The UAE Information Assurance Regulation is 247 pages long.
It would take anyone months to go through and develop a plan based on it – on top of that, not all requirements are applicable to all organizations in the Gulf.
We have attempted to generate a simplified checklist for the regulation document that when printed or otherwise converted into a set of tasks in any project management software, would allow you to work with it easier.
As always, if you need help implementing any of the items on that checklist, contact us!
1. Information Security Governance
1.1 Strategy and Planning
Define and document the information security strategy in alignment with entity objectives.
Develop information security plans for each major service to identify and mitigate risks.
Assign responsibilities for information security within the entity.
Establish a governance framework for information security management.
Implement a performance evaluation and continuous improvement process for information security.
1.2 Information Security Policy
Establish an information security policy aligned with business needs and legal requirements.
Communicate the policy to all stakeholders, including employees and external parties.
Review and update the policy regularly or in response to significant changes.
Establish supporting policies (e.g., acceptable use, data classification, etc.) and ensure they are reviewed and updated periodically.
2. Risk Management
2.1 Risk-Based Approach
Establish the context for risk management, including scope, objectives, and criteria.
Conduct a comprehensive risk assessment to identify threats and vulnerabilities.
Estimate the potential impacts of identified risks on the entity’s information assets.
Evaluate risks and determine their acceptability based on established criteria.
Develop and implement risk treatment plans, selecting appropriate controls to mitigate risks.
Accept residual risks after implementing controls, ensuring management approval.
Monitor and review risks regularly to ensure ongoing effectiveness of controls.
Maintain communication and consultation with stakeholders throughout the risk management process.
3. Security Controls
3.1 Management Controls
M1: Strategy and Planning
Ensure top management demonstrates leadership and commitment to information security.
Establish an Information Security Committee with defined roles and responsibilities.
Appoint an Information Security Manager to oversee the security program.
Ensure all management-level roles related to information security are clearly defined and communicated.
Document and maintain a risk management process that aligns with business objectives.
M2: Information Security Risk Management
Establish a formal risk management framework for identifying, assessing, and managing information security risks.
Conduct regular risk assessments to identify potential threats to information assets.
Implement controls based on the risk assessment outcomes, ensuring adequate mitigation.
Review and update the risk management process periodically to reflect changes in the threat landscape.
M3: Awareness and Training
Develop an information security awareness and training program for all employees.
Ensure regular training sessions are conducted to update employees on security policies and procedures.
Monitor and evaluate the effectiveness of training programs, making adjustments as needed.
M4: Human Resources Security
Implement security measures during the recruitment process, including background checks.
Define and communicate security responsibilities to all employees upon hiring.
Establish procedures for managing security during employee transitions (e.g., role changes, termination).
M5: Compliance
Identify and document all legal, regulatory, and contractual requirements related to information security.
Implement processes to ensure compliance with applicable laws and regulations.
Conduct regular audits to assess compliance with internal and external requirements.
Establish a process for monitoring and reporting compliance issues to management.
M6: Performance Evaluation and Improvement
Define metrics for measuring the effectiveness of security controls.
Regularly review performance data to identify areas for improvement.
Implement corrective actions based on performance evaluations and audit findings.
3.2 Technical Controls
T1: Asset Management
Identify and classify all information assets based on their value and sensitivity.
Implement appropriate security controls to protect information assets from unauthorized access.
Maintain an up-to-date inventory of information assets, including their owners and classification levels.
Ensure regular audits of information assets to verify their security status.
T2: Physical and Environmental Security
Implement physical security controls to protect information systems from unauthorized access and environmental threats.
Secure critical information systems in controlled environments with restricted access.
Monitor and control physical access to information systems, ensuring that only authorized personnel are granted access.
T3: Operations Management
Develop and implement operational procedures to ensure the secure management of information systems.
Establish processes for secure backup, media handling, and disposal of information.
Monitor and manage system operations to detect and prevent security incidents.
Implement controls to protect against malware, unauthorized software, and other threats.
T4: Communications Security
Implement network security controls to protect information in transit.
Secure communication channels to prevent unauthorized access and data breaches.
Monitor network traffic for signs of unauthorized activity and respond to incidents promptly.
T5: Access Control
Establish and enforce access control policies to manage user access to information systems.
Implement multi-factor authentication for sensitive systems and data.
Regularly review and update access permissions based on changes in roles and responsibilities.
Monitor access logs and respond to unauthorized access attempts.
T6: Third-Party Security
Conduct security assessments of third-party providers before granting them access to information assets.
Ensure third parties implement adequate security measures to protect entity information.
Include security requirements in contracts with third-party providers.
Regularly audit third-party security practices and compliance with contractual obligations.
T7: Information Systems Acquisition, Development, and Maintenance
Implement secure development practices to prevent unauthorized modifications to information systems.
Establish a cryptographic control policy for protecting sensitive data.
Manage technical vulnerabilities by applying patches and updates in a timely manner.
T8: Information Security Incident Management
Establish procedures for reporting and managing information security incidents.
Collect and analyze evidence from incidents to identify root causes and prevent recurrence.
Implement an incident response plan, including roles and responsibilities for handling incidents.
T9: Information Systems Continuity Management
Develop and implement a business continuity and disaster recovery plan.
Ensure regular testing of the continuity plan to validate its effectiveness.
Update the continuity plan as needed to reflect changes in the operational environment.
4. Compliance and Monitoring
4.1 Compliance Reporting
Regularly update the relevant regulator on the progress of UAE IA Regulation implementation.
Conduct self-assessments to evaluate compliance with security controls.
Facilitate external audits and compliance testing as required by the TRA.
Maintain records of compliance activities, including audit results and corrective actions.
4.2 Documentation and Record-Keeping
Maintain comprehensive documentation of all security controls and their implementation.
Ensure documents are reviewed, updated, and accessible to relevant parties.
Control the distribution and disposal of sensitive documents according to their classification.
Implement a document management system to track and manage the lifecycle of all security-related documents.
4.3 Performance Monitoring
Establish a performance monitoring system to track the effectiveness of security controls.
Regularly review performance data and make adjustments to controls as needed.
Report performance metrics to management and relevant stakeholders.
