and technologies that facilitates the management of digital identities (e.g. user accounts, service accounts) and the relevant entitlements (access permissions) granted to an identity or a group of identities. Initiate, capture, record, and manage the entire lifec

Before deploying any new asset, change all default passwords to have values consistent with administrative level accounts.

Change all default passwords.

Change cipher lock codes every 90 days.

Change cipher lock codes upon authorized personnel status change or termination.

Change cryptographic keys, as necessary.

All Services must adhere to Roche Global Change Management Process

Change the default community string for Simple Network Management Protocol.

Change vendor-supplied default configurations as appropriate.

Check that personal data is complete.

Check the accuracy of personal data.

Classify restricted data or restricted information in Records Management systems according to the data or information's sensitivity.

Anti-virus/Anti-malware software is used to provide virus and malware protection and forensic capabilities to computer systems, such as servers or workstations, that will store and process Roche data.

Enable automated security and configuration monitoring of cloud environments to help detect potential threats and vulnerabilities to data or systems in the cloud.

Collect all work papers for the audit and audit report into an engagement file.

Collect data in a fair and lawful way.

Collect data in a proper information framework.

Collect evidence from the incident scene.

Collect evidence of each supplier's supply chain due diligence processes.

Communicate information about risks to all interested personnel and affected parties.

Communicate organizational security policies and security procedures as a part of security awareness.

Communicate proposed changes to all interested personnel and affected parties.

Communicate security awareness and the internal control framework to all interested personnel and affected parties.

Communicate the Information Technology plans to all interested personnel and affected parties.

Communicate updates to the Governance, Risk, and Compliance framework to interested personnel and affected parties, as necessary.

Communicate with the organization about any missing audit documentation.

Regularly compare the results from back-to-back vulnerability scans to verify that vulnerabilities have been remediated in a timely manner.

Compare actual Information Technology costs to forecasted Information Technology budgets.

Compare system performance metrics to organizational standards and industry benchmarks.

Compile the event logs of multiple components into a system-wide time-correlated audit trail.

China publishes CSL (Cyber Security Law), DSL (Data Security Law) and PIPL (Personal Information Protection Law) and the relevant regulations and demands are rapidly evolving. Given the law is broad in nature, the expectation of this control is that you involve China Legal and China information Secu

Export control and economic sanctions (EC&S) requirements apply to the access to and use of software, systems, digital solutions and services across jurisdictions. These apply both to software and solutions developed by Roche as well as external hardware, software and solutions used by Roche based

ICFR framework defines control activities to detect and prevent errors/fraud in financial reporting.

Solutions containing business records (mainly document repositories, communication, and collaboration tools) are required to have the ability to: 1) preserve material that is or becomes subject to Legal/Law Hold; and 2) extract the material, if needed, in an eDiscovery-compliant format. "Material" i

Projects must ensure solutions/services processing Personal Data of US residents are compliant with the requirements set forth in the applicable US national and state-level privacy laws.

It must be ensured that all legally required privacy information (e.g. “privacy policy”/”privacy notice” and text used for consent) is provided correctly and at the right point in time.

Computerised Systems Validation (CSV) ensures that new and existing GxP relevant computerized systems consistently fulfill their intended use and produce accurate and reliable results that ensure regulatory compliance, product quality and patient safety. Action: For systems delivered by Informatics

Plan and conduct routine incident response exercises and scenarios for the workforce involved in the incident response to maintain awareness and comfort in responding to real world threats. Exercises should test communication channels, decision making, and incident responders technical capabilities

Conduct Quality Control to ensure adherence to Information Technology policies, standards, and procedures.

Conduct regular external and internal penetration tests to identify vulnerabilities and attack vectors that can be used to exploit enterprise systems successfully.

Conduct a Business Impact Analysis based on the risk assessment findings in the risk assessment report.

Conduct a design review at each milestone or quality gate.

Conduct a management level post implementation review.

Conduct a performance review of the external auditor's performance during the audit process.

Conduct a post implementation review when the system design project ends.

Conduct a preliminary investigation before new system development projects begin.

Conduct a risk assessment to determine operational risks as a part of the acquisition feasibility study.

Conduct a wireless site survey to determine the proper location for Wireless Access Points.