5.1 Security governance
📘CompTIA Security+ (SY0-701)
When we talk about external security governance, we mean rules and requirements that come from outside an organization. These are things a business must follow to protect information, systems, and data. Understanding these is crucial for the exam.
External governance is usually categorized by regulatory, legal, industry-specific, and geographic scope.
1. Regulatory Requirements
- Definition: Regulations are official rules set by governments or regulatory bodies that organizations must follow.
- Purpose: Ensure organizations protect sensitive data and operate safely.
- Examples in IT:
- HIPAA (Health Insurance Portability and Accountability Act): Requires healthcare organizations to secure patient data. IT teams must implement encryption, access controls, and audit logging for Electronic Health Records (EHR).
- PCI DSS (Payment Card Industry Data Security Standard): Requires companies handling credit card information to follow strict controls such as network segmentation, regular vulnerability scanning, and encryption.
- GDPR (General Data Protection Regulation, EU): Protects personal data for EU citizens. Organizations must implement data minimization, consent tracking, and breach notification processes.
Key Exam Tip: Know the purpose of each regulation and examples of IT controls used to comply.
2. Legal Requirements
- Definition: Laws that organizations must follow to avoid fines or lawsuits.
- Purpose: Protect privacy, intellectual property, and public safety.
- Examples in IT:
- Data breach notification laws: Many countries require companies to report breaches within a certain timeframe. IT teams need to have monitoring and incident response procedures.
- Intellectual property laws: Software licensing must be managed to prevent illegal copying. IT departments may use software asset management tools to track licenses.
- Cybercrime laws: Organizations must comply with laws preventing hacking, malware distribution, or unauthorized data access.
Key Exam Tip: Legal requirements are enforceable by courts; non-compliance can lead to fines or criminal charges.
3. Industry Standards
- Definition: Guidelines created by industry groups or associations to improve security practices.
- Purpose: Promote consistency and best practices even if not legally required.
- Examples in IT:
- ISO/IEC 27001: Framework for an Information Security Management System (ISMS). IT teams implement policies, risk assessments, and continuous monitoring.
- NIST Cybersecurity Framework: Offers standards for identifying, protecting, detecting, responding, and recovering from cyber threats. IT departments use it to structure security programs.
- COBIT: Framework for IT governance and management. Helps ensure IT aligns with business objectives and compliance needs.
Key Exam Tip: Industry standards are often voluntary but widely recognized and improve security posture.
4. Local/Regional Regulations
- Definition: Laws and rules that apply to a specific city, state, or region.
- Purpose: Protect citizens’ data and organizations in a particular geographic area.
- Examples in IT:
- California Consumer Privacy Act (CCPA): Gives California residents rights over their personal data. IT teams may implement tools to allow data access requests or deletion.
- New York SHIELD Act: Requires businesses to secure private data for New York residents, often leading to encryption, access controls, and monitoring.
Key Exam Tip: Know that some regulations only apply in certain areas, and global organizations must consider local compliance for each region they operate in.
5. National Regulations
- Definition: Rules set by a country that apply to all organizations within its borders.
- Purpose: Ensure national security, economic stability, and personal data protection.
- Examples in IT:
- Federal Information Security Modernization Act (FISMA, USA): Requires federal agencies and contractors to secure information systems. IT teams implement risk assessments, security controls, and audits.
- Personal Information Protection and Electronic Documents Act (PIPEDA, Canada): Governs how organizations collect, use, and disclose personal data. IT teams need encryption, access management, and consent mechanisms.
6. Global Regulations
- Definition: Rules that affect organizations operating across multiple countries.
- Purpose: Ensure international operations meet data protection and security standards.
- Examples in IT:
- GDPR (already mentioned): Applies to any company handling EU citizens’ data, regardless of where the company is located.
- ISO/IEC 27001: Recognized worldwide as an international security standard. Multinational IT teams use it to standardize security practices across offices.
- Cross-border data transfer laws: Organizations must use secure transfer mechanisms (like encryption or standard contractual clauses) when moving data internationally.
Key Exam Tip: Global compliance often requires coordination between IT, legal, and management teams to ensure all rules are followed.
How IT Teams Apply External Security Governance
- Compliance audits: Check if systems meet regulations and standards.
- Policies & procedures: Create internal rules that reflect external laws (e.g., data retention, encryption requirements).
- Technical controls: Implement access control, encryption, logging, and monitoring to meet external requirements.
- Training & awareness: Staff must know regulations affecting their roles (e.g., how to handle sensitive customer data).
Exam-Focused Summary
| Category | Definition | IT Example | Key Tip |
|---|---|---|---|
| Regulatory | Government-mandated rules | HIPAA, PCI DSS, GDPR | Mandatory, often audited |
| Legal | Laws enforceable in court | Data breach notification, IP laws | Non-compliance = fines or legal action |
| Industry | Voluntary best practices | ISO 27001, NIST, COBIT | Enhances security posture |
| Local/Regional | Rules for a city or state | CCPA, NY SHIELD Act | May only apply in specific regions |
| National | Country-wide regulations | FISMA, PIPEDA | Must comply for national operations |
| Global | International rules | GDPR, ISO 27001 | Coordinate across offices/countries |
✅ Tips for Students:
- Focus on what each category means, why it exists, and how IT applies it.
- Be familiar with examples like GDPR, HIPAA, PCI DSS, ISO 27001.
- Remember the difference: Regulatory/legal = required, Industry = recommended, Local/National/Global = geographic scope.
