Compliance Matrix

Informative Appendix (non-normative)

This appendix is part of the OWASP Autonomous Penetration Testing Standard (APTS) and provides a cross-reference mapping of APTS requirements to major regulatory frameworks and standards. Use this matrix to understand how APTS controls align with external compliance frameworks. It is intended for both external reviewers mapping a vendor or service-provider platform against known frameworks, and enterprise security teams running an internal autonomous pentest platform who need to position APTS conformance against their existing governance program (SOC 2, ISO 27001, NIST CSF, and so on). Note: This mapping identifies areas of overlap and does not constitute legal advice or guarantee compliance with any external regulation. APTS requirements are often more specific to autonomous pentesting than external frameworks; compliance with APTS does not automatically mean compliance with mapped frameworks, and vice versa.

Note: Mappings in this matrix identify areas where APTS requirements address concerns within external frameworks. A mapping does NOT constitute full compliance with the external framework. Organizations should perform their own compliance assessments for each applicable framework independently of APTS.

Overview

This appendix maps APTS requirements to nine external frameworks, in the order they appear below:

• NIST Cybersecurity Framework (CSF) 2.0 - Risk-based cybersecurity framework
• ISO/IEC 27001:2022 - International information security standard
• SOC 2 Trust Services Criteria (2017, with 2022 revised points of focus) - Trust services for service organizations
• NIST AI RMF 1.0 - AI risk management framework
• PCI DSS 4.0.1 - Payment card industry data security standard
• GDPR - EU General Data Protection Regulation
• NIST SP 800-53 Rev. 5 - Federal information security controls
• HIPAA Security Rule (45 CFR Part 164) - Healthcare data security requirements
• CIS Critical Security Controls v8 - Foundational security practices

The first four frameworks are mapped comprehensively across all domains. PCI DSS 4.0.1, GDPR, and HIPAA mappings apply primarily to data-handling, privacy, and supply chain requirements. NIST SP 800-53, CIS Controls, and other frameworks address specific governance and technical control areas.

Each framework requires specific controls. The standard's requirements often address areas relevant to multiple framework controls simultaneously.

1. NIST Cybersecurity Framework 2.0 Mapping

NIST CSF 2.0 organizes controls into six Functions and multiple Categories. APTS addresses categories across all functions.

GOVERN Function

GV.RR-01: Organizational Leadership and Governance Structure

• Related: Scope Enforcement (Scope Definition), Safety Controls
• Requirements: Document formal governance structure for autonomous pentesting platform operations
• Controls:
  • Establish APTS charter defining organizational roles, responsibilities, and approval authorities (APTS-HO-004)
  • Perform impact classification for every pentest action before execution using multi-tier system (APTS-SC-001)
  • Document cumulative risk scoring algorithm with automated escalation thresholds (APTS-SC-007)

GV.RR-02: Roles, Responsibilities, and Authorities

• Related: Human Oversight (Governance), Safety Controls
• Requirements: Document Authority Delegation Matrix specifying approval authority by role and action type
• Controls:
  • Maintain written Authority Delegation Matrix specifying which personnel can approve actions at which autonomy levels (APTS-HO-004)
  • Require mandatory human approval gates for all medium and high-impact actions with defined SLA response windows (APTS-HO-003)
  • Log all approval decisions with immutable audit trail including timestamp, approver identity, and rationale (APTS-HO-005)

GV.RM-01: Risk Management Strategy

• Related: Human Oversight (Risk Assessment), Safety Controls
• Requirements: Implement formal risk scoring and escalation controls for autonomous pentesting actions
• Controls:
  • Score every pentest action against Confidentiality/Integrity/Availability dimensions with minimum dimension determining escalation level (APTS-SC-001)
  • Implement graduated responsibility escalation with automatic actions, approval requirements, and prohibited thresholds (APTS-SC-006)
  • Track cumulative risk score across entire engagement with configurable decay and reset windows (APTS-SC-007)

GV.SC-01: Cybersecurity Supply Chain Risk Management

• Related: Supply Chain Trust (Third-Party Dependencies)
• Requirements: Establish vetting process and maintain inventory of all third-party dependencies
• Controls:
  • Document AI provider selection and vetting process assessing security posture, data protection, reliability, and compliance (APTS-TP-001)
  • Maintain complete inventory of software dependencies and third-party components with version numbers and vulnerability tracking (APTS-TP-006)
  • Perform continuous vulnerability monitoring on all dependencies and implement update strategy balancing security with testing requirements (APTS-TP-006)

IDENTIFY Function

ID.AM-01: Asset Inventory

• Related: Scope Enforcement (Scope Definition)
• Requirements: Ingest machine-parseable scope with complete target inventory and asset criticality classifications
• Controls:
  • Ingest and validate machine-parseable Rules of Engagement containing target lists, temporal boundaries, and action restrictions (APTS-SE-001)
  • Validate all IP ranges using CIDR notation, detecting overlaps and maintaining awareness of reserved IP space (APTS-SE-002)
  • Classify each asset by criticality level (Critical, Production, Non-Production) with corresponding action restrictions enforced at runtime (APTS-SE-005)

ID.AM-04: Supplier-Provided Services Inventory

• Related: Third-Party & Supply Chain Trust
• Requirements: Maintain an inventory of supplier-provided services and external dependencies
• Controls:
  • Document all AI provider dependencies with vetting criteria including data protection and contractual terms (APTS-TP-001)
  • Maintain Software Bill of Materials (SBOM) including versions and vulnerability tracking for all dependencies (APTS-TP-006)
  • Perform risk assessment for each dependency evaluated against criticality of its use in operations (APTS-TP-006)

ID.RA-01: Vulnerability Identification

• Related: Graduated Autonomy, Auditability (Vulnerability Assessment & Exploitation)
• Requirements: Identify vulnerabilities through automated scanning with findings confidence scoring
• Controls:
  • Maintain authoritative mapping of pentest techniques with pre-classified impact levels, CIA scores, and reversibility status (APTS-SC-001)
  • Log all vulnerability assessment findings as decision events with confidence scores and alternative actions evaluated (APTS-AR-004)
  • Record vulnerability metadata including type, severity, evidence hashes, and CVE references in structured log format (APTS-AR-001)

ID.AM-03: Authorized Communication and Scope Boundary Maintenance

• Related: Scope Enforcement (Scope Definition and Approval)
• Requirements: Maintain authoritative representations of authorized testing scope and detect boundary drift
• Controls:
  • Document domain scope specifications with explicit wildcard policies distinguishing exact domains, all subdomains, and single-level wildcards (APTS-SE-003)
  • Perform continuous DNS monitoring and cloud boundary validation to detect scope drift before unauthorized testing (APTS-SE-007)
  • Maintain hard deny list of assets that cannot be tested regardless of scope (production databases, critical infrastructure, PII datastores) enforced before all scope checks (APTS-SE-009)

PROTECT Function

PR.AA-01: Identity Management

• Related: Auditability (Data Protection) + Supply Chain Trust (Data Handling)
• Requirements: Implement role-based access control with multi-tenancy isolation
• Controls:
  • Define role-based access control for autonomous system operator functions with delegation of authority by action type (APTS-HO-004)
  • Implement multi-tenancy isolation controlling data access between engagements with row-level security and file system permissions (APTS-TP-017)
  • Restrict operator access to engagement-specific scope, findings, and data with mandatory access control enforcement (APTS-TP-017)

PR.AA-05: Access Enforcement

• Related: Supply Chain Trust (Multi-Tenancy Data Isolation)
• Requirements: Enforce access controls at database, file system, and network layers
• Controls:
  • Implement row-level security controls ensuring operators cannot access data outside assigned engagements (APTS-TP-017)
  • Enforce file system permissions with restricted access to engagement findings and evidence (APTS-TP-017)
  • Isolate testing network traffic per engagement with network segmentation and firewall rules (APTS-TP-017)

PR.DS-01: Data Security (classification and minimization before external transmission)

• Related: Auditability (Data Protection) + Supply Chain Trust (Data Handling)
• Requirements: Classify data by sensitivity level and minimize transmission to external providers
• Controls:
  • Establish data classification framework distinguishing Public, Sensitive, Confidential, and Restricted sensitivity levels (APTS-TP-012)
  • Implement data minimization by stripping unnecessary metadata, redacting credentials/API keys, and anonymizing IPs before transmission to providers (APTS-TP-012)
  • Obtain explicit client consent disclosing specific AI providers used, data categories sent, and data retention policies (APTS-TP-012)

PR.DS-02: Data-in-Transit Confidentiality and Integrity

• Related: Supply Chain Trust (Encryption & Data Handling)
• Requirements: Enforce encryption for all data transmitted to external providers
• Controls:
  • Enforce TLS 1.2 minimum (TLS 1.3 preferred) with certificate validation for all API calls to external providers (APTS-TP-003)
  • Implement mutual TLS for service-to-service authentication where supported by providers (APTS-TP-003)
  • Monitor all API usage patterns for anomalies and enforce secure credential storage with rotation schedules (APTS-TP-003)

PR.DS-01: Data-at-Rest Protection (encryption, key management, secure deletion)

• Related: Supply Chain Trust (Encryption & Data Handling)
• Requirements: Encrypt sensitive data at rest with documented key management and deletion procedures
• Controls:
  • Encrypt engagement data at rest including findings, evidence, and credentials using documented encryption standards (APTS-TP-014)
  • Implement key management controls with separate key storage from encrypted data and key rotation procedures (APTS-TP-014)
  • Define and test secure deletion procedures for sensitive data with verification that old data cannot be recovered (APTS-TP-014)

PR.PS-01: Configuration and Security Policy Management

• Related: Scope Enforcement, Safety Controls, Human Oversight (Governance and Scope)
• Requirements: Document APTS security policies, Rules of Engagement, and approval workflows
• Controls:
  • Establish written APTS charter defining organizational context, roles, and decision authorities (APTS-HO-004)
  • Document Rules of Engagement in machine-parseable format specifying scope, temporal boundaries, and action restrictions (APTS-SE-001)
  • Implement scope approval workflows enforcing pre-action scope validation for all network actions before execution (APTS-SE-006)

DETECT Function

DE.AE-02: Adverse Event Analysis

• Related: Human Oversight + Supply Chain Trust (Risk Assessment & Monitoring)
• Requirements: Detect vulnerabilities and anomalies with confidence scoring and false positive procedures
• Controls:
  • Implement anomaly detection identifying deviations from baseline for testing patterns, decision-making patterns, and action patterns (APTS-SC-010)
  • Score all anomalies with confidence levels and route according to documented escalation policy (APTS-SC-010)
  • Generate decision event logs for all detection findings with evidence hashes and vulnerability metadata (APTS-AR-004)

DE.CM-01: Network Monitoring

• Related: Supply Chain Trust (Cloud Dependencies & Monitoring)
• Requirements: Monitor target system health and detect impacts during testing
• Controls:
  • Continuously monitor target system health with response time measurement and service availability verification (APTS-SC-010)
  • Establish baseline metrics within first 5 health check cycles and detect degradation exceeding 200% of baseline (APTS-SC-010)
  • Implement circuit breaker logic automatically suspending testing on sustained degradation with cooldown and probe-based recovery (APTS-SC-012)

DE.CM-03: Personnel and Data Activity Monitoring

• Related: Supply Chain Trust (Data Handling)
• Requirements: Monitor personnel and data activity for unauthorized access and implement breach detection mechanisms
• Controls:
  • Log all data access with structured event logging including timestamp, source, target, and data accessed (APTS-AR-001)
  • Implement breach detection mechanisms monitoring for unauthorized data exfiltration patterns (APTS-TP-017)
  • Establish DLP monitoring rules specific to regulated data types (PHI, PCI, PII) with automatic escalation (APTS-SC-002)

DE.CM-06: External Service Provider Monitoring

• Related: Supply Chain Trust (Third-Party Dependencies)
• Requirements: Monitor provider SLAs and establish incident response for provider failures
• Controls:
  • Continuously monitor provider availability against documented SLAs with automated alerts for failures (APTS-TP-004)
  • Establish documented failover procedures for critical providers with fallback providers identified and tested (APTS-TP-004)
  • Establish incident response procedures for provider breaches with breach notification obligations aligned to regulatory requirements (APTS-TP-005)

RESPOND Function

RS.MA-01: Incident Management Plan Execution

• Related: Safety Controls + Manipulation Resistance (Incident Response) + Supply Chain Trust (Breach Notification)
• Requirements: Execute a documented incident management plan with escalation procedures and team assignments
• Controls:
  • Document platform incident response plan specifying response timelines, communication channels, and recovery procedures (APTS-SC-018)
  • Define escalation procedures routing detected anomalies to human operators with defined SLA notification timelines (APTS-SC-017)
  • Assign incident response team members with documented responsibilities and communication protocols (APTS-SC-018)

RS.MI-01: Incident Mitigation

• Related: Manipulation Resistance (Incident Response)
• Requirements: Classify, investigate, and preserve evidence for all detected incidents
• Controls:
  • Classify incidents with confidence levels and route to appropriate response team per documented escalation policy (APTS-SC-010)
  • Preserve memory dumps, log snapshots, network captures, and process state before any containment procedures (APTS-SC-018)
  • Document incident timeline, root cause, affected systems, remediation steps, and lessons learned in post-incident report (APTS-SC-018)

RS.CO-02: Incident Reporting and Communication

• Related: Safety Controls + Supply Chain Trust (Incident Response & Breach Notification)
• Requirements: Notify operators and customers of incidents within defined SLA timelines
• Controls:
  • Establish Watchdog infrastructure monitoring platform health with independent network and credentials (APTS-SC-017)
  • Notify operators within defined SLA timeframe via multiple channels (messaging, email, dashboard) upon anomaly detection (APTS-SC-017)
  • Notify customers within documented SLA of confirmed incidents including what happened, systems affected, and actions taken (APTS-SC-017)

RECOVER Function

RC.RP-01: Incident Recovery Plan Execution

• Related: Supply Chain Trust (Business Continuity)
• Requirements: Establish disaster recovery procedures with documented RTO and RPO targets
• Controls:
  • Document recovery procedures for each incident containment scenario with defined Recovery Time Objective (RTO) (APTS-SC-018)
  • Execute complete safety control validation after recovery: kill switches, health monitoring, anomaly detection, and rollback procedures (APTS-SC-018)
  • Perform backup and restoration testing to verify recovery procedures function and within RTO targets (APTS-TP-009)

2. ISO/IEC 27001:2022 Mapping

ISO/IEC 27001:2022 contains 93 controls organized into four themes: A.5 Organizational (37 controls), A.6 People (8 controls), A.7 Physical (14 controls), and A.8 Technological (34 controls). Below are key controls addressed by APTS.

A.5: Organizational Controls

A.5.1: Policies for information security

• Controls: Establish APTS charter defining organizational roles and decision authorities (APTS-HO-004); document Rules of Engagement specifying testing scope and boundaries (APTS-SE-001); implement scope approval workflows with pre-action validation (APTS-SE-006)

A.5.2: Information security roles and responsibilities

• Controls: Document Authority Delegation Matrix specifying approval authority by role and action type (APTS-HO-004); implement mandatory approval gates for medium and high-impact actions (APTS-HO-001); maintain immutable decision audit trail (APTS-HO-005)

A.5.7: Threat intelligence

• Controls: Maintain authoritative technique mapping with impact classifications, CIA scores, and reversibility status (APTS-SC-001); log all decision points with confidence scores and alternative actions evaluated (APTS-AR-004); establish baseline for anomaly detection from threat feeds (APTS-SC-010)

A.5.8: Information security in project management

• Controls: Ingest and validate machine-parseable Rules of Engagement with target lists, temporal boundaries, and action restrictions (APTS-SE-001); perform pre-action scope validation for all network actions (APTS-SE-006); continuously monitor for DNS changes and scope drift (APTS-SE-007)

A.5.19: Information security in supplier relationships

• Controls: Document AI provider vetting process assessing security posture, data protection, and compliance (APTS-TP-001); maintain complete inventory of software dependencies and third-party components (APTS-TP-006); perform risk assessment for each dependency (APTS-TP-006)

A.5.20: Addressing information security within supplier agreements

• Controls: Establish SLA requirements for critical providers with minimum 99.5% uptime; include breach notification obligations aligned to regulatory requirements in provider contracts (APTS-TP-004, APTS-TP-005)

A.5.21: Managing information security in the ICT supply chain

• Controls: Document all third-party service dependencies with version numbers and known vulnerabilities in SBOM (APTS-TP-006); maintain alternative providers for critical services (APTS-TP-004)

A.5.22: Monitoring, review and change management of supplier services

• Controls: Continuously monitor provider availability against documented SLAs with automated alerts for failures (APTS-TP-004); establish incident response procedures for provider breaches (APTS-TP-005)

A.5.23: Information security for use of cloud services

• Controls: Establish procedures to respond to provider compromises discovered during active engagements (APTS-TP-005); validate cloud resource boundaries for AWS, Azure, GCP in-scope actions (APTS-SE-007)

A.5.24: Information security incident management planning and preparation

• Controls: Document platform incident response plan with response timelines and communication channels (APTS-SC-018); establish Watchdog infrastructure monitoring with independent network (APTS-SC-017); define explicit termination conditions with detailed logging (APTS-SC-011)

A.5.25: Assessment and decision on information security events

• Controls: Score anomalies with confidence levels and route according to documented escalation policy (APTS-SC-010); classify incidents and perform independent audit log validation before confirming (APTS-SC-017)

A.5.26: Response to information security incidents

• Controls: Execute automatic network isolation and credential rotation upon confirmed incident (APTS-SC-018); preserve evidence on separate secure system before containment (APTS-SC-018); escalate to customers within documented SLA (APTS-SC-017)

A.5.28: Collection of evidence

• Controls: Capture screenshots, log output, and modified file contents before rollback in write-once, tamper-evident storage (APTS-SC-016); preserve memory dump and logs for forensic investigation (APTS-SC-018)

A.5.29: Information security during disruption

• Controls: Establish documented failover procedures for critical providers with fallback providers identified (APTS-TP-004); implement kill switch for immediate halt of all testing with Phase 1 (5 seconds) and Phase 2 (60 seconds) sequencing (APTS-SC-009)

A.5.30: ICT readiness for business continuity

• Controls: Document recovery procedures with defined Recovery Time Objective (RTO) for each incident scenario (APTS-SC-018); perform complete safety control validation after recovery verifying all controls pass (APTS-SC-018)

A.5.31: Legal, statutory, regulatory and contractual requirements

• Controls: Adjust impact classifications for industry-specific regulatory requirements including healthcare (PHI access as Critical) and financial systems (PCI data access as Critical) (APTS-SC-002)

A.5.33: Protection of records

• Controls: Log all events in structured format with cryptographic timestamps and immutability enforcement (APTS-AR-001); maintain append-only log storage with minimum 12-month retention (APTS-AR-005); validate cryptographic signatures on audit log entries (APTS-AR-005)

A.5.34: Privacy and protection of PII

• Controls: Classify data by sensitivity level (Public, Sensitive, Confidential, Restricted) with data minimization before external transmission (APTS-TP-012); detect and redact PII/PHI/PCI data before logging or transmission (APTS-TP-012)

A.5.36: Conformance with policies, rules and standards for information security

• Controls: Enforce temporal scope boundaries with no testing before start_time or after end_time (APTS-SE-008); verify authorized contacts listed in RoE and reachable within 5 minutes (APTS-HO-002)

A.5.37: Documented operating procedures

• Controls: Document all required APTS procedures including Rules of Engagement (APTS-SE-001), incident response (APTS-SC-018), and rollback procedures (APTS-SC-014); maintain operational documentation for scope validation and escalation (APTS-SE-006, APTS-HO-003)

A.6: People Controls

A.6.3: Information security awareness, education and training

• Controls: Provide security training for platform operators covering approval authority, decision delegation, and incident response procedures

A.7: Physical Controls

A.7.1: Physical security perimeters

• Controls: Data center security and facility access controls (organizational responsibility outside the platform's APTS scope)

A.8: Technological Controls

A.8.1: User endpoint devices

• Controls: Enforce Rules of Engagement scope for all client-side agents with hard deny list enforcement (APTS-SE-009)

A.8.2: Privileged access rights

• Controls: Implement multiple independent kill switch mechanisms with operator-initiated, remote, and automatic failsafe halts (APTS-SC-009); require multi-factor authentication for sensitive approval actions

A.8.3: Information access restriction

• Controls: Implement multi-tenancy isolation with row-level security restricting operator access to assigned engagements (APTS-TP-017); enforce least privilege in Authority Delegation Matrix (APTS-HO-004)

A.8.4: Access to source code

• Controls: Document code signing and verification processes for platform integrity; maintain secure source code repositories with access controls

A.8.5: Secure authentication

• Controls: Enforce secure credential storage with never-in-code API keys and documented rotation schedules (APTS-TP-003); implement mutual TLS for service-to-service authentication (APTS-TP-003)

A.8.7: Protection against malware

• Controls: Maintain SBOM with continuous vulnerability monitoring of all dependencies (APTS-TP-006); implement input sanitization preventing target-side content from modifying tool behavior (APTS-MR-002)

A.8.8: Management of technical vulnerabilities

• Controls: Maintain authoritative mapping of pentest techniques with pre-classified impact levels and reversibility status (APTS-SC-001); continuously monitor vulnerability feeds (APTS-TP-006)

A.8.9: Configuration management

• Controls: Store threshold configurations in structured format with schema validation (APTS-SC-008); maintain baseline configurations for scanning tools and impact classification updates

A.8.10: Information deletion

• Controls: Implement secure deletion procedures with verification that data cannot be recovered (APTS-TP-014); provide automated cleanup of all test artifacts with idempotent execution (APTS-SC-016)

A.8.11: Data masking

• Controls: Implement data minimization by stripping metadata, redacting credentials, and anonymizing IPs before transmission (APTS-TP-012); sanitize responses removing instruction-like patterns before processing (APTS-MR-002)

A.8.12: Data leakage prevention

• Controls: Classify data as Public, Sensitive, Confidential, or Restricted with access restrictions enforced by classification (APTS-TP-012); establish DLP monitoring rules for regulated data types (PHI, PCI, PII) (APTS-SC-002)

A.8.15: Logging

• Controls: Log all events in structured format with mandatory fields including timestamp, event type, source, target, and status code (APTS-AR-001); enforce immutable append-only storage with cryptographic signatures (APTS-AR-005)

A.8.16: Monitoring activities

• Controls: Implement anomaly detection identifying deviations from baseline for testing patterns, decision-making patterns, and action patterns (APTS-SC-010); route anomalies by confidence level per documented escalation policy

A.8.20: Networks security

• Controls: Validate all IP ranges using CIDR notation with overlap detection and reserved IP space awareness (APTS-SE-002); monitor for DNS changes and scope drift during engagement (APTS-SE-007)

A.8.21: Security of network services

• Controls: Enforce TLS 1.2 minimum (TLS 1.3 preferred) for all API calls to external providers with certificate validation (APTS-TP-003)

A.8.22: Segregation of networks

• Controls: Implement network isolation controls for multi-tenancy with file system permission enforcement and network segmentation (APTS-TP-017); isolate testing network traffic per engagement

A.8.24: Use of cryptography

• Controls: Encrypt engagement data at rest with documented encryption standards (APTS-TP-014); enforce TLS for data in transit and implement key management with separate key storage (APTS-TP-014)

A.8.25: Secure development life cycle

• Controls: Document secure platform development practices with regular security testing; implement defense-in-depth controls for prompt injection prevention (APTS-MR-001 through APTS-MR-012)

A.8.28: Secure coding

• Controls: Enforce instruction boundary enforcement with cryptographic verification of operator-provided instructions (APTS-MR-001); prevent target-side content from influencing tool behavior

A.8.31: Separation of development, test and production environments

• Controls: Segregate development, test, and production environments with controlled data flow between environments

A.8.32: Change management

• Controls: Implement version pinning for AI models with formal change management and testing before deployment (APTS-TP-002); document configuration changes and deploy within defined windows

A.8.33: Test information

• Controls: Handle test data without exposing production credentials; redact sensitive data from test logs and evidence

A.8.34: Protection of information systems during audit testing

• Controls: Preserve evidence in write-once, tamper-evident storage before any rollback (APTS-SC-016); maintain cryptographically signed audit logs with immutability validation (APTS-AR-005)

3. SOC 2 Trust Services Criteria Mapping (2017 TSC, 2022 revised Points of Focus)

SOC 2 defines five trust services categories, each with specific Trust Services Criteria. Mappings reference the AICPA 2017 Trust Services Criteria as revised with 2022 Points of Focus. The standard addresses all five categories.

Security (CC - Common Criteria)

CC1: Control Environment - integrity, governance structures, and security objectives.

• Controls: Establish APTS charter documenting organizational roles, decision authorities, and security objectives (APTS-HO-004); define Rules of Engagement specifying scope and boundaries (APTS-SE-001)

CC2: Communication and Information - internal and external communication of security responsibilities.

• Controls: Establish organizational governance with CISO oversight and documented Authority Delegation Matrix (APTS-HO-004)

CC3: Risk Assessment - identification and analysis of risks to security objectives.

• Controls: Document Authority Delegation Matrix specifying approval authority by role and action type (APTS-HO-004); implement escalation procedures with defined SLA response windows (APTS-HO-003)

CC4: Monitoring Activities - ongoing evaluation and accountability for control effectiveness.

• Controls: Maintain immutable decision audit trail for all approvals with timestamp, approver identity, and rationale (APTS-HO-005); log all operator activities with structured event format (APTS-AR-001)

CC6: Logical and Physical Access Controls - access provisioning, restriction, and enforcement.

• Controls: Define role-based access control for autonomous system operator functions (APTS-HO-004); enforce multi-tenancy isolation with row-level security restricting access per engagement (APTS-TP-017)

CC7: System Operations - detection and handling of security events and anomalies.

• Controls: Classify data as Public, Sensitive, Confidential, or Restricted with access controls enforced by classification (APTS-TP-012); encrypt engagement data at rest with documented key management (APTS-TP-014)

CC9: Risk Mitigation - mitigation of risks arising from business operations and vendors.

• Controls: Log all events in structured format with timestamps and required fields (APTS-AR-001); maintain audit trails for 12 months minimum with immutability validation (APTS-AR-005)

Availability (A)

A1.1: The entity maintains, monitors, and evaluates current processing capacity and use of system components to manage capacity demand and enable additional capacity.

• Controls: Continuously monitor platform health with heartbeat, resource utilization, and behavioral baselines (APTS-SC-010); establish Watchdog infrastructure monitoring with independent network (APTS-SC-017)

A1.2: The entity authorizes, designs, develops, implements, operates, maintains, and monitors environmental protections, software, data backup processes, and recovery infrastructure to meet its availability objectives.

• Controls: Implement version pinning for AI models with formal change management and testing before deployment (APTS-TP-002); store configuration in structured format with schema validation (APTS-SC-008)

A1.3: The entity tests recovery plan procedures supporting system recovery to meet its availability objectives.

• Controls: Enforce Authority Delegation Matrix with role-based access control (APTS-HO-004); implement multi-tenancy isolation with row-level security (APTS-TP-017)

Processing Integrity (PI)

PI1.1: The entity obtains or generates, uses, and communicates relevant, quality information regarding the objectives related to processing, including definitions of data processed and product and service specifications, to support the use of products and services.

• Controls: Classify data as Public, Sensitive, Confidential, or Restricted with minimization before external transmission (APTS-TP-012); detect and redact PII/PHI/PCI data before logging (APTS-TP-012)

PI1.2: The entity implements policies and procedures over system inputs, including controls over completeness and accuracy, to result in products, services, and reporting that meet the entity's objectives.

• Controls: Validate all target-side responses and sanitize before processing by LLM (APTS-MR-002); implement defense-in-depth controls preventing prompt injection (APTS-MR-001 through APTS-MR-012)

PI1.3: The entity implements policies and procedures over system processing to result in products, services, and reporting that meet the entity's objectives.

• Controls: Document data handling procedures with explicit data minimization, redaction, and retention policies (APTS-TP-012); define validation procedures for all scope decisions (APTS-SE-006)

PI1.4: The entity implements policies and procedures to make available or deliver output completely, accurately, and timely in accordance with specifications to meet the entity's objectives.

• Controls: Implement continuous vulnerability monitoring of dependencies (APTS-TP-006); monitor target system health with degradation detection (APTS-SC-010)

PI1.5: The entity implements policies and procedures to store inputs, items in processing, and outputs completely, accurately, and timely in accordance with system specifications to meet the entity's objectives.

• Controls: Establish infrastructure segregation with separate storage for health monitoring data and audit logs (APTS-SC-010)

Confidentiality (C)

C1.1: The entity identifies and maintains confidential information to meet the entity's objectives related to confidentiality.

• Controls: Classify data by sensitivity level (Public, Sensitive, Confidential, Restricted) (APTS-TP-012); obtain explicit client consent disclosing AI providers and data categories (APTS-TP-012)

C1.2: The entity disposes of confidential information to meet the entity's objectives related to confidentiality.

• Controls:
  • Access controls (APTS-HO-004)
  • Encryption (APTS-TP-014)
  • Multi-tenancy isolation (APTS-TP-017)

C1.3: The entity authorizes, designs, develops, configures, documents, tests, approves, implements, and maintains technologies to achieve objectives.

• Controls:
  • Encryption technologies
  • Secure deletion (APTS-TP-016)
  • Data protection mechanisms

Privacy (P)

P1.1 / P3.1: The entity provides notice to data subjects about its privacy practices and obtains consent for the collection, use, retention, disclosure, and disposal of personal information.

• Controls: Include data handling disclosures in engagement documents specifying AI provider usage and data categories (APTS-TP-012); obtain written consent before testing regulated data types (APTS-SC-002)

P3.2: The entity obtains explicit consent for sensitive personal information, and obtains and documents consent prior to the collection, use, and sharing of personal information.

• Controls: Document explicit client consent for data handling practices with specific AI providers and data categories (APTS-TP-012); obtain consent before transmitting classified data (APTS-TP-012)

4. NIST AI RMF 1.0 Mapping

NIST AI RMF 1.0 defines four functions for managing AI system risks. APTS addresses controls across all four functions, with particular depth in GOVERN and MANAGE.

GOVERN Function (AI RMF)

GOVERN 1: Policies and Procedures

• Controls: Implement graduated autonomy governance with mandatory approval gates for all significant actions at L1 (APTS-HO-001); document human oversight policies specifying role responsibilities (APTS-HO-004)

GOVERN 2: Accountability Structures

• Controls: Establish Authority Delegation Matrix specifying approval authority by role and action type (APTS-HO-004); implement escalation chains with documented SLA response windows (APTS-HO-003)

MAP Function

MAP 1: AI System Context and Risk Framing

• Controls: Ingest machine-parseable Rules of Engagement specifying scope, boundaries, and action restrictions (APTS-SE-001); implement multi-tier impact classification system for every action before execution (APTS-SC-001)

MAP 2: AI Impact Characterization

• Controls: Continuously monitor target system health with degradation detection and automatic escalation (APTS-SC-010); implement circuit breaker logic suspending testing on sustained degradation (APTS-SC-012)

MEASURE Function

MEASURE 1: AI System Performance and Risk Metrics

• Controls: Log all decisions with confidence scores and auditable methodology (APTS-AR-004); document CIA impact scores for each pentest action (APTS-SC-001)

MEASURE 2: AI System Trustworthiness Characteristics

• Controls: Log decision points with all alternatives evaluated and selected action justification (APTS-AR-004); maintain structured logs with confidence scores and risk assessment (APTS-AR-001)

MANAGE Function

MANAGE 1: AI Risk Treatment and Response

• Controls: Implement multiple independent kill switch mechanisms with Phase 1 (5 seconds) and Phase 2 (60 seconds) sequencing (APTS-SC-009); enforce instruction boundary enforcement with cryptographic verification of operator instructions (APTS-MR-001)

MANAGE 2: Continuous Monitoring

• Controls: Implement platform health monitoring with anomaly detection for testing patterns and decision-making patterns (APTS-SC-010); establish external Watchdog on independent infrastructure monitoring platform health (APTS-SC-017)

5. PCI DSS Mapping

PCI DSS 4.0.1 contains 12 requirements for payment card security. The standard addresses applicable controls (not all apply if the platform doesn't handle payment cards directly).

Requirement 1: Install and Maintain Network Security Controls

• Controls: Implement network isolation controls for multi-tenancy with network segmentation (APTS-TP-017)
• Applicable if: the platform processes cardholder data

Requirement 2: Apply Secure Configurations to All System Components

• Controls: Enforce strong authentication with API key rotation schedules and secure credential storage (APTS-TP-003)
• Applicable if: the platform systems exposed to external networks

Requirement 3: Protect Stored Account Data

• Controls: Encrypt engagement data at rest with documented encryption standards and key management (APTS-TP-014)
• Applicable if: the platform stores card data

Requirement 4: Protect Cardholder Data with Strong Cryptography During Transmission Over Open, Public Networks

• Controls: Enforce TLS 1.2 minimum (TLS 1.3 preferred) for all API calls to external providers (APTS-TP-003); implement data minimization redacting payment data before transmission (APTS-TP-012)
• Applicable if: the platform transmits card data

Requirement 6: Develop and Maintain Secure Systems and Software

• Controls: Implement defense-in-depth controls preventing prompt injection (APTS-MR-001 through APTS-MR-012); enforce input sanitization removing instruction-like patterns (APTS-MR-002)
• Applicable if: the platform developed in-house

Requirement 7: Restrict Access to System Components and Cardholder Data by Business Need to Know

• Controls: Define role-based access control for operators with Authority Delegation Matrix (APTS-HO-004); enforce least privilege through multi-tenancy isolation (APTS-TP-017)
• Applicable if: the platform processes card data

Requirement 8: Identify Users and Authenticate Access to System Components

• Controls: Enforce multi-factor authentication for approval actions; log all operator activities with structured event format (APTS-AR-001)
• Applicable if: the platform processes card data

Requirement 10: Log and Monitor All Access to System Components and Cardholder Data

• Controls: Log all events in structured format with timestamps, status codes, and mandatory fields (APTS-AR-001); maintain audit trails for 12 months minimum (APTS-AR-005)
• Applicable if: the platform processes card data

Requirement 11: Test Security of Systems and Networks Regularly

• Controls: Maintain SBOM with continuous vulnerability monitoring of dependencies (APTS-TP-006); implement version pinning with formal change management (APTS-TP-002)
• Applicable always

Requirement 12: Support Information Security with Organizational Policies and Programs

• Controls: Document APTS charter with security policies and procedures (APTS-HO-004); establish Rules of Engagement with approval workflows (APTS-SE-001)
• Applicable always

6. GDPR Mapping

GDPR (EU privacy regulation) contains key obligations for processing personal data. The standard addresses applicable articles.

Article 4: Definitions

• Controls: Classify data as Public, Sensitive, Confidential, or Restricted with explicit definitions (APTS-TP-012)

Article 5: Principles

• Controls: Obtain explicit client consent disclosing AI providers and data categories (APTS-TP-012); implement data minimization stripping metadata and redacting credentials (APTS-TP-012); maintain secure deletion procedures with verification (APTS-TP-014)

Article 6: Lawfulness of Processing

• Controls: Document explicit client consent in engagement agreement disclosing specific data processing practices (APTS-TP-012)

Article 9: Processing Special Categories

• Controls: Adjust impact classifications for special categories treating PHI/PCI access as Critical (APTS-SC-002); provide extra protections and documentation if applicable

Article 12-14: Transparency

• Controls: Include privacy notices in engagement documents explaining data handling (APTS-TP-012); provide audit trail of data processing activities (APTS-AR-001)

Article 17: Right to Erasure

• Controls: Implement secure deletion procedures with verification that data cannot be recovered (APTS-TP-014); provide automated cleanup of test artifacts (APTS-SC-016)

Article 18: Right to Restriction

• Controls: Preserve evidence in write-once storage before cleanup enabling data retention flexibility (APTS-SC-016)

Article 28: Data Processing Agreements

• Controls: Establish Data Processing Agreements with external providers including breach notification obligations (APTS-TP-005); document sub-processor agreements with AI providers and cloud services (APTS-TP-001)

Article 32: Security of Processing

• Controls: Encrypt engagement data at rest and in transit with documented encryption standards (APTS-TP-014); implement data minimization as pseudonymization (APTS-TP-012); enforce multi-tenancy isolation controls (APTS-TP-017)

Article 33: Breach Notification

• Controls: Establish incident response procedures for provider breaches with breach notification obligations aligned to regulatory timelines (APTS-TP-005); document breach assessment and notification timeline

Article 34: Individual Notification

• Controls: Notify affected tenants or individuals upon confirmed breach in accordance with documented notification procedures and required notification contents (APTS-TP-018)

7. Domain Compliance Mappings

This section maps all 8 APTS domains to external frameworks, organized by domain.

7.1 Scope Enforcement (APTS-SE)

7.2 Safety Controls (APTS-SC)

7.3 Human Oversight (APTS-HO)

7.4 Graduated Autonomy (APTS-AL)

7.5 Auditability (APTS-AR)

7.6 Manipulation Resistance (APTS-MR)

7.7 Supply Chain Trust (APTS-TP)

7.8 Reporting (APTS-RP)

Compliance Matrix Reference Table

Using This Matrix

1. For Audits: Use matrix to show compliance with standards
2. For Vendor Reviews: Map vendor requirements to APTS controls
3. For Gap Analysis: Identify which APTS controls address which framework requirements
4. For Client Assurance: Demonstrate how APTS controls align with client compliance requirements

Key Observations

1. NIST CSF 2.0 Coverage: The standard addresses all six functions (Govern, Identify, Protect, Detect, Respond, Recover)
2. ISO/IEC 27001:2022 Coverage: Controls A.5 through A.8 have corresponding mappings
3. SOC 2 Coverage: All five trust services categories addressed with proper Trust Services Criteria codes
4. NIST AI RMF 1.0 Coverage: All four functions (Govern, Map, Measure, Manage) addressed, with particular depth in autonomy governance and AI risk treatment
5. PCI DSS Coverage: Applicable controls for card data security
6. GDPR Coverage: All key articles (5, 17, 28, 32-34) addressed

NIST SP 800-53 Rev. 5

APTS requirements map to the following NIST SP 800-53 control families relevant to autonomous testing governance:

HIPAA Security Rule (45 CFR Part 164)

For autonomous testing platforms operating in healthcare environments or handling protected health information (PHI):

CIS Critical Security Controls v8

Customization

Adapt this matrix to your:

• Additional frameworks (HIPAA, FedRAMP, NIST CSF specific sectors)
• Customer requirements
• Regional regulations
• Industry-specific standards

Review annually as frameworks and APTS evolve.