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Trust Services Principles

Solutions for companies that provide Service Organization Controls reports

Service Organization Controls (SOC) reports are an effective way for companies to provide assurance to their customers and prospects about the security, availability, confidentiality, integrity, and/or privacy of the systems they offer. SOC 2 and SOC 3 reports are popular with Software-as-a-Service (SaaS) providers and any company with access to its customers’ critical systems and data.

Servergraph Trust Services

Rocket® Servergraph helps an organization satisfy criteria related to data backup and availability, with reporting capabilities to provide the evidence you need for a successful audit. Relevant criteria, and the capabilities Rocket Servergraph offers to achieve each criterion, are listed below.

Relevant criteria and capabilities

Trust Services Criteria

Rocket Servergraph Capabilities

CC5.1

Logical access security software, infrastructure, and architectures have been implemented to support (1) identification and authentication of authorized users; (2) restriction of authorized user access to system components, or portions thereof, authorized by management, including hardware, data, software, mobile devices, output, and offline elements; and (3) prevention and detection of unauthorized access.

Servergraph supports unique user IDs for all individuals accessing the system, and uses LDAP integration with Active Directory credentials.

Detailed, customizable permissions can be configured for each user to support the rule of least privilege and segregation of duties.

Servergraph is agentless and only requires a read-only service account to operate, preventing unintentional or unauthorized modification of network systems and data.

CC5.2

New internal and external system users are registered and authorized prior to being issued system credentials, and granted the ability to access the system. User system credentials are removed when user access is no longer authorized.

System administration is performed through the separate administration client, with access restricted to designated administrative users.

CC5.3

Internal and external system users are identified and authenticated when accessing the system components (for example, infrastructure, software, and data).

Passwords are required for all users attempting to log into the system. Local credentials are stored in encrypted hash format.

Servergraph offers LDAP integration with Active Directory credentials, inheriting your organization’s network-level authentication requirements.

CC5.4

Access to data, software, functions, and other IT resources is authorized and is modified or removed based on roles, responsibilities, or the system design and changes to them.

Detailed, customizable permissions can be configured for each user to support the rule of least privilege and segregation of duties.

CC5.5

Physical access to facilities housing the system (for example, data centers, backup media storage, and other sensitive locations as well as sensitive system components within those locations) is restricted to authorized personnel.

Systems are installed on premises, so your organization can implement physical and environmental controls as with all other computing equipment.

CC5.6

Logical access security measures have been implemented to protect against security, availability, processing integrity, or confidentiality threats from sources outside the boundaries of the system.

Systems are installed on premises, so your organization's perimeter network security will cover Servergraph systems.

CC5.7

The transmission, movement, and removal of information is restricted to authorised users and processes, and is protected during transmission, movement, or removal enabling the entity to meet its commitments and requirements as they relate to security, availability, processing integrity, or confidentiality.

Users access the web-based Servergraph application using encrypted HTTPS sessions.

A1.1

Current processing capacity and usage are maintained, monitored, and evaluated to manage capacity demand and to enable the implementation of additional capacity to help meet availability commitments and requirements.

Servergraph offers dashboards that let users monitor the status of your backup systems in real time.

A1.2

Environmental protections, software, data backup processes, and recovery infrastructure are designed, developed, implemented, operated, maintained, and monitored to meet availability commitments and requirements.

Systems are installed on premises, so your organization can implement physical and environmental controls as with all other computing equipment.

Servergraph collects information from backup software, hardware, and processes in your environment to document that data backups are operating in accordance with your organizational policies.

Traps, reports, and alerts are customizable to capture relevant information for all of your backup control requirements.

Reports and alerts can be automatically distributed to any individuals, supporting segregation of duties and facilitating review and monitoring processes.

Backup collection logs and reports are retained within Servergraph for a fully configurable duration to maintain historical evidence.

The Server Monitor feature shows real-time statistics and alerts for backup systems, such as storage utilization and disk capacity.

PI1.4

Data is stored and maintained completely and accurately for its specified life span in accordance with processing integrity commitments and requirements.

Servergraph collects information from backup software, hardware, and processes in your environment to document that data backups are operating in accordance with your organizational policies.

Traps, reports, and alerts are customizable to capture relevant information for all of your backup control requirements, including processing errors.

Backup collection logs and reports are retained within Servergraph for a fully configurable duration to maintain historical evidence.

C1.2

Confidential information within the boundaries of the system is protected against unauthorized access, use, and disclosure during input, processing, retention, output, and disposition in accordance with confidentiality requirements.

Detailed, customizable permissions can be configured for each user to support the rule of least privilege and segregation of duties.
Aldon Trust Services

Rocket® Aldon Lifecycle Manager (LM) has robust security controls available to enable a company to design and implement controls to achieve the Trust Services Principles and their associated criteria. Relevant criteria, and the capabilities Lifecycle Manager offers to achieve each criterion, are listed on the following pages.

 

 

Relevant criteria and capabilities

Trust Services Criteria

Rocket Aldon Lifecycle Manager Capabilities

CC5.1

Logical access security software, infrastructure, and architectures have been implemented to support (1) identification and authentication of authorized users; (2) restriction of authorized user access to system components, or portions thereof, authorized by management, including hardware, data, software, mobile devices, output, and offline elements; and (3) prevention and detection of unauthorized access.

LM and its associated modules (LMi, LMe, Community Manager (CM), and Security Server) support unique user IDs for all individuals accessing the systems.

Passwords are required for users to access each system. LMi also supports integration with IBM i user credentials, and Community Manager supports LDAP integration with Active Directory credentials.

Detailed, customizable role-based access levels let an organization define the exact capabilities of each system user. Permissions are granular to support any organization’s business needs according to the rule of least privilege and segregation of duties.

Reports are available showing all users with their associated access capabilities.

CC5.2

New internal and external system users are registered and authorized prior to being issued system credentials, and granted the ability to access the system. User system credentials are removed when user access is no longer authorized.

System administration is performed through the separate Security Server module, with access restricted to designated administrative users.

The Community Manager module supports automated, system-driven workflows that may include access request, authorization, and provisioning processes.

Workflows can be assigned to Security Service Manager administrators for ALM, as well as administrators for any other system in use at an organization.

The Community Manager module can also support workflows for termination and offboarding processes that include the removal of system access that is no longer needed.

Workflows can be assigned to Security Service Manager administrators for ALM, as well as administrators for any other system in use at an organization.

Reports are available showing all administrative activity performed within the system, including the modification of user access and roles.

 

CC5.3

Implement a security awareness and training program for all members of its workforce (including management).

Passwords are required for all users attempting to log into the systems. Local credentials are stored in encrypted hash format on the Security Server service.

LMi integrates with IBM i credentials, and CM offers LDAP integration with Active Directory credentials.

CC5.4

Access to data, software, functions, and other IT resources is authorized and is modified or removed based on roles, responsibilities, or the system design and changes to them.

LM users are assigned to role-based access levels for each development project. Administration of users and their roles is performed through the separate Security Server module.

Roles are customizable to meet an organization’s specific controls requirements.

CC5.5

Physical access to facilities housing the system (for example, data centers, backup media storage, and other sensitive locations as well as sensitive system components within those locations) is restricted to authorized personnel.

Systems are installed on premises, and the organization can implement physical and environmental controls as with all other computing equipment.

CC5.6

Logical access security measures have been implemented to protect against security, availability, processing integrity, or confidentiality threats from sources outside the boundaries of the system.

Systems are installed on premises, so the organization’s perimeter network security will cover LM systems.

CC5.7

The transmission, movement, and removal of information is restricted to authorized users and processes, and is protected during transmission, movement, or removal enabling the entity to meet its commitments and requirements as they relate to security, availability, processing integrity, or confidentiality.
Users access the web-based LMe, Security Server, and CM systems using encrypted HTTPS sessions. LMi utilizes encrypted SSH sessions.

All data in transit—including code being checked in or out, or moved to new environments—is encrypted.

CC7.4

Changes to system components are authorized, designed, developed, configured, documented, tested, approved, and implemented in accordance with security, availability, processing integrity, or confidentiality commitments and requirements.

CM supports workflows for changes and development activities such as requests, approvals, testing, acceptance, and any other stages required by an organization’s policies.

LM supports multiple development environments that are customizable by the organization, such as development, test, staging, and production.

Access for individual users to access, modify, or approve code can be assigned for specific projects, release versions, and environments. Developers can be restricted from making changes to software in testing or production. The ability to migrate between development, test, and production environments can also be restricted to appropriately segregated users.

All actions within LM and its associated modules, including code changes and promotions, are fully logged and reportable.

Changes made to code are highlighted by the Harmonizer module, which supports formal, independent reviews of code changes before promotion to ensure that changes are in accordance with an approved work order.

Emergency changes can be allowed, but this requires approval of a retroactive merge to the development environment.

A1.2

Environmental protections, software, data backup processes, and recovery infrastructure are designed, developed, implemented, operated, maintained, and monitored to meet availability commitments and requirements.

Systems are installed on premises, and the organization can implement physical and environmental controls as with all other computing equipment.

PI1.6

Modification of data is authorized, using authorized procedures in accordance with processing integrity commitments and requirements.

Access to modify data is restricted to users specifically authorized within that development release and environment.

The Harmonizer module highlights all changes made to code, allowing the organization to validate that all changes were made in accordance with an approved work order.

C1.1

Confidential information is protected during the system design, development, testing, implementation, and change processes in accordance with confidentiality commitments and requirements.

User access to various environments, such as development, testing, staging, or production, can be individually restricted.

C1.2

Confidential information within the boundaries of the system is protected against unauthorized access, use, and disclosure during input, processing, retention, output, and disposition in accordance with confidentiality requirements.

Role-based access levels define each user’s specific capabilities for accessing and/or modifying data within the system.

All actions performed within the system, including accessing or modifying data, are logged and auditable.

 

 

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