Datasets:

BlackAether
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Frameworks-and-Controls

SCF Domain stringclasses 34 values	SCF Control stringlengths 7 85	SCF # stringlengths 6 9	Secure Controls Framework (SCF) Control Description stringlengths 49 657	Methods To Comply With SCF Controls stringlengths 6 863 ⌀	Evidence Request List (ERL) # stringclasses 181 values	SCF Control Question stringlengths 51 659	Relative Control Weighting int64 1 10	Function Grouping stringclasses 5 values	SCRM Tier 1 Strategic stringclasses 2 values	SCRM Tier 2 Operational stringclasses 2 values	SCRM Tier 3 Tactical stringclasses 2 values	SP-CMM 0 Not Performed stringlengths 69 677 ⌀	SP-CMM 1 Performed Informally stringlengths 43 2.02k ⌀	SP-CMM 2 Planned & Tracked stringlengths 43 3.33k ⌀	SP-CMM 3 Well Defined stringlengths 43 5.16k ⌀	SP-CMM 4 Quantitatively Controlled stringlengths 43 1.35k ⌀	SP-CMM 5 Continuously Improving stringlengths 43 725 ⌀	AICPA TSC 2017 (Controls) stringclasses 116 values	AICPA TSC 2017 (Points of Focus) stringclasses 171 values	BSI Standard 200-1 stringclasses 18 values	CIS CSC v8.0 nullclasses 158 values	CIS CSC v8.0 IG1 nullclasses 57 values	CIS CSC v8.0 IG2 nullclasses 136 values	CIS CSC v8.0 IG3 nullclasses 154 values	COBIT 2019 stringclasses 101 values	COSO v2017 stringclasses 45 values	CSA CCM v4 stringclasses 229 values	CSA IoT SCF v2 stringclasses 168 values	ENISA v2.0 stringclasses 33 values	GAPP stringclasses 36 values	IEC 62443-4-2 nullclasses 104 values	ISO/SAE 21434 v2021 stringclasses 69 values	ISO 22301 v2019 stringclasses 25 values	ISO 27001 v2013 stringclasses 30 values	ISO 27001 v2022 stringclasses 35 values	ISO 27002 v2013 stringclasses 142 values	ISO 27002 v2022 stringclasses 166 values	ISO 27017 v2015 stringclasses 158 values	ISO 27018 v2014 nullclasses 16 values	ISO 27701 v2019 stringclasses 161 values	ISO 29100 v2011 stringclasses 15 values	ISO 31000 v2009 nullclasses 7 values	ISO 31010 v2009 nullclasses 16 values	MITRE ATT&CK 10 nullclasses 100 values	MPA Content Security Program v5.1 stringclasses 98 values	NIAC Insurance Data Security Model Law (MDL-668) stringclasses 41 values	NIST AI RMF AI 100-1 v1.0 stringclasses 114 values	NIST Privacy Framework v1.0 stringclasses 114 values	NIST SSDF nullclasses 29 values	NIST 800-37 rev 2 stringclasses 32 values	NIST 800-39 nullclasses 9 values	NIST 800-53 rev4 stringlengths 4 47 ⌀	NIST 800-53 rev4 (low) nullclasses 121 values	NIST 800-53 rev4 (moderate) nulllengths 4 22 ⌀	NIST 800-53 rev4 (high) nulllengths 4 23 ⌀	NIST 800-53 rev5 stringlengths 4 99 ⌀	NIST 800-53B rev5 (privacy) nullclasses 85 values	NIST 800-53B rev5 (low) nullclasses 151 values	NIST 800-53B rev5 (moderate) nulllengths 4 40 ⌀	NIST 800-53B rev5 (high) nulllengths 4 40 ⌀	NIST 800-53 rev5 (NOC) stringlengths 4 41 ⌀	NIST 800-63B (partial mapping) nullclasses 5 values	NIST 800-82 rev3 LOW OT Overlay nullclasses 162 values	NIST 800-82 rev3 MODERATE OT Overlay nulllengths 4 40 ⌀	NIST 800-82 rev3 HIGH OT Overlay nulllengths 4 40 ⌀	NIST 800-160 nullclasses 23 values	NIST 800-161 rev 1 nulllengths 4 34 ⌀	NIST 800-161 rev 1 C-SCRM Baseline nullclasses 95 values	NIST 800-161 rev 1 Flow Down nullclasses 71 values	NIST 800-161 rev 1 Level 1 nullclasses 69 values	NIST 800-161 rev 1 Level 2 nullclasses 218 values	NIST 800-161 rev 1 Level 3 nullclasses 234 values	NIST 800-171 rev 2 nullclasses 172 values	NIST 800-171 rev 3 FPD stringlengths 5 141 ⌀	NIST 800-171A stringclasses 114 values	NIST 800-171A rev 3 IPD stringclasses 167 values	NIST 800-172 nullclasses 46 values	NIST 800-218 v1.1 nullclasses 29 values	NIST CSF v1.1 stringclasses 97 values	NIST CSF v2.0 IPD stringclasses 127 values	OWASP Top 10 v2021 nullclasses 20 values	PCIDSS v3.2 stringclasses 135 values	PCIDSS v4.0 stringlengths 3 156 ⌀	PCIDSS v4.0 SAQ A stringclasses 30 values	PCIDSS v4.0 SAQ A-EP stringclasses 141 values	PCIDSS v4.0 SAQ B stringclasses 26 values	PCIDSS v4.0 SAQ B-IP stringclasses 55 values	PCIDSS v4.0 SAQ C stringclasses 132 values	PCIDSS v4.0 SAQ C-VT stringclasses 53 values	PCIDSS v4.0 SAQ D Merchant stringclasses 213 values	PCIDSS v4.0 SAQ D Service Provider stringclasses 231 values	PCIDSS v4.0 SAQ P2PE stringclasses 24 values	Shared Assessments SIG 2023 stringlengths 3 43 ⌀	SWIFT CSF v2023 nullclasses 55 values	TISAX ISA v5.1.0 stringclasses 88 values	UL 2900-1 nullclasses 36 values	UN R155 stringclasses 19 values	UN ECE WP.29 stringclasses 19 values	US C2M2 v2.1 stringclasses 152 values	US CERT RMM v1.2 stringclasses 212 values	US CISA CPG v2022 nullclasses 44 values	US CJIS Security Policy 5.9 stringclasses 99 values	US CMMC 2.0 Level 1 nullclasses 17 values	US CMMC 2.0 Level 2 nullclasses 110 values	US CMMC 2.0 Level 3 nullclasses 139 values	US CMMC 2.1 (draft) Level 1 nullclasses 18 values	US CMMC 2.1 (draft) Level 2 nullclasses 110 values	US CMMC 2.1 (draft) Level 3 nullclasses 141 values	US CMS MARS-E v2.0 stringlengths 4 28 ⌀	US COPPA null 6.5k 6.5k ⌀	US DFARS Cybersecurity 252.204-70xx stringclasses 19 values	US FACTA nullclasses 2 values	US FAR 52.204-21 nullclasses 22 values	US FAR 52.204-27 nullclasses 2 values	US FAR Section 889 nullclasses 1 value	US FDA 21 CFR Part 11 stringclasses 27 values	US FedRAMP R4 nulllengths 4 24 ⌀	US FedRAMP R4 (low) nullclasses 130 values	US FedRAMP R4 (moderate) nulllengths 4 23 ⌀	US FedRAMP R4 (high) nulllengths 4 24 ⌀	US FedRAMP R4 (LI-SaaS) nullclasses 131 values	US FedRAMP R5 nulllengths 4 24 ⌀	US FedRAMP R5 (low) nullclasses 151 values	US FedRAMP R5 (moderate) nulllengths 4 23 ⌀	US FedRAMP R5 (high) nulllengths 4 24 ⌀	US FedRAMP R5 (LI-SaaS) nullclasses 151 values	US FERPA stringclasses 3 values	US FFIEC stringclasses 68 values	US FINRA stringclasses 3 values	US FTC Act nullclasses 1 value	US GLBA CFR 314 stringclasses 41 values	US HIPAA stringclasses 54 values	HIPAA - HICP Small Practice stringclasses 31 values	HIPAA - HICP Medium Practice stringclasses 59 values	HIPAA - HICP Large Practice stringclasses 112 values	US IRS 1075 stringlengths 3 165 ⌀	US ITAR Part 120 (limited) nullclasses 9 values	US NERC CIP nullclasses 35 values	US NISPOM stringclasses 72 values	US NNPI (unclass) nullclasses 61 values	US NSTC NSPM-33 nullclasses 15 values	US Privacy Shield nullclasses 7 values	US SEC Cybersecurity Rule stringclasses 12 values	US SOX nullclasses 1 value	US SSA EIESR v8.0 stringclasses 22 values	US StateRAMP Low Category 1 nullclasses 107 values	US StateRAMP Low+ Category 2 nullclasses 167 values	US StateRAMP Moderate Category 3 nulllengths 4 24 ⌀	US TSA / DHS 1580/82-2022-01 stringclasses 43 values	US - AK PIPA stringclasses 8 values	US - CA SB327 nullclasses 4 values	US-CA CPRA (Nov 2022) stringclasses 36 values	US - CA SB1386 nullclasses 1 value	US - CO Colorado Privacy Act nullclasses 36 values	US - IL BIPA nullclasses 9 values	US - IL IPA nullclasses 4 values	US - IL PIPA nullclasses 6 values	US-MA 201 CMR 17.00 stringclasses 27 values	US - NV SB220 nullclasses 3 values	US - NY DFS 23 NYCRR500 float64 500 500 ⌀	US - NY SHIELD Act S5575B stringclasses 15 values	US - OR 646A nullclasses 21 values	US - SC Insurance Data Security Act stringclasses 41 values	US - TX BC521 stringclasses 3 values	US-TX Cybersecurity Act stringclasses 13 values	US-TX DIR Control Standards 2.0 stringclasses 155 values	US-TX TX-RAMP Level 1 nullclasses 120 values	US-TX TX-RAMP Level 2 nulllengths 4 23 ⌀	US-TX SB820 stringclasses 5 values	US-VA CDPA 2023 stringclasses 24 values	US-VT Act 171 of 2018 stringclasses 32 values	EMEA EU EBA GL/2019/04 stringclasses 93 values	EMEA EU DORA stringclasses 60 values	EMEA EU ePrivacy (draft) nullclasses 15 values	EMEA EU GDPR stringclasses 57 values	EMEA EU NIS2 stringclasses 21 values	EMEA EU PSD2 stringclasses 10 values	EMEA EU EU-US Data Privacy Framework nullclasses 23 values	EMEA Austria stringclasses 10 values	EMEA Belgium stringclasses 9 values	EMEA Czech Republic stringclasses 14 values	EMEA Denmark stringclasses 11 values	EMEA Finland stringclasses 7 values	EMEA France stringclasses 9 values	EMEA Germany stringclasses 11 values	EMEA Germany Banking Supervisory Requirements for IT (BAIT) stringclasses 57 values	EMEA Germany C5-2020 stringclasses 152 values	EMEA Greece stringclasses 9 values	EMEA Hungary stringclasses 12 values	EMEA Ireland stringclasses 3 values	EMEA Israel CDMO v1.0 stringlengths 3 89 ⌀	EMEA Israel stringclasses 6 values	EMEA Italy stringclasses 15 values	EMEA Kenya DPA 2019 nullclasses 38 values	EMEA Luxembourg stringclasses 4 values	EMEA Netherlands stringclasses 12 values	EMEA Nigeria DPR 2019 stringclasses 24 values	EMEA Norway stringclasses 12 values	EMEA Poland stringclasses 11 values	EMEA Portugal stringclasses 11 values	EMEA Qatar PDPPL stringclasses 37 values	EMEA Russia stringclasses 13 values	EMEA Saudi Arabia Critical Security Controls nullclasses 105 values	EMEA Saudi Arabia SACS-002 stringclasses 96 values	EMEA Saudi Arabia SAMA CSFv1.0 stringclasses 36 values	EMEA Saudi Arabia ECC-12018 stringclasses 148 values	EMEA Saudi Arabia OTCC-1 2022 stringclasses 133 values	EMEA Serbia 87/2018 nullclasses 46 values	EMEA Slovak Republic nullclasses 2 values	EMEA South Africa stringclasses 45 values	EMEA Spain nullclasses 10 values	EMEA Spain CCN-STIC 825 stringclasses 71 values	EMEA Sweden stringclasses 11 values	EMEA Switzerland stringclasses 8 values	EMEA Turkey stringclasses 8 values	EMEA UAE stringclasses 9 values	EMEA UK CAF v3.1 stringclasses 75 values	EMEA UK CAP 1850 stringclasses 16 values	EMEA UK Cyber Essentials null 1 5 ⌀	EMEA UK DPA nullclasses 7 values	EMEA UK GDPR nullclasses 38 values	APAC Australia Essential 8 ML 1 nullclasses 21 values	APAC Australia Essential 8 ML 2 nullclasses 30 values	APAC Australia Essential 8 ML 3 nullclasses 40 values	APAC Australia Privacy Act stringclasses 11 values	APAC Australian Privacy Principles stringclasses 18 values	APAC Australia ISM 2022 stringlengths 4 214 ⌀	APAC Australia IoT Code of Practice nullclasses 11 values	APAC Australia Prudential Standard CPS230 stringclasses 32 values	APAC Australia Prudential Standard CPS234 stringclasses 34 values	APAC China Data Security Law (DSL) nullclasses 6 values	APAC China DNSIP stringclasses 3 values	APAC China Privacy Law stringclasses 57 values	APAC Hong Kong stringclasses 8 values	APAC India ITR stringclasses 4 values	APAC Indonesia stringclasses 7 values	APAC Japan APPI stringclasses 31 values	APAC Japan ISMAP stringclasses 188 values	APAC Malaysia stringclasses 8 values	APAC New Zealand Health ISF stringclasses 22 values	APAC New Zealand NZISM 3.6 stringlengths 10 1.15k ⌀	APAC New Zealand Privacy Act of 2020 nullclasses 12 values	APAC Philippines stringclasses 12 values	APAC Singapore stringclasses 15 values	APAC Singapore Cyber Hygiene Practice nullclasses 12 values	APAC Singapore MAS TRM 2021 stringclasses 166 values	APAC South Korea stringclasses 22 values	APAC Taiwan stringclasses 7 values	Americas Argentina stringclasses 14 values	Americas Argentina Reg 132-2018 nullclasses 24 values	Americas Bahamas stringclasses 6 values	Americas Bermuda BMACCC stringclasses 36 values	Americas Brazil LGPD nullclasses 27 values	Americas Canada CSAG stringclasses 75 values	Americas Canada OSFI B-13 stringclasses 60 values	Americas Canada PIPEDA stringclasses 14 values	Americas Chile stringclasses 9 values	Americas Colombia stringclasses 10 values	Americas Costa Rica stringclasses 8 values	Americas Mexico stringclasses 14 values	Americas Peru stringclasses 14 values	Americas Uruguay nullclasses 17 values	Minimum Security Requirements MCR + DSR null	Identify Minimum Compliance Requirements (MCR) null	Identify Discretionary Security Requirements (DSR) null	SCF-B Business Mergers & Acquisitions stringclasses 1 value	SCF-I Cyber Insurance Duty of Care stringclasses 23 values	SCF-E Embedded Technology stringclasses 1 value	SCF-R Ransomware Protection stringclasses 1 value	Risk Threat Summary stringlengths 13 230 ⌀	Risk R-AC-1 stringclasses 1 value	Risk R-AC-2 stringclasses 1 value	Risk R-AC-3 stringclasses 1 value	Risk R-AC-4 stringclasses 1 value	Risk R-AM-1 stringclasses 1 value	Risk R-AM-2 stringclasses 2 values	Risk R-AM-3 stringclasses 1 value	Risk R-BC-1 stringclasses 2 values	Risk R-BC-2 stringclasses 2 values	Risk R-BC-3 stringclasses 2 values	Risk R-BC-4 stringclasses 2 values	Risk R-BC-5 stringclasses 2 values	Risk R-EX-1 stringclasses 2 values	Risk R-EX-2 stringclasses 2 values	Risk R-EX-3 stringclasses 2 values	Risk R-EX-4 stringclasses 2 values	Risk R-EX-5 stringclasses 2 values	Risk R-EX-6 stringclasses 2 values	Risk R-EX-7 stringclasses 2 values	Risk R-GV-1 stringclasses 2 values	Risk R-GV-2 stringclasses 2 values	Risk R-GV-3 stringclasses 2 values	Risk R-GV-4 stringclasses 2 values	Risk R-GV-5 stringclasses 2 values	Risk R-GV-6 stringclasses 2 values	Risk R-GV-7 stringclasses 2 values	Risk R-GV-8 stringclasses 2 values	Risk R-IR-1 stringclasses 2 values	Risk R-IR-2 stringclasses 2 values	Risk R-IR-3 stringclasses 2 values	Risk R-IR-4 stringclasses 1 value	Risk R-SA-1 stringclasses 2 values	Risk R-SA-2 stringclasses 2 values	Control Threat Summary stringclasses 69 values	Threat NT-1 stringclasses 1 value	Threat NT-2 stringclasses 1 value	Threat NT-3 stringclasses 1 value	Threat NT-4 stringclasses 1 value	Threat NT-5 stringclasses 1 value	Threat NT-6 stringclasses 1 value	Threat NT-7 stringclasses 1 value	Threat NT-8 stringclasses 1 value	Threat NT-9 stringclasses 1 value	Threat NT-10 stringclasses 1 value	Threat NT-11 stringclasses 1 value	Threat NT-12 stringclasses 1 value	Threat NT-13 stringclasses 1 value	Threat NT-14 stringclasses 1 value	Threat MT-1 stringclasses 1 value	Threat MT-2 stringclasses 1 value	Threat MT-3 stringclasses 1 value	Threat MT-4 stringclasses 1 value	Threat MT-5 stringclasses 1 value	Threat MT-6 stringclasses 1 value	Threat MT-7 stringclasses 1 value	Threat MT-8 stringclasses 1 value	Threat MT-9 stringclasses 1 value	Threat MT-10 nullclasses 1 value	Threat MT-11 stringclasses 1 value	Threat MT-12 stringclasses 1 value	Threat MT-13 stringclasses 1 value	Threat MT-14 stringclasses 1 value	Threat MT-15 stringclasses 1 value	Threat MT-16 stringclasses 1 value	Errata 2023.4 nullclasses 30 values
Cybersecurity & Data Protection Governance	Cybersecurity & Data Protection Governance Program	GOV-01	Mechanisms exist to facilitate the implementation of cybersecurity & data protection governance controls.	- Steering committee - Digital Security Program (DSP) - Cybersecurity & Data Protection Program (CDPP)	E-GOV-01 E-GOV-02	Does the organization facilitate the implementation of cybersecurity & data protection governance controls?	10	Identify	X	X	X	There is no evidence of a capability to facilitate the implementation of cybersecurity & data privacy governance controls.	Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends. • Compliance efforts are not tied into an enterprise-wide cybersecurity and/ or data privacy program.	Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function to determine prioritized and authoritative guidance for cybersecurity and data protection (e.g., data privacy) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization that includes cybersecurity & data privacy governance as part of the broader operational plan. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to facilitate the implementation of secure and compliant practices to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data. • A GRC function, or similar function, provides scoping guidance to determine control applicability. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program. The steering committee establishes a clear and authoritative accountability structure for cybersecurity and data protection operations. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.	Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of cybersecurity & data privacy governance controls.	CC1.2	CC1.1-POF1 CC2.3-POF5	4 4.1 4.2 4.3 4.4 5 7 7.1 7.2 7.4 7.5 8 8.1 8.2 8.4 10 10.1 10.2 10.2.1 10.2.2	null	null	null	null	EDM01.02 APO01.09 APO04.01 APO13.01 APO13.02	Principle 2	GRC-05 GRC-07	GVN-01 GVN-02	null	8.2.1	null	RQ-05-02.a RQ-05-02.b	5.2 5.2.1 5.2.2	4.3 4.4 5.1 6.1.1	4.4 5.1 5.1(a) 5.1(b) 5.1(c) 5.1(d) 5.1(e) 5.1(f) 5.1(g) 5.1(h) 6.1 6.1.1 6.1.1(a) 6.1.1(b) 6.1.1(c) 6.1.1(d) 6.1.1(e)(1) 6.1.1(e)(2) 8.1 10.1	5.1 5.1.1	5.1 5.4 5.37	5.1 5.1.1	null	5.3.1 5.3.2 5.3.3 5.4 5.4.1 5.4.1.1 5.4.2 5.5 5.5.1 5.5.2 5.5.3 5.5.4 5.5.5 5.5.5.1 5.5.5.2 5.5.5.3 5.6.1 5.6.2 5.6.3 5.7 5.7.1 5.7.2 5.7.3 5.8 5.8.1 5.8.1 6.2 6.2.1 6.2.1.1 6.5	5.1 5.10 5.11	null	null	null	OR-1.0	Sec 4(A) Sec 4(B)(1) Sec 4(B)(2) Sec 4(B)(3) Sec 4(B)(4) Sec 4(D)(1) Sec 4(E)(1) Sec 4(G)	null	GV.PO-P1 GV.PO-P6	null	null	null	PM-1	null	null	null	PM-1	null	null	null	null	PM-1	null	null	null	null	null	null	null	null	null	null	null	null	3.15.1.a	null	null	null	null	null	GV.OC GV.RM GV.SC GV.RR GV.PO ID.RA ID.IM PR.AA PR.AT PR.DS PR.PS PR.IR DE.CM DE.AE RS.MA RS.AN RS.CO RS.MI RC.RP RC.CO	null	12.1 12.1.1	A3.1.2	null	null	null	null	null	null	null	null	null	C.7	null	1.2 1.2.1 9.1	null	7.1.2	7.1.2	PROGRAM-2.A.MIL1 PROGRAM-2.B.MIL2 PROGRAM-2.C.MIL2 PROGRAM-2.D.MIL2 PROGRAM-2.E.MIL2 PROGRAM-2.F.MIL2 PROGRAM-2.G.MIL3 PROGRAM-2.H.MIL3 PROGRAM-2.I.MIL3 PROGRAM-2.J.MIL3	EF:SG2.SP1 EF:SG2.SP2 OPF:SG1.SP1	null	5.1 5.1.1 5.1.1.1 5.1.1.2	null	null	null	null	null	null	PM-1	null	252.204-7008 252.204-7012	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	§ 1232h	null	S-P (17 CFR §248.30)	null	3.13(a) 3.13(a)(1) 3.13(a)(2) 3.13(a)(3) 314.4(a) 314.4(b) 314.4(c) 314.4(c)(2) 314.4(g)	164.306 164.306(a) 164.306(b) 164.306(c) 164.306(d) 164.306(e) 164.308(a)(1)(i) 164.530(j) 164.316 164.316(a) 164.316(b)	10.S.A	8.M.A	8.M.A 10.M.A	PM-1	null	null	8-100	null	null	null	null	null	5.1	null	null	null	null	45.48.530	null	null	null	null	null	null	null	17.03(1) 17.04 17.03(2)(b)(2)	null	500.02	Sec 4(2)(a) Sec 4(2)(b)(ii) Sec 4(2)(b)(ii)(A) Sec 4(2)(b)(ii)(A)(1) Sec 4(2)(b)(ii)(A)(2) Sec 4(2)(b)(ii)(A)(3) Sec 4(2)(b)(ii)(A)(4) Sec 4(2)(b)(ii)(A)(5) Sec 4(2)(b)(ii)(A)(6) Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(B)(3) Sec 4(2)(b)(ii)(B)(4) Sec 4(2)(b)(ii)(C)(1) Sec 4(2)(b)(ii)(C)(2) Sec 4(2)(b)(ii)(C)(3) Sec 4(2)(b)(ii)(C)(4)	null	38-99-20(A) 38-99-20(B)(1) 38-99-20(B)(2) 38-99-20(B)(3) 38-99-20(B)(4) 38-99-20(D)(1) 38-99-20(E)(1) 38-99-20(G)	Sec. 521.052	Sec 10	PM-1	null	null	null	59.1-578.3	§ 2447(a) § 2447(a)(1) § 2447(a)(1)(A) § 2447(a)(1)(B) § 2447(a)(1)(C) § 2447(a)(1)(D) § 2447(a)(2) § 2447(b) § 2447(c) § 2447(c)(1) § 2447(c)(1)(A) § 2447(c)(1)(A)(i) § 2447(c)(1)(A)(ii) § 2447(c)(1)(A)(iii) § 2447(c)(1)(A)(iv) § 2447(c)(1)(A)(v)	null	Art 5.1 Art 16.1(a) Art 16.1(b) Art 16.1(c) Art 16.1(d) Art 16.1(e) Art 16.1(f) Art 16.1(g) Art 16.1(h)	null	Art 32.1 Art 32.2 Art 32.3 Art 32.4	Article 21.1 Article 21.2(a) Article 21.2(b) Article 21.2(c) Article 21.2(d) Article 21.2(e) Article 21.2(f) Article 21.2(g) Article 21.2(h) Article 21.2(i) Article 21.2(j)	Art 3	null	Sec 14 Sec 15	Art 16	Art 13	Art 41	Sec 5 Sec 32 Sec 33 Sec 34 Sec 35	Art 34	Sec 9 Sec 9a Annex	4.1	OIS-01	Art 10	Sec 7	Sec 2	3.2 4.25	Sec 16 Sec 17	Sec 31 Sec 33 Sec 34 Sec 35	null	Art 3 Art 4	Sec 12 Sec 13 Sec 14	null	Sec 13 Sec 14	Art 1 Art 36	Art 14 Art 15 Art 16 Art 17	null	Art 7 Art 19	null	TPC-25	3.1.1	1-2-1 1-3-2	1-1	null	null	Sec 19 Sec 21	null	6.1 [ORG.1]	Sec 31	Art 7	Art 12	Sec 15 Sec 16	A1.a B1.a B1.b	A1	null	null	null	null	null	null	APP Part 1 APP Part 11	null	0888	null	null	13 18 19	null	Sec 4	Article 58 Article 58(1) Article 58(2) Article 58(3) Article 58(4)	Principle 4	Sec 8	Art 9 Art 10 Art 12 Art 13 Art 14 Art 15 Art 16 Art 17 Art 18 Art 19 Art 20 Art 21 Art 22 Art 23 Art 24 Art 28	Article 20	4.1 4.2 4.3 4.4 4.4.1 4.4.2 4.4.2.1 4.4.4 4.4.5 4.4.5.3 4.5 4.5.1 4.5.1.1 4.5.1.2 4.5.2 4.6 4.6.1 4.9.1 4.9.1.1 4.9.2 4.9.2.1 4.9.2.2 5.1 5.1.1 5.1.2	Sec 9	3.1 9.1	5.1.14.C.01	null	Sec 25 Sec 27 Sec 28	Sec 12 Sec 24	null	null	Art 3 Art 29 Art 30	Art 27	Art 9 Art 30	null	Sec 6	4 5.4	null	6.5 6.6 6.7 6.23	1.1.2 1.2 3.0	Principle 7	Art 7	Art 4	Art 10	Art 19	Art 9 Art 16 Art 17	null	null	null	null	x	MA 201 CMR 17 NAIC	x	null	R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2	R-AC-1	R-AC-2	R-AC-3	R-AC-4	R-AM-1	R-AM-2	null	R-BC-1	R-BC-2	R-BC-3	R-BC-4	R-BC-5	R-EX-1	R-EX-2	R-EX-3	R-EX-4	R-EX-5	R-EX-6	R-EX-7	R-GV-1	R-GV-2	R-GV-3	R-GV-4	R-GV-5	R-GV-6	R-GV-7	R-GV-8	R-IR-1	R-IR-2	R-IR-3	R-IR-4	R-SA-1	R-SA-2	NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16	null	null	null	null	null	null	NT-7	null	null	null	null	null	null	null	MT-1	MT-2	null	null	null	null	MT-7	MT-8	MT-9	null	MT-11	MT-12	MT-13	MT-14	MT-15	MT-16	null
Cybersecurity & Data Protection Governance	Steering Committee & Program Oversight	GOV-01.1	Mechanisms exist to coordinate cybersecurity, data protection and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis.	- Steering committee - Digital Security Program (DSP) - Cybersecurity & Data Protection Program (CDPP)	E-GOV-03	Does the organization coordinate cybersecurity, data protection and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis?	7	Identify	X	X	null	There is no evidence of a capability to coordinate cybersecurity, data privacy and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis.	Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.	Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel. • Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity & data privacy program. • Organizational leadership maintains an informal process to review and respond to trends. • Procedures for important tasks are documented and assigned to individuals or teams.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Executive leadership team (e.g., corporate-level officers, board of directors, etc.) take an active role in defining and enforcing Business As Usual (BAU) practices across the organization to operationalize cybersecurity & data privacy principles. • A GRC function, or similar function, tracks the efforts to determine if Business As Usual (BAU) reinforcement efforts impact metrics associated with cybersecurity & data privacy controls.	Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate cybersecurity, data privacy and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis.	null	CC1.2-POF1 CC1.2-POF2 CC1.2-POF3 CC1.2-POF4 CC1.5-POF3 CC1.5-POF4 CC1.5-POF5 CC2.2-POF4 CC2.3-POF3	4.1 4.1.1 4.1.2 4.1.3 4.1.4 4.1.5 4.1.6 4.2 4.4 7.5 8.3 8.4	null	null	null	null	null	null	null	null	null	null	null	RQ-05-08	null	4.3 5.1 6.2 7.4 9.3 10.2	4.4 5.3 5.3(a) 5.3(b) 9.3 9.3.1 9.3.2(a) 9.3.2(b) 9.3.2(c) 9.3.2(d) 9.3.2(d)(1) 9.3.2(d)(2) 9.3.2(d)(3) 9.3.2(d)(4) 9.3.2(e) 9.3.2(f) 9.3.2(g) 9.3.3 10.1	null	null	5.1	null	null	null	null	null	null	null	Sec 4(B)(1) Sec 4(B)(2) Sec 4(B)(3) Sec 4(B)(4) Sec 4(D)(1) Sec 4(E)(2)(a) Sec 4(E)(2)(b)	GOVERN 2.3 MAP 3.5 MAP 5.2	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	GV.OC-02 GV.RM-03 GV.RR-03 GV.OV-01 GV.OV-02 ID.IM-01	null	null	null	null	null	null	null	null	null	null	null	null	C.6	null	null	null	null	null	ASSET-5.E.MIL3 ASSET-5.F.MIL3 THREAT-3.F.MIL3 RISK-1.E.MIL2 RISK-1.F.MIL2 RISK-1.H.MIL3 RISK-5.F.MIL3 ACCESS-4.D.MIL3 ACCESS-4.F.MIL3 SITUATION-4.D.MIL3 RESPONSE-5.D.MIL3 THIRD-PARTIES-3.D.MIL3 WORKFORCE-4.D.MIL3 ARCHITECTURE-5.D.MIL3 PROGRAM-2.C.MIL2 PROGRAM-2.D.MIL2 PROGRAM-2.E.MIL2 PROGRAM-2.F.MIL2 PROGRAM-2.G.MIL3 PROGRAM-2.H.MIL3 PROGRAM-2.I.MIL3 PROGRAM-2.J.MIL3 PROGRAM-3.D.MIL3	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	314.4(a)(2) 314.4(g)	null	null	null	null	null	null	null	null	null	null	null	17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii) FORM 8-K ITEM 1.05(a)	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	38-99-20(B)(1) 38-99-20(B)(2) 38-99-20(B)(3) 38-99-20(B)(4) 38-99-20(D)(1) 38-99-20(E)(2)(a) 38-99-20(E)(2)(b)	null	null	null	null	null	null	null	null	3.2.1(2) 3.2.1(3) 3.2.1(4)	Art 5.2 Art 5.2(a) Art 5.2(b) Art 5.2(c) Art 5.2(d) Art 5.2(e) Art 5.2(f) Art 5.2(g) Art 5.2(h) Art 5.2(i)(i) Art 5.2(i)(ii) Art 5.2(i)(iii)	null	null	Article 21.2(f)	null	null	null	null	null	null	null	null	null	1.1 1.2 1.2(a) 1.2(b) 1.2(c) 1.2(d) 1.2(e) 1.2(f) 2.1 2.2 2.3 2.4 2.5	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	3.1.1	null	null	null	null	null	null	null	null	null	null	null	A1.a A1.c D2.a	null	null	null	null	null	null	null	null	null	0725	null	20 21 22(a) 20 21 22(a) 22(b) 22(c) 23 24 25	13 19	null	null	null	null	null	null	null	4.1 4.4.1.2 4.4.1.3 4.4.2 4.4.2.1 4.4.4 4.4.5 4.5.3 4.6 4.6 4.6.1.1 4.6.1.2 4.6.2 4.6.3 4.6.3.1 4.6.3.2 4.6.2.3 4.6.2.4 4.9 4.9.1 4.9.1.1 4.9.2 4.9.2.1 4.9.2.2	null	null	3.2.9.C.01	null	null	null	null	3.1.1 3.1.2 3.1.3 3.1.4 3.1.5 3.1.6 3.1.7(a) 3.1.7(b) 3.1.7(c) 3.1.7(d) 3.1.7(e) 3.1.7(f) 3.1.7(g) 3.1.8(a) 3.1.8(b) 3.1.8(c) 3.1.8(d) 3.1.8(e)	null	null	null	null	null	5.1 5.6	null	6.5 6.6 6.7 6.21 6.22 6.23 6.24	1.1 3.1.8	null	null	null	null	null	null	null	null	null	null	null	NAIC	null	x	R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2	R-AC-1	R-AC-2	R-AC-3	R-AC-4	R-AM-1	R-AM-2	null	R-BC-1	R-BC-2	R-BC-3	R-BC-4	R-BC-5	R-EX-1	R-EX-2	R-EX-3	R-EX-4	R-EX-5	R-EX-6	R-EX-7	R-GV-1	R-GV-2	R-GV-3	R-GV-4	R-GV-5	R-GV-6	R-GV-7	R-GV-8	R-IR-1	R-IR-2	R-IR-3	R-IR-4	R-SA-1	R-SA-2	NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15	null	null	null	null	null	null	NT-7	null	null	null	null	null	null	null	MT-1	MT-2	MT-3	MT-4	MT-5	MT-6	MT-7	MT-8	MT-9	null	MT-11	MT-12	MT-13	MT-14	MT-15	null	null
Cybersecurity & Data Protection Governance	Status Reporting To Governing Body	GOV-01.2	Mechanisms exist to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data protection program.	null	E-CPL-05 E-CPL-09 E-GOV-03 E-GOV-04 E-GOV-05 E-GOV-06 E-GOV-07 E-GOV-13	Does the organization provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data protection program?	5	Identify	X	X	null	There is no evidence of a capability to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program.	SP-CMM1 is N/A, since a structured process is required to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program.	Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.	See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program.	null	CC2.2-POF2 CC2.3-POF3 CC2.3-POF5 CC4.2-POF2	4.2 4.3 4.4 8.3 8.4	null	null	null	null	null	null	null	null	null	null	null	null	null	null	7.4 7.4(a) 7.4(b) 7.4(c) 7.4(d) 9.1 9.1(a) 9.1(b) 9.1(c) 9.1(d) 9.1(e) 9.1(f) 9.3 9.3.1 9.3.2(a) 9.3.2(b) 9.3.2(c) 9.3.2(d) 9.3.2(d)(1) 9.3.2(d)(2) 9.3.2(d)(3) 9.3.2(d)(4) 9.3.2(e) 9.3.2(f) 9.3.2(g) 9.3.3	null	null	null	null	null	null	null	null	null	null	null	GOVERN 2.3 MAP 3.5	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	GV.OV GV.OV-01 ID.IM-01	null	null	null	null	null	null	null	null	null	null	null	null	A.1.8	null	null	null	null	null	ASSET-5.E.MIL3 ASSET-5.F.MIL3 THREAT-3.F.MIL3 RISK-1.E.MIL2 RISK-1.F.MIL2 RISK-5.F.MIL3 ACCESS-4.F.MIL3 SITUATION-4.F.MIL3 RESPONSE-5.F.MIL3 THIRD-PARTIES-3.F.MIL3 WORKFORCE-4.F.MIL3 ARCHITECTURE-5.F.MIL3 PROGRAM-3.F.MIL3	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	314.4(i) 314.4(i)(1) 314.4(i)(2)	null	null	null	null	null	null	null	null	null	null	null	17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii)	null	null	null	null	null	null	null	null	7102(a)(1)(A) 7102(a)(1)(B) 7102(a)(1)(C) 7102(a)(1)(D) 7102(a)(1)(E) 7102(a)(1)(F) 7102(a)(2) 7102(b)	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	3.3.1(13)(e) 3.3.5(24)	Art 13.5	null	null	null	null	null	null	null	null	null	null	null	null	3.9 3.11 4.10 7.5	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	A1.c D2.a	null	null	null	null	null	null	null	null	null	null	null	30 58(a) 58(b) 58(c)	null	null	null	null	null	null	null	null	4.4.1.2 4.6 4.6.1.1 4.6.1.2 4.6.2 4.6.3 4.6.3.1 4.6.3.2 4.6.2.3 4.6.2.4 4.7 4.9 4.9.1 4.9.1.1 4.9.2 4.9.2.1 4.9.2.2	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	3.1.8	null	null	null	null	null	null	null	null	null	null	null	null	null	null	R-AC-1 R-EX-3 R-EX-4 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7	R-AC-1	null	null	null	null	null	null	null	null	null	null	null	null	null	R-EX-3	R-EX-4	null	null	null	R-GV-1	null	null	R-GV-4	R-GV-5	R-GV-6	R-GV-7	null	null	null	null	null	null	null	NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15	NT-1	NT-2	NT-3	NT-4	NT-5	NT-6	NT-7	NT-8	NT-9	NT-10	NT-11	NT-12	NT-13	NT-14	null	null	null	null	null	null	null	MT-8	MT-9	null	null	MT-12	MT-13	MT-14	MT-15	null	null
Cybersecurity & Data Protection Governance	Publishing Cybersecurity & Data Protection Documentation	GOV-02	Mechanisms exist to establish, maintain and disseminate cybersecurity & data protection policies, standards and procedures.	- Steering committee - Digital Security Program (DSP) - Cybersecurity & Data Protection Program (CDPP) - Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.) - Wiki - SharePoint	E-GOV-08 E-GOV-09 E-GOV-11	Does the organization establish, maintain and disseminate cybersecurity & data protection policies, standards and procedures?	10	Identify	X	X	X	There is no evidence of a capability to establish, maintain and disseminate cybersecurity & data privacy policies, standards and procedures.	Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.	Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.	Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish, maintain and disseminate cybersecurity & data privacy policies, standards and procedures.	CC5.3	CC1.4-POF1 CC2.2-POF1 CC2.2-POF4 CC2.2-POF7 CC5.3-POF1 CC7.2-POF1	4.2 7.3	null	null	null	null	APO01.09	Principle 12	A&A-01 AIS-01 BCR-01 CCC-01 CEK-01 DCS-01 DCS-02 DCS-03 DCS-04 DSP-01 GRC-01 GRC-02 HRS-01 HRS-02 HRS-03 HRS-04 IAM-01 IAM-02 IPY-01 IVS-01 LOG-01 SEF-01 SEF-02 STA-01 STA-12 TVM-01 TVM-02 UEM-01	GVN-01 GVN-02 POL-03	SO1	8.2.1	null	RQ-05-01.a RQ-05-01.b	5.2.1 5.2.2	4.3 5.2 7.5.1 7.5.2 7.5.3	5.1(a) 5.2 5.2(a) 5.2(b) 5.2(c) 5.2(d) 5.2(e) 5.2(f) 5.2(g) 7.5 7.5.1 7.5.1(a) 7.5.1(b) 7.5.2 7.5.2(a) 7.5.2(b) 7.5.2(c) 7.5.3 7.5.3(a) 7.5.3(b) 7.5.3(c) 7.5.3(d) 7.5.3(e) 7.5.3(f)	5.1.1 6.2.1 9.1.1	5.1 5.37	5.1.1 6.2.1 9.1.1	null	6.2 6.2.1 6.2.1.1	null	null	null	null	OR-1.0 OR-3.0 OP-2.0 PS-2.0 TS-2.4 TS-2.6 TS-2.8 TS-2.11 TS-3.0	null	GOVERN 1.0 GOVERN 1.2 GOVERN 1.4 GOVERN 2.2 GOVERN 3.2 GOVERN 4.1 GOVERN 5.1 GOVERN 6.0 GOVERN 6.1 MAP 3.5	GV.PO-P1 GV.PO-P6 GV.MT-P3 GV.MT-P4 GV.MT-P5 GV.MT-P6 GV.MT-P7 CT.PO-P1 CT.PO-P2 CT.PO-P3 CM.PO-P1 PR.PO-P4	null	P-5	null	PM-1	null	null	null	AC-1 AT-1 AU-1 CA-1 CM-1 CP-1 IA-1 IR-1 MA-1 MP-1 PE-1 PL-1 PM-1 PS-1 PT-1 RA-1 SA-1 SC-1 SI-1 SR-1	null	null	null	null	PM-1	null	null	null	null	null	null	null	null	null	null	null	null	null	3.4.9[a] 3.9.2[a]	A.03.15.01.a[01] A.03.15.01.a[02] A.03.15.01.b[01] A.03.15.01.b[02]	null	null	ID.GV-1	GV.PO-01	null	12.1 12.1.1	1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1 12.1.1 12.1.2 12.1.3	3.1.1	1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 8.1.1 8.3.8 12.1.1 12.1.2 12.1.3	3.1.1 12.1.1 12.1.2 12.1.3	3.1.1 8.1.1 9.1.1 12.1.1 12.1.2 12.1.3	2.1.1 3.1.1 5.1.1 8.1.1 8.3.8 9.1.1 10.1.1 12.1.1 12.1.2 12.1.3	2.1.1 3.1.1 8.1.1 9.1.1 12.1.1 12.1.2	1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1.1 12.1.2 12.1.3	1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1.1 12.1.2 12.1.3	3.1.1 9.1.1 12.1.1 12.1.2 12.1.3	C.1	null	1.1 1.1.1 7.1.1	null	null	null	ASSET-5.C.MIL3 THREAT-3.C.MIL3 RISK-5.C.MIL3 ACCESS-4.C.MIL3 SITUATION-4.C.MIL3 RESPONSE-5.C.MIL3 THIRD-PARTIES-3.C.MIL3 WORKFORCE-4.C.MIL3 ARCHITECTURE-5.C.MIL3 PROGRAM-3.C.MIL3	EF:SG2.SP1 EF:SG2.SP2	null	5.8 5.9	null	null	null	null	null	null	PM-1	null	252.204-7008 252.204-7012	null	null	null	null	§ 11.10 § 11.10(j)	null	null	null	null	null	null	null	null	null	null	§ 1232h	D1.G.SP.B.4	S-P (17 CFR §248.30)	null	314.4(c) 314.4(c)(8) 314.4(e)	164.306 164.308 164.308(a)(1)(i) 164.312 164.316 164.316(a) 164.316(b) 164.316(b)(1) 164.316(b)(1)(i) 164.316(b)(1)(ii) 164.316(b)(2)(ii) 164.530(i) 164.530(i)(1) 164.530(i)(2) 164.530(i)(3) 164.530(j) 164.530(j)(1)	4.S.A 10.S.A	4.M.B	4.M.B 10.M.A	1.8.2 2.C.2 PM-1	null	null	null	null	null	null	null	null	5.1 5.2	null	null	null	III.B III.B.1.d III.C III.C.1 III.C.1.a III.C.1.b III.C.3 III.D	45.48.530	null	null	null	null	null	null	null	17.03(1) 17.04 17.03(2)(b)(2)	null	500.03	null	null	null	null	Sec 10	PM-1	null	null	Sec 11.175(b)	null	§ 2447(b)(3)	3.4.1(28) 3.4.1(29) 3.4.5(38)	Art 6.2 Art 9.4(a) Art 9.4(d) Art 9.4(e) Art 9.4(f)	null	Art 32.1 Art 32.2 Art 32.3 Art 32.4	Article 21.1 Article 21.2(a) Article 21.2(b) Article 21.2(c) Article 21.2(d) Article 21.2(e) Article 21.2(f) Article 21.2(g) Article 21.2(h) Article 21.2(i) Article 21.2(j)	Art 3	null	Sec 14 Sec 15	Art 16	null	null	null	null	null	4.2 4.3 4.8	OIS-01 OIS-02 SP-01	null	null	null	1.1 4.1 4.25 5.2 5.3 9.1 10.1 11.2 12.1 13.1 14.1 15.1 17.1 18.1 20.1 21.1 22.1 24.1 25.1	null	null	null	null	null	4.1(1)	null	null	null	Article 8.4	null	null	TPC-25	3.1.3	1-3-1 1-3-3	1-1 1-1-1	null	null	null	null	6.1 [ORG.1] 6.2 [ORG.2]	null	null	null	null	A1.a B1.a B1.b	A1 A5	null	null	null	null	null	null	null	APP 1	0047 0888 1478 1602 1784 1785 1551	null	null	18 19	null	null	null	null	null	null	null	4.4.1 4.4.4 4.4.5 4.4.5.1 4.4.5.3 4.5.1 4.5.2 4.5.3 4.5.3.1 4.6 4.6.1 4.8.1 4.8.1.1 4.8.2 4.8.2.1 4.8.2.2 5.1.1	null	1.4.2 1.5 3.2 4.1 4.2 5.2 6.2 7.2 8.2 9.2 10.2 11.2 12.2 13.2 14.2 15.2 16.2 17.2 18.2 19.2	5.1.7.C.01 5.1.14.C.01 5.1.16.C.01 5.1.16.C.02 5.1.17.C.01 5.1.18.C.01 5.1.19.C.01 5.1.20.C.01 5.1.20.C.02 5.2.3.C.01 5.2.3.C.02	null	null	null	null	3.2.1	null	null	null	null	null	null	null	6.1 6.3	1.1.2	null	null	null	null	null	null	null	null	null	null	x	MA 201 CMR 17	null	x	R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2	R-AC-1	R-AC-2	R-AC-3	R-AC-4	R-AM-1	R-AM-2	null	R-BC-1	R-BC-2	R-BC-3	R-BC-4	R-BC-5	R-EX-1	R-EX-2	R-EX-3	R-EX-4	R-EX-5	R-EX-6	R-EX-7	R-GV-1	R-GV-2	R-GV-3	R-GV-4	R-GV-5	R-GV-6	R-GV-7	R-GV-8	R-IR-1	R-IR-2	R-IR-3	R-IR-4	R-SA-1	R-SA-2	NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15	null	null	null	null	null	null	NT-7	null	null	null	null	null	null	null	MT-1	MT-2	null	null	null	null	MT-7	MT-8	MT-9	null	MT-11	MT-12	MT-13	MT-14	MT-15	null	null
Cybersecurity & Data Protection Governance	Exception Management	GOV-02.1	Mechanisms exist to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded.	null	null	Does the organization prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded?	8	Protect	X	X	X	There is no evidence of a capability to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded.	Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.	Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.	See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded.	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	ID.RA-07	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2	R-AC-1	R-AC-2	R-AC-3	R-AC-4	R-AM-1	R-AM-2	R-AM-3	R-BC-1	R-BC-2	R-BC-3	R-BC-4	R-BC-5	R-EX-1	R-EX-2	R-EX-3	R-EX-4	R-EX-5	R-EX-6	R-EX-7	R-GV-1	R-GV-2	R-GV-3	R-GV-4	R-GV-5	R-GV-6	R-GV-7	R-GV-8	R-IR-1	R-IR-2	R-IR-3	R-IR-4	R-SA-1	R-SA-2	NT-7 MT-1 MT-2 MT-3 MT-4 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15	null	null	null	null	null	null	NT-7	null	null	null	null	null	null	null	MT-1	MT-2	MT-3	MT-4	null	MT-6	MT-7	MT-8	MT-9	null	MT-11	MT-12	MT-13	MT-14	MT-15	null	null
Cybersecurity & Data Protection Governance	Periodic Review & Update of Cybersecurity & Data Protection Program	GOV-03	Mechanisms exist to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness.	- Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.) - Steering committee	E-GOV-12	Does the organization review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness?	7	Identify	X	X	X	There is no evidence of a capability to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness.	Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends. • Documentation change control processes do not exist or are not formal. • People affected by documentation changes are provided notification of the policy and standard changes. • Informal recommendations are leveraged to update existing policies and standards. • Unstructured review of the cybersecurity and/ or data privacy program is performed on an annual basis.	Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel. • Formal documentation review process is performed on an annual basis. • Documentation review process includes the scope of applicable statutory, regulatory and contractual obligations. • Recommendations for documentation edits are submitted for review and are handled in accordance with documentation change control processes. • Updated documentation versions are published at least annually, based on the review process. • People affected by documentation changes are provided notification of the policy and standard changes.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity & data privacy program to the organization's Board of Directors. • Formal documentation review process is performed on an annual basis. • Documentation review process includes the scope of applicable statutory, regulatory and contractual obligations. • Recommendations for documentation edits are submitted for review and are handled in accordance with documentation change control processes. • Updated documentation versions are published at least annually, based on the review process. • People affected by documentation changes are provided notification of the policy and standard changes.	Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness.	CC5.3	CC2.2-POF4 CC2.2-POF7 CC5.3-POF6	4.3 4.4 8.3 8.4	null	null	null	null	EDM01.01 EDM01.03 EDM05.01 APO02.02 APO13.03	Principle 12	A&A-01 AIS-01 BCR-01 CCC-01 CEK-01 DCS-01 DCS-02 DCS-03 DCS-04 DSP-01 GRC-01 GRC-02 GRC-03 HRS-01 HRS-02 HRS-03 HRS-04 IAM-01 IAM-02 IPY-01 IVS-01 LOG-01 SEF-01 SEF-02 STA-01 TVM-01 TVM-02 UEM-01	null	SO1	8.2.1	null	RQ-05-08	null	6.1.1 7.4	7.5.2 7.5.2(a) 7.5.2(b) 7.5.2(c)	5.1.2	5.1 5.37	5.1.2	null	6.2.1.2	null	null	null	null	OP-2.0	Sec 4(G)	null	GV.MT-P2	null	null	null	PM-1	null	null	null	AC-1 AT-1 AU-1 CA-1 CM-1 CP-1 IA-1 IR-1 MA-1 MP-1 PE-1 PL-1 PM-1 PS-1 PT-1 RA-1 SA-1 SC-1 SI-1 SR-1	null	null	null	null	PM-1	null	null	null	null	null	null	null	null	null	null	null	null	3.15.1.b	null	A.03.15.01.b[01]	null	null	null	GV.PO-02	null	null	1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 9.1.1 10.1.1 11.1.1 12.1 12.1.1 12.1.2	3.1.1	1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 8.1.1 8.3.8 12.1.1 12.1.2 12.1.3	3.1.1 12.1.1 12.1.2 12.1.3	3.1.1 8.1.1 9.1.1 12.1.1 12.1.2 12.1.3	2.1.1 3.1.1 5.1.1 8.1.1 8.3.8 9.1.1 10.1.1 12.1.1 12.1.2 12.1.3	2.1.1 3.1.1 8.1.1 9.1.1 12.1.1 12.1.2	1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1.1 12.1.2 12.1.3	1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1.1 12.1.2 12.1.3	3.1.1 9.1.1 12.1.1 12.1.2	P.2.4	null	null	null	null	null	null	EF:SG2.SP1 EF:SG2.SP2 OPF:SG1.SP2 OPF:SG1.SP3 OPF:SG2.SP1	null	null	null	null	null	null	null	null	PM-1	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	§ 1232h	null	null	null	314.4(b) 314.4(g)	164.306(e) 164.316(b) 164.316(b)(1) 164.316(b)(1)(i) 164.316(b)(1)(ii) 164.316(b)(2)(iii) 164.530(i)(2)	10.S.A	null	10.M.A	PM-1	null	null	null	null	null	null	null	null	null	null	null	null	null	45.48.530	null	null	null	null	null	null	null	null	null	null	Sec 4(2)(b)(ii)(A)(6)	null	38-99-20(G)	null	Sec 10	PM-1	null	null	null	null	§ 2447(b)(8)(B) § 2447(b)(9) § 2447(b)(9)(A) § 2447(b)(9)(B)	3.3.1(14)	null	null	Art 32.1 Art 32.2 Art 32.3 Art 32.4	null	Art 3	null	Sec 14 Sec 15	Art 16	null	null	null	null	null	4.2 4.8	OIS-01 SP-02	null	null	null	1.1 5.2 9.1 10.1 11.2 13.1 14.1 15.1 17.1 18.1 21.1 22.1 24.1 25.1	null	null	null	null	null	null	null	null	null	null	null	null	null	null	1-1-3 1-3-4 1-6-4 1-9-6 1-10-5 2-2-4 2-3-4 2-4-4 2-5-4 2-6-4 2-7-4 2-8-4 2-9-4 2-10-4 2-11-4 2-12-4 2-13-4 2-14-4 2-15-4 3-1-4 4-1-4 4-2-4 5-1-4	1-1-3	null	null	null	null	null	null	null	null	null	B1.a B1.b	null	null	null	null	null	null	null	null	null	1617	null	null	19	null	null	null	null	null	null	null	4.5.3 4.5.3.1 4.6 4.6.2 4.6.2.1 4.7 4.8.2 4.8.2.1 4.8.2.2 5.1.2	null	null	5.1.14.C.01 5.1.21.C.01 5.1.21.C.02	null	null	null	null	3.2.2	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	x	NAIC	null	x	R-AC-1 R-BC-4 R-BC-5 R-EX-2 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-3 R-SA-1 R-SA-2	R-AC-1	null	null	null	null	null	null	null	null	null	R-BC-4	R-BC-5	null	R-EX-2	null	null	R-EX-5	null	null	R-GV-1	R-GV-2	R-GV-3	R-GV-4	R-GV-5	R-GV-6	R-GV-7	R-GV-8	null	null	R-IR-3	null	R-SA-1	R-SA-2	NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15	null	null	null	null	null	null	NT-7	null	null	null	null	null	null	null	MT-1	MT-2	null	null	null	null	MT-7	MT-8	MT-9	null	MT-11	MT-12	MT-13	MT-14	MT-15	null	null
Cybersecurity & Data Protection Governance	Assigned Cybersecurity & Data Protection Responsibilities	GOV-04	Mechanisms exist to assign one or more qualified individuals with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data protection program.	- NIST NICE Framework - Chief Information Security Officer (CISO)	E-HRS-01 E-HRS-05 E-HRS-06 E-HRS-07 E-HRS-08 E-HRS-09 E-HRS-10 E-HRS-13 E-HRS-15	Does the organization assign one or more qualified individuals with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data protection program?	10	Identify	X	X	X	There is no evidence of a capability to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program.	SP-CMM1 is N/A, since a structured process is required to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program.	Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.	See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program.	CC1.1 CC1.3	CC5.3-POF2	4.1 4.1.1 4.1.2 4.1.3 4.1.4 4.1.5 4.1.6	null	null	null	null	APO01.05	Principle 1 Principle 3	GRC-06 STA-04	null	null	8.2.7	null	RQ-05-03 RQ-06-04	5.1 5.3	5.3	5.1(f) 5.1(h) 5.3 5.3(a) 5.3(b)	null	5.2	6.1.1	null	null	null	null	null	null	null	Sec 4(C)(1)	GOVERN 2.3 GOVERN 5.0	ID.IM-P2 GV.PO-P3 CM.PO-P2	null	P-1	null	PL-9 PM-2 PM-6	null	null	null	PL-9 PM-2 PM-6 PM-29	null	null	null	null	PM-2 PM-6 PM-29	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	ID.AM-6	GV.RR-01	null	12.5 12.5.1 12.5.2 12.5.3 12.5.4 12.5.5	1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.1.4 A3.1.1 A3.1.3	null	12.1.3 12.1.4	12.1.3	null	12.1.3	null	1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.1.4 A3.1.1 A3.1.3	1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.1.4 A3.1.1 A3.1.3	12.1.3	C.7	null	1.2.2	null	null	null	ASSET-5.D.MIL3 THREAT-3.D.MIL3 RISK-1.E.MIL2 RISK-1.F.MIL2 RISK-5.D.MIL3 ACCESS-4.D.MIL3 SITUATION-4.D.MIL3 RESPONSE-5.D.MIL3 THIRD-PARTIES-3.D.MIL3 WORKFORCE-4.D.MIL3 ARCHITECTURE-5.D.MIL3 PROGRAM-3.D.MIL3	EF:SG2.SP2 EF:SG4.SP2 GG2.GP1 MA:SG1.SP1 MON:SG1.SP1 MON:SG1.SP3	null	null	null	null	null	null	null	null	PM-2 PM-6	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	D1.R.St.B.1 D1.TC.Cu.B.1	null	null	314.4(a) 314.4(a)(1) 314.4(a)(2) 314.4(a)(3)	164.308(a)(2)	5.S.B 10.S.A	5.M.B 8.M.A	5.M.B 8.M.A 10.M.A	1.5 PM-2 PM-29	null	null	8-101 8-311	null	null	null	17 CFR 229.106(B)(1)(i) 17 CFR 229.106(B)(1)(ii) 17 CFR 229.106(B)(1)(iii) 17 CFR 229.106(B)(2) 17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii) FORM 8-K ITEM 1.05(a)	null	null	null	null	null	null	null	null	null	null	null	null	null	null	17.03(2)(a)	null	500.04	Sec 4(2)(b)(ii)(A)(1)	null	38-99-20(C)(1)	null	Sec 9	PM-2 PM-6	null	null	Sec 11.175(d)	null	§ 2447(b)(1)	3.3.1(11) 3.3.1(12) 3.7.5(91)	Art 5.2 Art 5.2(a) Art 5.2(b) Art 5.2(c) Art 5.2(d) Art 5.2(e) Art 5.2(f) Art 5.2(g) Art 5.2(h) Art 5.2(i)(i) Art 5.2(i)(ii) Art 5.2(i)(iii) Art 5.3	null	null	null	null	null	Sec 14 Sec 15	Art 16	null	null	null	null	null	4.4 4.5 4.6	OIS-03	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	3.1.4	1-2-2 1-4-1 1-4-2 1-5-2	1-2 1-2-1-2	null	null	null	null	null	null	null	null	null	A1.b A1.c	null	null	null	null	null	null	null	null	null	0714 0717 0718 0735	null	21 24	14 19	null	null	Article 52	null	null	null	null	4.3.1 4.3.1.1 4.4.1.2 6.1.1.13.PB 6.1.3.13.PB	null	1.8	3.1.8.C.01 3.1.8.C.02 3.1.8.C.03 3.1.9.C.01 3.2.8.C.01 3.2.8.C.02 3.2.8.C.03 3.2.8.C.04 3.2.8.C.05 3.2.9.C.01 3.2.10.C.01 3.2.10.C.02 3.2.10.C.03 3.2.10.C.04 3.2.11.C.01 3.2.11.C.02 3.2.11.C.03 3.2.12.C.01 3.2.12.C.02 3.2.12.C.03 3.2.13.C.01 3.2.13.C.02 3.2.14.C.01 3.2.15.C.01 3.2.16.C.01 3.2.17.C.01 3.2.18.C.01 3.2.19.C.01	null	null	null	null	3.1.7(a) 3.1.7(b) 3.1.7(c) 3.1.7(d) 3.1.7(e) 3.1.7(f) 3.1.7(g) 3.1.8(a) 3.1.8(b) 3.1.8(c) 3.1.8(d) 3.1.8(e)	null	null	null	null	null	5.2	null	1.1 1.2 6.2	1.1	null	null	null	null	null	null	null	null	null	null	x	MA 201 CMR 17 OR 6464A NAIC	null	x	R-AC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2	R-AC-1	null	null	null	null	null	null	null	null	R-BC-3	R-BC-4	R-BC-5	R-EX-1	R-EX-2	R-EX-3	R-EX-4	R-EX-5	R-EX-6	R-EX-7	R-GV-1	R-GV-2	R-GV-3	R-GV-4	R-GV-5	R-GV-6	R-GV-7	R-GV-8	R-IR-1	R-IR-2	R-IR-3	R-IR-4	R-SA-1	R-SA-2	NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15	null	null	null	null	null	null	NT-7	null	null	null	null	null	null	null	MT-1	MT-2	MT-3	MT-4	MT-5	MT-6	MT-7	MT-8	MT-9	null	MT-11	MT-12	MT-13	MT-14	MT-15	null	null
Cybersecurity & Data Protection Governance	Stakeholder Accountability Structure	GOV-04.1	Mechanisms exist to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.	- Documented roles and responsibilities	E-HRS-15	Does the organization enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks?	8	Identify	X	X	X	There is no evidence of a capability to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.	SP-CMM1 is N/A, since a structured process is required to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.	SP-CMM2 is N/A, since a well-defined process is required to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.	See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.	null	CC1.2-POF1 CC1.3-POF1 CC1.3-POF2 CC1.3-POF3 CC1.3-POF4 CC1.3-POF5 CC1.5-POF1 CC5.3-POF2	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	GOVERN 2.0 MANAGE 2.4	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	GV.OC-02 GV.RM-05 GV.RR-02	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii)	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	3.3.1(11) 3.7.5(91)	null	null	null	null	null	null	null	null	null	null	null	null	null	4.5 4.6 4.10	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	A1.b A1.c B1.b	null	null	null	null	null	null	null	null	null	null	null	21	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2	R-AC-1	R-AC-2	R-AC-3	R-AC-4	R-AM-1	R-AM-2	null	R-BC-1	R-BC-2	R-BC-3	R-BC-4	R-BC-5	R-EX-1	R-EX-2	R-EX-3	R-EX-4	R-EX-5	R-EX-6	R-EX-7	R-GV-1	R-GV-2	R-GV-3	R-GV-4	R-GV-5	R-GV-6	R-GV-7	R-GV-8	R-IR-1	R-IR-2	R-IR-3	R-IR-4	R-SA-1	R-SA-2	NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-6 MT-9 MT-12 MT-13 MT-14 MT-15	NT-1	NT-2	NT-3	NT-4	NT-5	NT-6	NT-7	NT-8	NT-9	NT-10	NT-11	NT-12	NT-13	NT-14	MT-1	MT-2	MT-3	null	null	MT-6	null	null	MT-9	null	null	MT-12	MT-13	MT-14	MT-15	null	null
Cybersecurity & Data Protection Governance	Authoritative Chain of Command	GOV-04.2	Mechanisms exist to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.	- Organization chart	E-HRS-15	Does the organization establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks?	7	Identify	X	X	X	There is no evidence of a capability to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.	SP-CMM1 is N/A, since a structured process is required to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.	SP-CMM2 is N/A, since a well-defined process is required to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.	Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.	See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.	See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.	null	CC1.2-POF1 CC1.3-POF1 CC1.3-POF2 CC1.3-POF3 CC1.3-POF4 CC1.3-POF5 CC1.5-POF1	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	GOVERN 2.1	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	GV.RM-05 GV.RR-02	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii)	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	3.7.5(91)	null	null	null	null	null	null	null	null	null	null	null	null	null	4.5 4.6 4.10	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	A1.b A1.c	null	null	null	null	null	null	null	null	null	null	null	21	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2	R-AC-1	R-AC-2	R-AC-3	R-AC-4	R-AM-1	R-AM-2	null	R-BC-1	R-BC-2	R-BC-3	R-BC-4	R-BC-5	R-EX-1	R-EX-2	R-EX-3	R-EX-4	R-EX-5	R-EX-6	R-EX-7	R-GV-1	R-GV-2	R-GV-3	R-GV-4	R-GV-5	R-GV-6	R-GV-7	R-GV-8	R-IR-1	R-IR-2	R-IR-3	R-IR-4	R-SA-1	R-SA-2	NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-6 MT-9 MT-12 MT-13 MT-14 MT-15	NT-1	NT-2	NT-3	NT-4	NT-5	NT-6	NT-7	NT-8	NT-9	NT-10	NT-11	NT-12	NT-13	NT-14	MT-1	MT-2	MT-3	null	null	MT-6	null	null	MT-9	null	null	MT-12	MT-13	MT-14	MT-15	null	null
Cybersecurity & Data Protection Governance	Measures of Performance	GOV-05	"Mechanisms exist to develop, report and monitor cybersecurity & data privacy program measures of pe(...TRUNCATED)	"- Metrics\n- Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, (...TRUNCATED)	E-GOV-13	"Does the organization develop, report and monitor cybersecurity & data privacy program measures of (...TRUNCATED)	6	Protect	X	X	null	"There is no evidence of a capability to develop, report and monitor cybersecurity & data privacy pr(...TRUNCATED)	"Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control m(...TRUNCATED)	"Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a(...TRUNCATED)	"Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centr(...TRUNCATED)	"Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient manageme(...TRUNCATED)	"Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage p(...TRUNCATED)	CC1.2 CC1.5 CC2.2 CC4.1	CC1.5-POF2	4.3 7.5 8.3 8.4	null	null	null	null	EDM01.03 EDM05.01 EDM05.03 APO02.02 MEA01.04	Principle 2 Principle 5 Principle 14 Principle 16 Principle 19 Principle 20	AIS-03 SEF-05 TVM-09 TVM-10	null	SO11 S12 S13 S14 S15	null	null	RQ-05-08	9.1	9.1	9.1 9.1(a) 9.1(b) 9.1(c) 9.1(d) 9.1(e) 9.1(f)	null	null	null	null	null	null	null	null	null	null	Sec 4(E)(1)	GOVERN 1.5 MAP 5.2 MEASURE 1.0 MEASURE 1.1 MEASURE 1.2 MEASURE 4.0 MEASURE 4.3	GV.MT-P4 PR.PO-P5 PR.PO-P6	null	M-5	null	PM-6	null	null	null	PM-6	null	null	null	null	PM-6	null	null	null	null	null	null	null	null	null	null	null	null	3.12.3	null	null	null	null	PR.IP-8	GV.RM-07 GV.OV-03	null	null	null	null	null	null	null	null	null	null	null	null	A.4.2	null	null	null	null	null	"ASSET-5.E.MIL3\nASSET-5.F.MIL3\nTHREAT-3.F.MIL3\nRISK-1.E.MIL2\nRISK-5.F.MIL3\nACCESS-4.F.MIL3\nSIT(...TRUNCATED)	"EF:SG4.SP2\nEF:SG4.SP3\nGG2.GP8\nGG3.GP2\nHRM:SG3.SP2\nMA:SG1.SP1\nMA:SG1.SP3\nMA:SG1.SP4\nMA:SG2.S(...TRUNCATED)	null	null	null	null	null	null	null	null	PM-6	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	D2.IS.Is.B.1 D2.IS.Is.E.2	null	null	null	null	10.S.A	null	10.M.A	null	null	null	8-311	null	null	null	null	null	5.7	null	null	null	null	null	null	"7102(a)(1)(A)\n7102(a)(1)(B)\n7102(a)(1)(C)\n7102(a)(1)(D)\n7102(a)(1)(E)\n7102(a)(1)(F)\n7102(a)(2(...TRUNCATED)	null	null	null	null	null	17.03(2)(j)	null	null	null	null	38-99-20(E)(1)	null	Sec 10 Sec 11	PM-6	null	null	null	null	null	null	Art 13.4	null	null	Article 21.2(f)	Art 3	null	null	null	null	null	null	null	null	null	COM-04	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	7.6.2 [OP.MON.2]	null	null	null	null	null	null	null	null	null	null	null	null	null	null	0724	null	null	null	null	null	null	null	null	null	null	4.6 4.6.1 4.6.2.1	null	null	null	null	null	null	null	4.5.3 7.8.3	null	null	null	null	null	5.7	null	6.9	2.8 2.8.1 2.8.2	null	null	null	null	null	null	null	null	null	null	x	MA 201 CMR 17 OR 6464A NAIC	null	null	R-AC-1 R-GV-1 R-GV-2 R-GV-6 R-GV-7 R-SA-1 R-SA-2	R-AC-1	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	null	R-GV-1	R-GV-2	null	null	null	R-GV-6	R-GV-7	null	null	null	null	null	R-SA-1	R-SA-2	NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15	null	null	null	null	null	null	NT-7	null	null	null	null	null	null	null	MT-1	MT-2	null	null	null	null	MT-7	MT-8	MT-9	null	MT-11	MT-12	MT-13	MT-14	MT-15	null	null

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Size of downloaded dataset files:

7.44 MB

Size of the auto-converted Parquet files:

1.37 MB

Number of rows:

1,184