security-compliance — quality + safety report

---
name: security-compliance
description: Guides security professionals in implementing defense-in-depth security architectures, achieving compliance with industry frameworks (SOC2, ISO27001, GDPR, HIPAA), conducting threat modeling and risk assessments, managing security operations and incident response, and embedding security throughout the SDLC.
---

# Security & Compliance Expert

## Core Principles

### 1. Defense in Depth
Apply multiple layers of security controls so that if one fails, others provide protection. Never rely on a single security mechanism.

### 2. Zero Trust Architecture
Never trust, always verify. Assume breach and verify every access request regardless of location or network.

### 3. Least Privilege
Grant the minimum access necessary for users and systems to perform their functions. Regularly review and revoke unused permissions.

### 4. Security by Design
Integrate security requirements from the earliest stages of system design, not as an afterthought.

### 5. Continuous Monitoring
Implement ongoing monitoring and alerting to detect anomalies and security events in real-time.

### 6. Risk-Based Approach
Prioritize security efforts based on risk assessment, focusing resources on the most critical assets and likely threats.

### 7. Compliance as Foundation
Use compliance frameworks as a baseline, but go beyond minimum requirements to achieve actual security.

### 8. Incident Readiness
Prepare for security incidents through planning, testing, and regular tabletop exercises. Assume compromise will occur.

---

## Security & Compliance Lifecycle

### Phase 1: Assess & Plan
**Objective**: Understand current security posture and compliance requirements

**Activities**:
- Conduct security assessments and gap analysis
- Identify compliance requirements (SOC2, ISO27001, GDPR, HIPAA, PCI-DSS)
- Perform risk assessments and threat modeling
- Define security policies and standards
- Establish security governance structure
- Create security roadmap with prioritized initiatives

**Deliverables**:
- Risk register with prioritized risks
- Compliance gap analysis report
- Security architecture documentation
- Security policies and procedures
- Security roadmap and budget

### Phase 2: Design & Architect
**Objective**: Design secure systems and architectures

**Activities**:
- Design defense-in-depth architectures
- Implement Zero Trust network architecture
- Design identity and access management (IAM) systems
- Architect data protection and encryption solutions
- Design secure CI/CD pipelines
- Create threat models for applications and systems
- Define security controls and compensating controls

**Deliverables**:
- Security architecture diagrams
- Threat models (STRIDE, PASTA, or attack trees)
- Data flow diagrams with security boundaries
- Encryption and key management design
- IAM design with RBAC/ABAC models
- Security control matrix

### Phase 3: Implement & Harden
**Objective**: Deploy security controls and harden systems

**Activities**:
- Implement security controls (preventive, detective, corrective)
- Configure security tools (SIEM, EDR, CASB, WAF, IDS/IPS)
- Harden operating systems and applications
- Implement encryption at rest and in transit
- Deploy multi-factor authentication (MFA)
- Configure logging and monitoring
- Implement data loss prevention (DLP)
- Set up vulnerability management program

**Deliverables**:
- Hardening baselines and configuration standards
- Deployed security tools and controls
- Encryption implementation
- MFA deployment
- Security monitoring dashboards
- Vulnerability management procedures

### Phase 4: Monitor & Detect
**Objective**: Continuously monitor for threats and anomalies

**Activities**:
- Monitor security logs and events (SIEM)
- Analyze security alerts and anomalies
- Conduct threat hunting
- Perform vulnerability scanning and penetration testing
- Monitor compliance controls
- Track security metrics and KPIs
- Review access logs and privileged account activity
- Analyze threat intelligence feeds

**Deliverables**:
- Security operations center (SOC) runbooks
- Alert triage and escalation procedures
- Threat hunting playbooks
- Vulnerability scan reports
- Penetration test reports
- Security metrics dashboard
- Compliance monitoring reports

### Phase 5: Respond & Recover
**Objective**: Respond to security incidents and recover operations

**Activities**:
- Execute incident response plan
- Contain and eradicate threats
- Perform forensic analysis
- Recover affected systems
- Conduct post-incident reviews
- Update security controls based on lessons learned
- Report incidents to stakeholders and regulators
- Improve detection rules and response procedures

**Deliverables**:
- Incident response reports
- Forensic analysis findings
- Root cause analysis
- Remediation plans
- Updated incident response playbooks
- Regulatory breach notifications (if required)
- Post-incident review and recommendations

### Phase 6: Audit & Improve
**Objective**: Validate compliance and continuously improve security

**Activities**:
- Conduct internal audits
- Prepare for external audits (SOC2, ISO27001)
- Perform compliance assessments
- Review and update security policies
- Conduct security training and awareness programs
- Perform tabletop exercises and disaster recovery drills
- Update risk assessments
- Implement security improvements

**Deliverables**:
- Audit reports (internal and external)
- SOC2 Type II report
- ISO27001 certification
- Compliance attestations
- Updated policies and procedures
- Training completion metrics
- Tabletop exercise results
- Continuous improvement plan

---

## Decision Frameworks

### 1. Risk Assessment Framework

**When to use**: Evaluating security risks and prioritizing mitigation efforts

**Process**:

```
1. Identify Assets
   - What systems, data, and services need protection?
   - What is the business value of each asset?
   - Who are the asset owners?

2. Identify Threats
   - What threat actors might target these assets? (nation-state, cybercriminals, insiders)
   - What are their motivations? (financial gain, espionage, disruption)
   - What are current threat trends?

3. Identify Vulnerabilities
   - What weaknesses exist in systems or processes?
   - What security controls are missing or ineffective?
   - What are known CVEs affecting your systems?

4. Calculate Risk
   Risk = Likelihood × Impact

   Likelihood scale (1-5):
   1 = Rare (< 5% chance in 1 year)
   2 = Unlikely (5-25%)
   3 = Possible (25-50%)
   4 = Likely (50-75%)
   5 = Almost Certain (> 75%)

   Impact scale (1-5):
   1 = Minimal (< $10K loss, no data breach)
   2 = Minor ($10K-$100K, limited data exposure)
   3 = Moderate ($100K-$1M, significant data breach)
   4 = Major ($1M-$10M, extensive data breach, regulatory fines)
   5 = Catastrophic (> $10M, business-threatening)

   Risk Score = Likelihood × Impact (max 25)

5. Prioritize Risks
   - Critical: Risk score 15-25 (immediate action)
   - High: Risk score 10-14 (action within 30 days)
   - Medium: Risk score 5-9 (action within 90 days)
   - Low: Risk score 1-4 (monitor and accept)

6. Determine Risk Response
   - Mitigate: Implement controls to reduce risk
   - Accept: Document acceptance if risk is within tolerance
   - Transfer: Use insurance or third-party services
   - Avoid: Eliminate the activity that creates risk
```

**Output**: Risk register with prioritized risks and mitigation plans

### 2. Security Control Selection

**When to use**: Choosing appropriate security controls for identified risks

**Framework**: Use NIST CSF categories or CIS Controls

```
NIST CSF Functions:
1. Identify (ID)
   - Asset Management
   - Risk Assessment
   - Governance

2. Protect (PR)
   - Access Control
   - Data Security
   - Protective Technology

3. Detect (DE)
   - Anomalies and Events
   - Security Monitoring
   - Detection Processes

4. Respond (RS)
   - Response Planning
   - Communications
   - Analysis and Mitigation

5. Recover (RC)
   - Recovery Planning
   - Improvements
   - Communications

Control Types:
- Preventive: Stop incidents before they occur (MFA, firewalls, encryption)
- Detective: Identify incidents when they occur (SIEM, IDS, log monitoring)
- Corrective: Fix issues after detection (patching, incident response)
- Deterrent: Discourage attackers (security policies, warnings)
- Compensating: Alternative controls when primary controls aren't feasible

Selection Criteria:
1. Does it address the identified risk?
2. Is it cost-effective? (Control cost < Risk value)
3. Is it technically feasible?
4. Does it meet compliance requirements?
5. Can we maintain and monitor it?
```

### 3. Compliance Framework Selection

**When to use**: Determining which compliance frameworks to implement

**Decision Tree**:

```
What type of organization are you?

├─ SaaS/Cloud Service Provider
│  ├─ Selling to enterprises? → SOC2 Type II (required)
│  ├─ International customers? → ISO27001 (strongly recommended)
│  ├─ Handling health data? → HIPAA + HITRUST
│  └─ Handling payment cards? → PCI-DSS

├─ Healthcare Provider/Payer
│  ├─ U.S.-based → HIPAA (required)
│  ├─ International → HIPAA + GDPR
│  └─ Plus: HITRUST for comprehensive framework

├─ Financial Services
│  ├─ U.S. banks → GLBA, SOX (if public)
│  ├─ Payment processing → PCI-DSS (required)
│  ├─ International → ISO27001, local regulations
│  └─ Plus: NIST CSF for framework

├─ E-commerce/Retail
│  ├─ Accept credit cards → PCI-DSS (required)
│  ├─ EU customers → GDPR (required)
│  ├─ California customers → CCPA
│  └─ B2B sales → SOC2 Type II

└─ General Enterprise
   ├─ Selling to enterprises → SOC2 Type II
   ├─ Want broad recognition → ISO27001
   ├─ Government contracts → FedRAMP, NIST 800-53
   └─ Industry-specific → Check sector regulations

Multi-Framework Strategy:
- Start with: SOC2 or ISO27001 (choose one as foundation)
- Add: Data privacy regulations (GDPR, CCPA) as needed
- Layer on: Industry-specific requirements
```

### 4. Incident Severity Classification

**When to use**: Triaging and responding to security incidents

**Severity Levels**:

```
P0 - Critical (Immediate Response)
- Active breach with data exfiltration occurring
- Ransomware encryption in progress
- Complete system outage of critical services
- Unauthorized access to production databases
- Response: Engage CIRT immediately, executive notification, 24/7 effort

P1 - High (Response within 1 hour)
- Confirmed malware on critical systems
- Attempted unauthorized access to sensitive data
- DDoS attack affecting availability
- Significant vulnerability with active exploits
- Response: Engage CIRT, manager notification, work until contained

P2 - Medium (Response within 4 hours)
- Malware on non-critical systems
- Suspicious account activity
- Policy violations with security impact
- Vulnerability requiring patching
- Response: Security team investigation, business hours

P3 - Low (Response within 24 hours)
- Failed login attempts (below threshold)
- Minor policy violations
- Informational security events
- Response: Standard queue, document findings

Classification Factors:
1. Data confidentiality impact (PHI, PII, financial, IP)
2. System availability impact (revenue, operations)
3. Data integrity impact (corruption, unauthorized changes)
4. Number of affected systems/users
5. Regulatory reporting requirements
```

### 5. Vulnerability Prioritization

**When to use**: Prioritizing vulnerability remediation

**Framework**: Enhanced CVSS with business context

```
Base CVSS Score × Business Context Multiplier = Priority Score

CVSS Severity Ranges:
- Critical: 9.0-10.0
- High: 7.0-8.9
- Medium: 4.0-6.9
- Low: 0.1-3.9

Business Context Multipliers:
- Internet-facing production system: 2.0×
- Internal production system: 1.5×
- Systems with sensitive data: 1.5×
- Development/test environment: 0.5×
- Active exploit in the wild: 2.0×
- Compensating controls in place: 0.7×

Priority Levels:
- P0 (Critical): Score ≥ 14 → Patch within 24-48 hours
- P

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