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IllumiDesk
IllumiDesk Team Handbook
People Group
Introduction
General Employment
Employment Status & Recordkeeping
Working Conditions & Hours
Employee Benefits
Employee Conduct
Timekeeping & Payroll
Security and Compliance
Security Controls
BC.1.01 - Business Continuity Plan
BC.1.0.2 - Business Continuity Plan: Roles and Responsibilities
BC.1.03 - Continuity Testing
BC.1.04 - Business Impact Analysis
CFG.1.01 - Baseline Configuration Standard
CFG.1.03 - Configuration Checks
CM.1.01 - Change Management Workflow
CM.1.02 - Change Approval
CM.1.03 - Change Management Issue Tracker
CM.1.04 - Emergency Changes
DM.1.01 - Data Classification Criteria
DM.2.01 - Terms of Service
DM.4.01 - Encryption of Data in Transit
DM.7.03 - Data Retention and Disposal Policy
IAM.1.01 - Logical Access Provisioning
IAM.1.02 - Logical Access De-Provisioning
IAM.1.04 - Logical Access Review
IAM.1.05 - Transfers: Access De-Provisioning
IAM.1.06 - Shared Logical Accounts
IAM.1.08 - New Access Provisioning
IAM.2.01 - Unique Identifiers
IAM.2.02 - Password Authentication
IAM.2.03 - Multi-factor Authentication
IAM.3.02 - Source Code Security
IAM.4.01 - Remote Connections
IAM.6.01 - Key Repository Access
IR.1.01 - Incident Response Plan
IR.1.03 - Incident response
IR.1.04 - Insurance Policy
IR.2.02 - Incident Reporting
NO.1.01 - Network Policy Enforcement Points
PR.1.01 - Background Checks
RM.1.01 - Risk Assessment
RM.1.02 - Continuous Monitoring
Security Compliance
RM.1.04 - Service Risk Rating Assignment
RM.1.05 - Risk Management Policy
RM.3.01 - Remediation Tracking
SDM.1.01 - System Documentation
SG.1.01 - Policy and Standard Review
SG.2.01 - Information Security Program Content
SG.5.03 - Security Roles and Responsibilities
SG.5.06 - Board of Director Bylaws
SG.5.07 - Board of Directors Security Program Content
SLC.1.01 - Service Lifecycle Workflow
SLC.2.01 - Source Code Management
SYS.1.01 - Audit Logging
SYS.2.01 - Security Monitoring Alert Criteria
SYS.2.07 - System Security Monitoring
TPM.1.01 - Third Party Assurance Review
TPM.1.02 - Vendor Risk Management
TRN.1.01 - General Security Awareness Training
TRN.1.02 - Code of Conduct Training
VUL.1.01 - Vulnerability Scans
VUL.1.03 - Approved Scanning Vendor
VUL.2.01 - Application & Infrastructure Penetration Testing
VUL.3.01 - Infrastructure Patch Management
VUL.3.02 - End of Life Software
VUL.4.01 - Enterprise Protection
VUL.5.01 - Code Security Check
VUL.6.01 - External Information Security Inquiries
VPAT Version 2.3
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RM.1.02 - Continuous Monitoring

Control Statement

IllumiDesk established common controls framework is evaluated for design and operating effectiveness no less than annually. Corrective actions related to identified deficiencies are tracked to resolution.

Context

IllumiDesk's controls aim to protect the confidentiality, integrity, and availability of financial, customer, IllumiDesk team-member, and partner data and the service provided to them. To ensure the controls remain current and relevant, and they're both being used in the way they were intended and have the expected impact, they should be regularly evaluated and improved when necessary.

Scope

This control applies to all controls in the IllumiDesk Control Framework (GCF).

Ownership

  • Control Owner: Security Compliance
  • Process owner(s):
    • Security Compliance: 100%

Guidance

The design and operating effectiveness of GCF controls can be evaluated as part of a gap analysis. A gap analysis can identify areas where the design of a control is insufficient to satisfy the control objectives and any findings can be preliminarily validated through control testing. Further control testing may then be performed by the Internal Audit team. This control can be tested by verifying the documented gap analysis process is used and that a gap analysis was performed.

Additional control information and project tracking

Non-public information relating to this security control as well as links to the work associated with various phases of project work can be found in the Continuous Monitoring control issue.
Examples of evidence an auditor might request to satisfy this control:
  • A documented process to test the design and operating effectiveness of internal controls through a gap analysis
  • The gap analysis project description or formal project charter
  • Sample issue boards used in the gap analysis project
  • Sample gap analysis issues

Policy Reference

  • Security Compliance Gap Analysis

Framework Mapping

  • SOC2 CC
    • CC1.2
    • CC3.2
    • CC3.4
    • CC4.1
    • CC4.2
    • CC5.1
    • CC5.2
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RM.1.01 - Risk Assessment
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Security Compliance
Last modified 2yr ago
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Contents
Control Statement
Context
Scope
Ownership
Guidance
Additional control information and project tracking
Policy Reference
Framework Mapping