# compliance-frameworks

> SOC 2 compliance requirements, ISO 27001 standards, PCI DSS requirements, HIPAA security rules, GDPR data protection, NIST Cybersecurity Framework, and industry-specific compliance requirements

- Author: DavinciDreams
- Repository: DavinciDreams/Agent-Team-Plugins
- Version: 20260207014432
- Stars: 0
- Forks: 0
- Last Updated: 2026-02-07
- Source: https://github.com/DavinciDreams/Agent-Team-Plugins
- Web: https://mule.run/skillshub/@@DavinciDreams/Agent-Team-Plugins~compliance-frameworks:20260207014432

---

---
name: compliance-frameworks
description: SOC 2 compliance requirements, ISO 27001 standards, PCI DSS requirements, HIPAA security rules, GDPR data protection, NIST Cybersecurity Framework, and industry-specific compliance requirements
---

# Compliance Frameworks

## SOC 2 Compliance

### SOC 2 Overview

SOC 2 (System and Organization Controls 2) is a compliance framework for service organizations that store customer data in the cloud.

### SOC 2 Trust Services Criteria

- **Security**: Protection against unauthorized access
- **Availability**: System is available for operation and use
- **Processing Integrity**: System processing is complete, valid, accurate, timely, and authorized
- **Confidentiality**: Information is disclosed only to authorized parties
- **Privacy**: Personal information is collected, used, retained, disclosed, and disposed of properly

### SOC 2 Common Criteria (CC)

- **CC1.1**: The entity demonstrates commitment to integrity and ethical values
- **CC2.1**: The entity assigns and documents authority and responsibility
- **CC3.1**: The entity identifies objectives with sufficient clarity
- **CC4.1**: The entity assesses risks and identifies responses
- **CC5.1**: The entity selects, develops, and performs ongoing monitoring activities
- **CC6.1**: The entity selects, develops, and performs corrective actions
- **CC7.1**: The entity obtains, assesses, and communicates relevant information
- **CC8.1**: The entity selects, develops, and performs ongoing monitoring activities

### SOC 2 Implementation

- **Policies and Procedures**: Develop comprehensive security policies and procedures
- **Access Controls**: Implement strong access controls
- **Change Management**: Implement formal change management processes
- **Incident Response**: Develop and test incident response procedures
- **Vendor Management**: Implement vendor risk management processes
- **Monitoring and Logging**: Implement comprehensive monitoring and logging
- **Data Classification**: Classify data based on sensitivity
- **Encryption**: Encrypt data at rest and in transit

## ISO 27001

### ISO 27001 Overview

ISO 27001 is an international standard for information security management systems (ISMS).

### ISO 27001 Annex A Controls

- **A.5 Organizational Security Policies**: Information security policies
- **A.6 Organization of Information Security**: Roles and responsibilities
- **A.7 Human Resource Security**: Employee security
- **A.8 Asset Management**: Asset inventory and classification
- **A.9 Access Control**: Access control policy and procedures
- **A.10 Cryptography**: Cryptographic controls
- **A.11 Physical and Environmental Security**: Physical security
- **A.12 Operations Security**: Operational procedures and responsibilities
- **A.13 Communications Security**: Network security management
- **A.14 System Acquisition, Development, and Maintenance**: Security in development
- **A.15 Supplier Relationships**: Supplier security
- **A.16 Information Security Incident Management**: Incident management
- **A.17 Information Security Aspects of Business Continuity**: Business continuity
- **A.18 Compliance**: Compliance with legal and regulatory requirements

### ISO 27001 Implementation

- **Management Commitment**: Obtain management commitment and support
- **Scope Definition**: Define the scope of the ISMS
- **Risk Assessment**: Conduct a comprehensive risk assessment
- **Statement of Applicability**: Create a Statement of Applicability (SoA)
- **Risk Treatment Plan**: Develop a risk treatment plan
- **Policies and Procedures**: Develop policies and procedures
- **Implementation**: Implement controls and processes
- **Internal Audit**: Conduct internal audits
- **Management Review**: Conduct management reviews
- **Certification Audit**: Undergo certification audit

## PCI DSS

### PCI DSS Overview

PCI DSS (Payment Card Industry Data Security Standard) is a set of security standards for organizations that handle credit card information.

### PCI DSS Requirements

1. **Install and maintain a firewall configuration**: Protect cardholder data
2. **Do not use vendor-supplied defaults**: Change default passwords and security parameters
3. **Protect stored cardholder data**: Encrypt cardholder data at rest
4. **Encrypt transmission of cardholder data**: Use strong encryption in transit
5. **Use and regularly update anti-virus software**: Protect against malware
6. **Develop and maintain secure systems**: Develop secure applications and systems
7. **Restrict access to cardholder data**: Implement access controls
8. **Identify and authenticate access**: Assign unique IDs to each person
9. **Restrict physical access**: Restrict physical access to cardholder data
10. **Track and monitor all access**: Log and monitor all access to network resources
11. **Regularly test security systems**: Test security systems and processes regularly
12. **Maintain an information security policy**: Maintain a policy that addresses information security

### PCI DSS Implementation

- **Network Segmentation**: Segment cardholder data environment
- **Firewall Configuration**: Configure firewalls to protect cardholder data
- **Encryption**: Encrypt cardholder data at rest and in transit
- **Access Controls**: Implement strong access controls
- **Logging and Monitoring**: Log and monitor all access to cardholder data
- **Vulnerability Management**: Regularly scan for vulnerabilities
- **Secure Development**: Follow secure development practices
- **Physical Security**: Implement physical security controls
- **Security Awareness**: Provide security awareness training
- **Incident Response**: Develop incident response procedures

## HIPAA

### HIPAA Overview

HIPAA (Health Insurance Portability and Accountability Act) includes the Security Rule and Privacy Rule for protecting health information.

### HIPAA Security Rule

- **Administrative Safeguards**: Policies and procedures for security management
- **Physical Safeguards**: Physical measures to protect electronic health information
- **Technical Safeguards**: Technology and policies to protect electronic health information

### HIPAA Administrative Safeguards

- **Security Management Process**: Conduct risk analysis and implement security measures
- **Assigned Security Responsibility**: Designate a security official
- **Workforce Security**: Implement workforce security policies and procedures
- **Information Access Management**: Implement policies for information access
- **Security Awareness and Training**: Provide security awareness training
- **Security Incident Procedures**: Develop incident response procedures
- **Contingency Plan**: Develop a contingency plan
- **Evaluation**: Perform periodic evaluations of security measures
- **Business Associate Contracts**: Have business associate contracts in place

### HIPAA Technical Safeguards

- **Access Control**: Implement unique user identification and access controls
- **Audit Controls**: Implement hardware, software, and procedural audit controls
- **Integrity Controls**: Ensure electronic protected health information is not improperly altered
- **Transmission Security**: Ensure transmission security

### HIPAA Privacy Rule

- **Permitted Uses and Disclosures**: Define permitted uses and disclosures
- **Minimum Necessary**: Use and disclose only the minimum necessary information
- **Notice of Privacy Practices**: Provide notice of privacy practices
- **Individual Rights**: Provide individuals with rights to their health information
- **Authorization**: Obtain authorization for certain uses and disclosures

## GDPR

### GDPR Overview

GDPR (General Data Protection Regulation) is a European Union regulation for data protection and privacy.

### GDPR Principles

- **Lawfulness, Fairness, and Transparency**: Process data lawfully, fairly, and transparently
- **Purpose Limitation**: Collect data for specified, explicit, and legitimate purposes
- **Data Minimization**: Collect only data that is adequate, relevant, and limited
- **Accuracy**: Ensure data is accurate and kept up to date
- **Storage Limitation**: Store data only as long as necessary
- **Integrity and Confidentiality**: Ensure data is processed securely
- **Accountability**: Be accountable for compliance

### GDPR Rights

- **Right to be Informed**: Individuals have the right to be informed about data processing
- **Right of Access**: Individuals have the right to access their personal data
- **Right to Rectification**: Individuals have the right to have inaccurate data corrected
- **Right to Erasure**: Individuals have the right to have their data erased
- **Right to Restrict Processing**: Individuals have the right to restrict processing
- **Right to Data Portability**: Individuals have the right to data portability
- **Right to Object**: Individuals have the right to object to processing
- **Rights in Relation to Automated Decision Making**: Individuals have rights related to automated decision making

### GDPR Implementation

- **Data Mapping**: Map all data processing activities
- **Legal Basis**: Identify legal basis for processing
- **Privacy by Design**: Implement privacy by design and by default
- **Data Protection Impact Assessments**: Conduct DPIAs for high-risk processing
- **Data Subject Rights**: Implement processes to handle data subject rights
- **Data Breach Notification**: Implement data breach notification procedures
- **Data Protection Officer**: Appoint a DPO if required
- **Records of Processing**: Maintain records of processing activities
- **International Data Transfers**: Implement appropriate safeguards for international data transfers

## NIST Cybersecurity Framework

### NIST CSF Overview

The NIST Cybersecurity Framework (CSF) provides a policy framework of computer security guidance for private sector organizations.

### NIST CSF Functions

- **Identify**: Develop an understanding of the business context and resources
- **Protect**: Develop and implement appropriate safeguards
- **Detect**: Develop and implement activities to identify cybersecurity events
- **Respond**: Develop and implement activities to take action regarding a detected cybersecurity incident
- **Recover**: Develop and implement activities to maintain plans for resilience and restoration

### NIST CSF Categories

**Identify (ID)**
- ID.AM: Asset Management
- ID.BE: Business Environment
- ID.GV: Governance
- ID.RA: Risk Assessment
- ID.RM: Risk Management Strategy
- ID.SC: Supply Chain Risk Management

**Protect (PR)**
- PR.AC: Access Control
- PR.AT: Awareness and Training
- PR.DS: Data Security
- PR.IP: Information Protection Processes and Procedures
- PR.MA: Maintenance
- PR.PS: Protective Technology

**Detect (DE)**
- DE.AE: Anomalies and Events
- DE.CM: Security Continuous Monitoring
- DE.DP: Detection Processes

**Respond (RS)**
- RS.RP: Response Planning
- RS.CO: Communications
- RS.AN: Analysis
- RS.MI: Mitigation
- RS.IM: Improvements

**Recover (RC)**
- RC.RP: Recovery Planning
- RC.CO: Communications
- RC.IM: Improvements

## Industry-Specific Compliance

### Financial Services

- **GLBA**: Gramm-Leach-Bliley Act for financial institutions
- **FFIEC**: Federal Financial Institutions Examination Council guidelines
- **SOX**: Sarbanes-Oxley Act for financial reporting
- **Basel III**: International banking regulations

### Healthcare

- **HIPAA**: Health Insurance Portability and Accountability Act
- **HITECH**: Health Information Technology for Economic and Clinical Health Act
- **FDA Regulations**: FDA regulations for medical devices

### Government

- **FISMA**: Federal Information Security Management Act
- **FedRAMP**: Federal Risk and Authorization Management Program
- **CMMC**: Cybersecurity Maturity Model Certification

### Education

- **FERPA**: Family Educational Rights and Privacy Act
- **COPPA**: Children's Online Privacy Protection Act

### Telecommunications

- **FCC Regulations**: Federal Communications Commission regulations
- **GDPR**: General Data Protection Regulation (for EU operations)

### Retail and E-commerce

- **PCI DSS**: Payment Card Industry Data Security Standard
- **GDPR**: General Data Protection Regulation (for EU customers)
- **CCPA**: California Consumer Privacy Act

## Compliance Implementation

### Compliance Management Process

1. **Gap Analysis**: Identify gaps between current state and compliance requirements
2. **Remediation Planning**: Develop remediation plans for identified gaps
3. **Implementation**: Implement controls and processes
4. **Documentation**: Document policies, procedures, and evidence
5. **Training**: Provide training to employees
6. **Monitoring**: Monitor compliance on an ongoing basis
7. **Audit**: Conduct regular audits and assessments
8. **Continuous Improvement**: Continuously improve compliance posture

### Common Compliance Controls

- **Access Controls**: Implement strong access controls
- **Encryption**: Encrypt data at rest and in transit
- **Logging and Monitoring**: Implement comprehensive logging and monitoring
- **Incident Response**: Develop and test incident response procedures
- **Risk Assessment**: Conduct regular risk assessments
- **Training**: Provide security awareness training
- **Vendor Management**: Implement vendor risk management
- **Change Management**: Implement formal change management processes
- **Business Continuity**: Develop business continuity and disaster recovery plans
- **Data Classification**: Classify data based on sensitivity