Topic Security Issue Response: Roles & Responsibilities

Topic Question Security Issue Response
1. Security Program
Has your organization formally appointed a central point of contact for

security coordination?
1.1 Roles & Responsibilities a) If so, whom, and what is their position within the organization?
b) Responsibilities clearly documented? i.e. job descriptions, information
security policy
Do you work with third parties, such as IT service providers, that have access
to your information?
a) Does your organization have Business Associate agreements in place with
1.2 External Parties these third parties?
b) If not, what controls does your organization have in place to monitor and
assess third parties? i.e. Logging of VPN connections, etc.
2. Security Policy
Do you have documented information security policies and procedures?

a) Do you have a formal information classification procedure? Please
describe it. For example, critical, essential, and normal.
Information Security Policy b) Have formal acceptable use rules been established for assets? Example
2.1 & Procedures assets include data assets, computer equipment, communications equipment,
etc.
Do you have formal processes in place for security policy maintenance and
exceptions?
3. Risk Management & Compliance
Do you have a process that addresses: the identification and measurement of

3.1 Risk Assessment potential risks, mitigating controls (measures taken to reduce risk), and the
acceptance or transfer (Insurance policies, warranties for example) of the
remaining (residual) risk after mitigation steps have been applied?
Compliance with Legal Does a process exist to identify new laws and regulations with IT security
Requirements - implications? (e.g., new state breach notification requirements)?
3.2 Identification of applicable
legislation
4. Training & Awareness
Have your employees been provided formal information security training?

During Employment – Have policies been communicated to your employees? Are periodic security
4.1 Training, Education & reminders provided?
Awareness i.e. New employee orientation, yearly training, posters in public areas, email
reminders, etc.
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5. Personnel Security
Does your organization perform background checks to examine and assess an

5.1 Background Checks employee’s or contractor’s work and criminal history?
i.e. Credential verification, criminal history, references
Prior to Employment - Terms Are your employees required to sign a non-disclosure agreement? If so, are
5.2 and Conditions of employees required to sign the non-disclosure agreement annually? Non-
Employment disclosure and/or confidentiality form at initial employment
Do you have a formal process to manage the termination and or transfer of

Termination or Change in employees?
5.3 Employment i.e. All equipment is returned, user ID's disabled, badges and/or keys
returned.
6. Physical Security
Do you have effective physical access controls (e.g., door locks) in place that
prevent unauthorized access to facilities?
a) How are physical access controls authorized (who is responsible for
ensuring that only appropriate persons have keys or codes to the facility and
6.1 Secure Areas to locations within the facility)?
b) Are there policies and procedures to document repairs and modifications
to physical components of the facility that are related to security?
7. Network Security
Network and/or Application Segregation

a) Are systems and networks that host, process and or transfer sensitive
information ‘protected’ (isolated or separated) from other systems and or
networks?
Application and Information b) Are internal and external networks separated by firewalls with access
7.1 Access Control - Sensitive
System Isolation policies and rules?
c) Is there a standard approach for protecting network devices to prevent
unauthorized access/ network related attacks and data-theft?
i.e. Firewall between public and private networks, internal VLAN, firewall
separation, separate WLAN network, and/or secure patient portal.
Is sensitive information transferred to external recipients? If so, are controls

in place to protect sensitive information when transferred (e.g. with
7.2 Encryption encryption)?
How often do you perform periodic vulnerability scans on your information

7.3 Vulnerability Assessment technology systems, networks and supporting security systems? i.e. Internal
assessments, third party assessments, automated?
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Are third party connections to your network monitored and reviewed to

7.4 Monitoring confirm authorized access and appropriate usage?
i.e. VPN logs, server Event Logs, automated alerts, regular review of logs or
reports.
8. Logical Access
Do you have a formal access authorization process based on 'least privilege'

(employees are granted the least amount of access possible in order to
perform their assigned duties) and need to know (access permissions are
granted based upon the legitimate business need of the user to access the
information) ?
i.e. Role-based permissions, limited access based on specific responsibilities,
network access request form?
a) How are systems and applications configured to restrict access only to
authorized individuals?
8.1 Identity & Access i.e. Use of unique ID's and passwords, minimum password length?
Management Complexity? History? Lockout? Password change?
b) Is there a list maintained of authorized users with access (administrative
access) to operating systems? i.e. Active Directory user lists.
c) Is software installation restricted for desktops, laptops and servers?
i.e. Restricted User access to workstations, Group Policy enforcement, AD
privileges on servers (i.e. automatic logoff of workstations)
d) Is access to source application code restricted? If so, how? Is a list of
authorized users maintained?
Are user IDs for your system uniquely identifiable?

8.2 Identity Management a) Any shared accounts at all? i.e. hard coded into applications
8.3 Entitlement Reviews Do you have a process to review user accounts and related access?
9. Operations Management
Has antivirus software been deployed and installed on your computers and
9.1 Antivirus supporting systems (e.g., desktops, servers and gateways)?
1) Product installed? Centrally managed? Updated daily?
Are systems and networks monitored for security events? If so, please
9.2 Security Monitoring describe this monitoring. i.e. server and networking equipment logs monitored
regularly. Servers, routers, switches, wireless AP's.
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Do procedures exist to protect documents, computer media (e.g., tapes, disks,

CD-ROMs, etc.), from unauthorized disclosure, modification, removal, and
9.3 Media Handling destruction? Is sensitive data encrypted when stored on laptop, desktop and
server hard drives, flash drives, backup tapes, etc.?
i.e. Data at Rest - Is data encrypted on servers? Backups? Mobile devices?
Are there security procedures for the decommissioning (replacement) of IT

9.4 Secure Disposal equipment and IT storage devices which contain or process sensitive
information? i.e. use of Shred-IT, Retire-IT, wiping, NIST 800-88
Are development, test and production environments separated to protect

Segregation of Computing production (actively used) applications from inadvertent changes or
9.5 Environment disruption?
Are duties separated, where appropriate, to reduce the opportunity for

9.6 Segregation of Duties unauthorized modification, unintentional modification or misuse of the
organization's IT assets?
Do formal change management procedures exist for networks, systems,

desktops, software releases, deployments, and software vulnerability (e.g.,
9.7 Change Management Virus or Spyware) patching activities? i.e. Changes to applications and servers?
Appropriate testing, notification, and approval?
10. Incident Management
How do you identify, respond to and mitigate suspected or known security

incidents?
i.e. Incident Form filled out as a response to an incident
a) During the investigation of a security incident, is evidence properly
collected and maintained?
10.1 Process & Procedures i.e. Chain of custody and other computer forensic methodologies followed by
internal and/or external parties?
b) Are incidents identified, investigated, and reported according to
applicable legal requirements?
c) How are incidents escalated and communicated? i.e. documented process
for escalation to management and even outside authorities.
11. Business Continuity Management
Do you have a mechanism to back up critical IT systems and sensitive data? i.e.
nightly, weekly, quarterly backups? Taken offsite?
a) Have you had to restore files after a systems outage?
Disaster Recovery Plan & Does a Disaster Recovery plan exist for the organization and does it consider
11.1 Backups
interruption to, or failure of, critical IT systems?
a) Are disaster recovery plans updated at least annually?
b) If not, has the backup and restoration process been tested?
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Topic Question Security Issue Response

Has your organization formally appointed a central point of contact for

Do you have documented information security policies and procedures?

3. Risk Management & Compliance

Do you have a process that addresses: the identification and measurement of

Have your employees been provided formal information security training?

Does your organization perform background checks to examine and assess an

Do you have a formal process to manage the termination and or transfer of

Network and/or Application Segregation

Is sensitive information transferred to external recipients? If so, are controls

How often do you perform periodic vulnerability scans on your information

Are third party connections to your network monitored and reviewed to

Do you have a formal access authorization process based on 'least privilege'

Are user IDs for your system uniquely identifiable?

Do procedures exist to protect documents, computer media (e.g., tapes, disks,

Are there security procedures for the decommissioning (replacement) of IT

Are development, test and production environments separated to protect

Are duties separated, where appropriate, to reduce the opportunity for

Do formal change management procedures exist for networks, systems,

How do you identify, respond to and mitigate suspected or known security

11. Business Continuity Management

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